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.
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Former SEC-registered adviser
P•••••• A•••• M••••••••• I•••
Latest filing Dec 17, 2025
First filing on the tape Sep 28, 2021 · 8 filings
SEC status approved since Nov 1, 2021
RAUM
$38.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$36.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$38.7M as of Dec 17, 2025
Aug 9, 2022$25.3M then
HNW client RAUM$4.7M as of Dec 17, 2025
Aug 9, 2022$0 then
State-registered IARs (5.B.3)1 as of Dec 17, 2025
Aug 9, 20221 then
Employees (5.A)1 as of Dec 17, 2025
Aug 9, 20221 then
Private funds: no history
RAUM +36% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Dec 17, 2025; every figure names its basis
- RAUM per advisor
- $38.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 209derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $135,209derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- Individuals$32.1M83%
- High-net-worth individuals$4.7M12%
- Charitable organizations$1.8M4.7%
- Individual clients
- 207reported
- HNW clients
- 2reported
- Pension plan clients
- 0reported
- Charitable clients
- 6reported
- Accounts
- 286reported
- Financial planning clients
- reported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- G••••• C•••••• M••••• to A••••• W••••• P•••••••• L••Mar 3, 2026 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• G•••••• C•••••• · President - Ccocontrolsince 11/2012 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tribes Hill, Ny | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Insurance-licensed employees · 0 to 1Aug 18, 2025 to Dec 17, 2025
- Accounts · 282 to 286Jul 30, 2024 to Aug 18, 2025
- Charity clients · 12 to 6Jul 30, 2024 to Aug 18, 2025
- HNW clients · 8 to 2Jul 30, 2024 to Aug 18, 2025
- Individual clients · 262 to 207Jul 30, 2024 to Aug 18, 2025
- Financial planning clients · unset to Jul 30, 2024 to Aug 18, 2025
- HQ city · unset to Jul 30, 2024 to Aug 18, 2025
- HQ state · unset to Jul 30, 2024 to Aug 18, 2025
- Discretionary RAUM · $34.3M to $38.7MJul 30, 2024 to Aug 18, 2025
- HNW RAUM · $5.1M to $4.7MJul 30, 2024 to Aug 18, 2025
- Individual RAUM · $27.8M to $32.1MJul 30, 2024 to Aug 18, 2025
- RAUM · $34.3M to $38.7MJul 30, 2024 to Aug 18, 2025
- Accounts · 266 to 282Feb 16, 2024 to Jul 30, 2024
- HNW clients · 0 to 8Feb 16, 2024 to Jul 30, 2024
- Individual clients · 254 to 262Feb 16, 2024 to Jul 30, 2024
- Discretionary RAUM · $28.4M to $34.3MFeb 16, 2024 to Jul 30, 2024
- HNW RAUM · $0 to $5.1MFeb 16, 2024 to Jul 30, 2024
- Individual RAUM · $27.0M to $27.8MFeb 16, 2024 to Jul 30, 2024
- RAUM · $28.4M to $34.3MFeb 16, 2024 to Jul 30, 2024
- Accounts · 262 to 266Aug 9, 2022 to Jul 21, 2023
- Charity clients · 7 to 12Aug 9, 2022 to Jul 21, 2023
- Individual clients · 255 to 254Aug 9, 2022 to Jul 21, 2023
- Discretionary RAUM · $25.3M to $28.4MAug 9, 2022 to Jul 21, 2023
- Individual RAUM · $24.2M to $27.0MAug 9, 2022 to Jul 21, 2023
- RAUM · $25.3M to $28.4MAug 9, 2022 to Jul 21, 2023
- Accounts · 297 to 262Dec 3, 2021 to Aug 9, 2022
- Charity clients · 3 to 7Dec 3, 2021 to Aug 9, 2022
- Individual clients · 294 to 255Dec 3, 2021 to Aug 9, 2022
- Discretionary RAUM · $25.7M to $25.3MDec 3, 2021 to Aug 9, 2022
- Individual RAUM · $26.2M to $24.2MDec 3, 2021 to Aug 9, 2022
- Non-discretionary RAUM · $1.8M to $0Dec 3, 2021 to Aug 9, 2022
- RAUM · $27.5M to $25.3MDec 3, 2021 to Aug 9, 2022
Signals
3 dated events
- P•••••• A•••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $38.7M)Apr 1, 2026 · Left the SEC roster · derived
- G••••• C•••••• M••••• left P•••••• A•••• M••••••••• I••• for A••••• W••••• P•••••••• L•• (registered 2025-12-10)Mar 3, 2026 · Advisor changed firm · fact
- P•••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Sep 28, 2021 · 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