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
S••••• P••••• C•••••• A•••••••• L••
Latest filing Nov 14, 2014
First filing on the tape Feb 14, 2014 · 9 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
2
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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$0 as of Nov 14, 2014
Feb 14, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Nov 14, 2014
Feb 14, 20140 then
Employees (5.A)1 as of Nov 14, 2014
Feb 14, 20145 then
Private funds: no history
Practice profile
derived from the filing of Nov 14, 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
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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 individuals, selection of other advisersreportedItem 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
- 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
- 0reported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••••• G•••••••• | Boone, Nc | Jan 9, 2015 | 23 y | 3 |
| P••• A••••• M••••• | Aliso Viejo, Ca | Jul 24, 2019 | 20 y | 3 |
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
- P••• A••••• M••••• from K•••••••• C•••••• P••••••• T••••• L••Jul 24, 2019 · Other
- J••••••••• G•••••••• from B••• O• A•••••• I••••••••• S•••••••• I•••Oct 27, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• J••••••••• · Member/Ceo/Chief Compliance Officercontrolsince 05/2010 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Boone, Nc | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 1 to 2Sep 4, 2014 to Oct 17, 2014
- Advisory employees · 2 to 1Aug 7, 2014 to Sep 4, 2014
- BD registered reps · 2 to 1Aug 7, 2014 to Sep 4, 2014
- Employees · 5 to 1Aug 7, 2014 to Sep 4, 2014
- Business name · C••••••• I••••••••• C••••••• L•• to S••••• P••••• C•••••• A•••••••• L••Feb 14, 2014 to Feb 18, 2014
- Legal name · C••••••• I••••••••• C••••••• L•• to S••••• P••••• C•••••• A•••••••• L••Feb 14, 2014 to Feb 18, 2014
Signals
1 dated events
- C••••••• I••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Feb 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