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
A••••••••• L••
Latest filing Jul 16, 2026
First filing on the tape Aug 20, 2020 · 15 filings
SEC status approved since Sep 18, 2020
RAUM
$338M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$330M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$338M as of Jul 16, 2026
Mar 30, 2021$161M then
HNW client RAUM$298M as of Jul 16, 2026
Mar 30, 2021$140M then
State-registered IARs (5.B.3)3 as of Jul 16, 2026
Mar 30, 20213 then
Employees (5.A)3 as of Jul 16, 2026
Mar 30, 20213 then
Private funds: no history
RAUM +20% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
- RAUM per advisor
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $456,997derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.4derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$298M88%
- Individuals$32.6M9.6%
- Pension and profit-sharing plans$7.4M2.2%
- Charitable organizations$76,7130.0%
- Corporations and businesses$70,5310.0%
- Individual clients
- 72reported
- HNW clients
- 93reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 739reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• R• C•••Certified Financial Planner, Chartered Financial Analyst | Boston, Ma | Sep 30, 2013 | 19 y | 0 |
| S•••• L••• P•••••Certified Financial Planner, Chartered Financial Analyst | Greensboro, Ga | May 27, 2016 | 28 y | 0 |
| K•••••••• W• H•••••••Certified Financial Planner | Chicago, Il | Sep 2, 2016 | 23 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• S••••• L••• · Chief Compliance Officer And Ownercontrolsince 08/2015 · owns 25% to 50%
- C•••• P••••••• R• · Ownercontrolsince 01/2020 · owns 75% or more of P•••••• C••• C••••
- H•••••••• K••••••••• W• · Ownersince 12/2017 · owns 5% to 10%
Entity owners
- P•••••• C••• C•••• · Ownerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA1 employees
- Chicago, IL1 employees
- Greensboro, GA1 employees
- Southboro, MA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 699 to 739Mar 26, 2025 to Mar 4, 2026
- Charity clients · 2 to 1Mar 26, 2025 to Mar 4, 2026
- Corporate clients · 1 to 2Mar 26, 2025 to Mar 4, 2026
- HNW clients · 87 to 93Mar 26, 2025 to Mar 4, 2026
- Individual clients · 67 to 72Mar 26, 2025 to Mar 4, 2026
- Pension plan clients · 2 to 3Mar 26, 2025 to Mar 4, 2026
- Discretionary RAUM · $278M to $338MMar 26, 2025 to Mar 4, 2026
- HNW RAUM · $249M to $298MMar 26, 2025 to Mar 4, 2026
- Individual RAUM · $27.7M to $32.6MMar 26, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $4.2M to $0Mar 26, 2025 to Mar 4, 2026
- Pension RAUM · $4.2M to $7.4MMar 26, 2025 to Mar 4, 2026
- RAUM · $282M to $338MMar 26, 2025 to Mar 4, 2026
- Accounts · 690 to 699Apr 8, 2024 to Mar 26, 2025
- Charity clients · 1 to 2Apr 8, 2024 to Mar 26, 2025
- HNW clients · 92 to 87Apr 8, 2024 to Mar 26, 2025
- Individual clients · 62 to 67Apr 8, 2024 to Mar 26, 2025
- Pension plan clients · 6 to 2Apr 8, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Apr 8, 2024 to Mar 26, 2025
- Discretionary RAUM · $251M to $278MApr 8, 2024 to Mar 26, 2025
- HNW RAUM · $220M to $249MApr 8, 2024 to Mar 26, 2025
- Individual RAUM · $26.1M to $27.7MApr 8, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $4.1M to $4.2MApr 8, 2024 to Mar 26, 2025
- Pension RAUM · $8.3M to $4.2MApr 8, 2024 to Mar 26, 2025
- RAUM · $255M to $282MApr 8, 2024 to Mar 26, 2025
- Accounts · 651 to 690May 3, 2023 to Mar 28, 2024
- Charity clients · 0 to 1May 3, 2023 to Mar 28, 2024
- HNW clients · 90 to 92May 3, 2023 to Mar 28, 2024
- Individual clients · 57 to 62May 3, 2023 to Mar 28, 2024
- Pension plan clients · 7 to 6May 3, 2023 to Mar 28, 2024
- Other offices · 6 to 7May 3, 2023 to Mar 28, 2024
- Discretionary RAUM · $200M to $251MMay 3, 2023 to Mar 28, 2024
- HNW RAUM · $185M to $220MMay 3, 2023 to Mar 28, 2024
- Individual RAUM · $14.2M to $26.1MMay 3, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $5.8M to $4.1MMay 3, 2023 to Mar 28, 2024
- Pension RAUM · $6.0M to $8.3MMay 3, 2023 to Mar 28, 2024
- RAUM · $206M to $255MMay 3, 2023 to Mar 28, 2024
- Accounts · 595 to 651Mar 25, 2022 to Mar 22, 2023
- Corporate clients · 2 to 1Mar 25, 2022 to Mar 22, 2023
- HNW clients · 70 to 90Mar 25, 2022 to Mar 22, 2023
- Individual clients · 62 to 57Mar 25, 2022 to Mar 22, 2023
Signals
1 dated events
- A••••••••• L•• filed its initial SEC registration (Form ADV)Aug 20, 2020 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 312-444-0897reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-515-0067reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 404-581-5407reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/assetgrade-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-933-7257reportedpublic record, Form ADV, Jul 16, 2026
- Team page
- assetgrade.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $113Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026