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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SEC-registered adviser
N••••• H••••••• A••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jun 26, 2014 · 20 filings
SEC status approved since Jul 8, 2014
RAUM
$246M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$246M as of Mar 27, 2026
Mar 31, 2015$140M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 31, 20150 then
Employees (5.A)7 as of Mar 27, 2026
Mar 31, 20151 then
Private funds3 as of Mar 27, 2026
Mar 31, 20152 then
RAUM -6.4% over the last fiscal year+8.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $61.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$246M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••••••• S•••••• S••••••••• M••••• F••• L••••••no longer reported | Hedge Fund | $110M | 40 | Mar 22, 2012 |
| A•• I••••••••• I• L•• | Private Equity Fund | $104M | 17 | Apr 1, 2021 |
| N••••• P••••••••• V•••••• I•• L•• | Private Equity Fund | $47.3M | 4 | Mar 29, 2024 |
| L••• N••••• | Private Equity Fund | $34.0M | 4 | Apr 26, 2024 |
| A•• A••• V••• N••••• J• L•• | Private Equity Fund | $13.3M | 4 | Apr 26, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• T••••••• C• · Chief Executive Officercontrolsince 11/2012 · owns 75% or more
- M••••• B••••••• J••••• · Chief Compliance Officersince 03/2024 · owns less than 5%
Related persons
Schedule D 7.A
- F••••••• G• L••••••pooled vehicle sponsorn
- N••••• A••••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Nov 6, 2025 to Mar 27, 2026
- Employees · 4 to 7Nov 6, 2025 to Mar 27, 2026
- Discretionary RAUM · $263M to $246MNov 6, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $263M to $246MNov 6, 2025 to Mar 27, 2026
- RAUM · $263M to $246MNov 6, 2025 to Mar 27, 2026
- Financial planning clients · 0 to Apr 26, 2024 to Mar 27, 2025
- Other offices · 0 to 1Apr 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $151M to $263MApr 26, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $151M to $263MApr 26, 2024 to Mar 27, 2025
- RAUM · $151M to $263MApr 26, 2024 to Mar 27, 2025
- Accounts · 5 to 4Mar 29, 2024 to Apr 26, 2024
- Pooled vehicle clients · 4 to 3Mar 29, 2024 to Apr 26, 2024
- Private funds · 2 to 3Mar 29, 2024 to Apr 26, 2024
- Accounts · 4 to 5Dec 14, 2023 to Mar 29, 2024
- Pooled vehicle clients · 3 to 4Dec 14, 2023 to Mar 29, 2024
- Employees · 5 to 4Dec 14, 2023 to Mar 29, 2024
- Private funds · 1 to 2Dec 14, 2023 to Mar 29, 2024
- Discretionary RAUM · $196M to $151MDec 14, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $97.9M to $151MDec 14, 2023 to Mar 29, 2024
- RAUM · $196M to $151MDec 14, 2023 to Mar 29, 2024
- Accounts · 7 to 4Jul 22, 2022 to Mar 27, 2023
- Pooled vehicle clients · 6 to 3Jul 22, 2022 to Mar 27, 2023
- Employees · 3 to 5Jul 22, 2022 to Mar 27, 2023
- Discretionary RAUM · $170M to $196MJul 22, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $104M to $97.9MJul 22, 2022 to Mar 27, 2023
- RAUM · $170M to $196MJul 22, 2022 to Mar 27, 2023
- Discretionary RAUM · $171M to $170MMar 14, 2022 to Jul 22, 2022
- Pooled vehicle RAUM · $105M to $104MMar 14, 2022 to Jul 22, 2022
- RAUM · $171M to $170MMar 14, 2022 to Jul 22, 2022
- Advisory employees · 2 to 3Aug 2, 2021 to Mar 14, 2022
- Business name · F•• U• L•• to N••••• H••••••• A••••••• L••Aug 2, 2021 to Mar 14, 2022
- Employees · 2 to 3Aug 2, 2021 to Mar 14, 2022
- Legal name · F•• U• L•• to N••••• H••••••• A••••••• L••Aug 2, 2021 to Mar 14, 2022
- Private funds · 2 to 1Aug 2, 2021 to Mar 14, 2022
- Discretionary RAUM · $158M to $171MAug 2, 2021 to Mar 14, 2022
- Pooled vehicle RAUM · $118M to $105MAug 2, 2021 to Mar 14, 2022
- RAUM · $158M to $171MAug 2, 2021 to Mar 14, 2022
- Accounts · 6 to 7Apr 1, 2021 to Aug 2, 2021
- Advisory employees · 1 to 2Apr 1, 2021 to Aug 2, 2021
- Pooled vehicle clients · 2 to 6Apr 1, 2021 to Aug 2, 2021
Signals
2 dated events
- N••••• H••••••• A••••••• L•• reported RAUM $263.1M, up 74% from $151.2M (2024-04-26 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- F•• U• L•• filed its initial SEC registration (Form ADV)Jun 26, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N••••• H••••••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
- N••••• H••••••• A••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 805-880-4105reportedpublic record, Form ADV, Mar 27, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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