DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

A•• A•••••••• L••

Former SEC-registered adviserLas Vegas, NevadaCRD 165772SEC 801-79098IAPD
Latest filing Jan 28, 2014
First filing on the tape Jan 14, 2014 · 5 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$0 as of Jan 28, 2014
Jan 14, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Jan 28, 2014
Jan 14, 20144 then
Employees (5.A)5 as of Jan 28, 2014
Jan 14, 20145 then
Private funds: no history
Practice profile
derived from the filing of Jan 28, 2014; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A••••••• F•••• · Chief Executive Officer--Managing Membercontrol
    since 09/2012 · owns less than 5%
  • A•••••• C•••• L••• · Chief Compliance Officer--Managing Membercontrol
    since 09/2012 · owns less than 5%
  • G•••••••• J••••• L•••••• · President--Managing Membercontrol
    since 09/2012 · owns less than 5%
  • A••••••• F•••• · Presidentcontrol
    since 01/2001 · owns 50% to 75% of N•••••• I•••
  • A•••••• C•••• L••• · Presidentcontrol
    since 01/2014 · owns 75% or more of C•••, Inc
  • G•••••••• J••••• L•••••• · Presidentcontrol
    since 05/2001 · owns 75% or more of J•••• L• G•••••••• I•••
Entity owners
  • C•••• I••• · President
    direct · owns 10% to 25%
  • J•••• L• G•••••••• I••• · President
    direct · owns 25% to 50%
  • N•••••• I••• · President
    direct · owns 25% to 50%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Related adviser · false to true
    Jan 14, 2014 to Jan 20, 2014
  • Related broker-dealer · false to true
    Jan 14, 2014 to Jan 20, 2014
Signals
1 dated events
  • A•• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Jan 14, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026