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
R••••• D••••• A••••••• I•••
Latest filing Jan 30, 2025
First filing on the tape Feb 24, 2014 · 17 filings
SEC status approved since Mar 10, 2014
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
2
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$0 as of Jan 30, 2025
Mar 11, 2015$343,000 then
HNW client RAUM$456,054 as of May 12, 2020
Apr 2, 2018$1.5M then
State-registered IARs (5.B.3)0 as of Jan 30, 2025
Mar 11, 20150 then
Employees (5.A)2 as of Jan 30, 2025
Mar 11, 20155 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Jan 30, 2025; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- 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 individualsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- 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)
- controlled by a public reporting company (10.A)
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
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Y••••••• T••••••••• H•••• · Chief Compliance Officercontrolsince 12/2021 · owns less than 5%
Entity owners
- W•• F••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- D•••••• T••••• L••n
- R••••• D••••• C••••••• L••broker-dealern
- W•• A•••••••• L••investment advisernRAUM $6,382
Advisers that list R••••• D••••• A••••••• I••• as a related person
- 320688 n
Offices
Schedule D 1.F, the 25 largest
- Las Vegas, NV
What changed
consecutive filings, newest first
- HQ city · AUSTIN to LAS VEGASApr 12, 2024 to Jan 30, 2025
- HQ state · TX to NVApr 12, 2024 to Jan 30, 2025
- Other offices · 0 to 1Mar 20, 2024 to Apr 12, 2024
- Related adviser · false to trueMar 20, 2024 to Apr 12, 2024
- Related broker-dealer · false to trueMar 20, 2024 to Apr 12, 2024
- Accounts · unset to 0.0Mar 28, 2023 to Mar 20, 2024
- Discretionary RAUM · unset to 0.0Mar 28, 2023 to Mar 20, 2024
- Non-discretionary RAUM · unset to 0.0Mar 28, 2023 to Mar 20, 2024
- RAUM · unset to 0.0Mar 28, 2023 to Mar 20, 2024
- Accounts · 0.0 to unsetMar 30, 2022 to Mar 28, 2023
- Financial planning clients · unset to 0Mar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · 0.0 to unsetMar 30, 2022 to Mar 28, 2023
- Non-discretionary RAUM · 0.0 to unsetMar 30, 2022 to Mar 28, 2023
- RAUM · 0.0 to unsetMar 30, 2022 to Mar 28, 2023
- Accounts · 2 to 0Mar 8, 2021 to Mar 30, 2022
- Discretionary RAUM · $118,439 to $0Mar 8, 2021 to Mar 30, 2022
- Individual RAUM · 118439.0 to unsetMar 8, 2021 to Mar 30, 2022
- RAUM · $118,439 to $0Mar 8, 2021 to Mar 30, 2022
- Accounts · 11 to 2Jun 29, 2020 to Mar 8, 2021
- HNW clients · 8.0 to unsetJun 29, 2020 to Mar 8, 2021
- Discretionary RAUM · $639,102 to $118,439Jun 29, 2020 to Mar 8, 2021
- HNW RAUM · 456054.0 to unsetJun 29, 2020 to Mar 8, 2021
- Individual RAUM · $36,881 to $118,439Jun 29, 2020 to Mar 8, 2021
- RAUM · $639,102 to $118,439Jun 29, 2020 to Mar 8, 2021
- Business name · Q••••••••• I••• to R••••• D••••• A••••••• I•••May 12, 2020 to Jun 29, 2020
- Legal name · Q••••••••• I••• to R••••• D••••• A••••••• I•••May 12, 2020 to Jun 29, 2020
- Accounts · 8 to 11Oct 7, 2019 to May 12, 2020
- HNW clients · unset to 8.0Oct 7, 2019 to May 12, 2020
- Individual clients · 8.0 to unsetOct 7, 2019 to May 12, 2020
- Financial planning clients · 0 to unsetOct 7, 2019 to May 12, 2020
- HQ city · unset to AUSTINOct 7, 2019 to May 12, 2020
- HQ state · unset to TXOct 7, 2019 to May 12, 2020
- Discretionary RAUM · $791,000 to $639,102Oct 7, 2019 to May 12, 2020
- HNW RAUM · unset to 456054.0Oct 7, 2019 to May 12, 2020
- Individual RAUM · $791,000 to $36,881Oct 7, 2019 to May 12, 2020
- RAUM · $791,000 to $639,102Oct 7, 2019 to May 12, 2020
- Advisory employees · 1 to 0Mar 14, 2019 to Oct 7, 2019
- Employees · 3 to 2Mar 14, 2019 to Oct 7, 2019
- Accounts · 30 to 8Apr 2, 2018 to Mar 14, 2019
- HNW clients · 3.0 to unsetApr 2, 2018 to Mar 14, 2019
Signals
5 dated events
- R••••• D••••• A••••••• I••• no longer on the SEC adviser roster (last listed 2025-03-06)May 2, 2025 · Left the SEC roster · derived
- Henry Tadayoshi Yoshida (Co-Founder, Ceo, And Cco) appeared on Schedule A of R••••• D••••• A••••••• I•••Mar 30, 2022 · Control person joined · fact
- Alan Richard Dude (Chief Compliance Officer) no longer on Schedule A of R••••• D••••• A••••••• I••• (listed 2021-03-08, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Ghul Zeshan Khan (Chief Technology Officer) no longer on Schedule A of R••••• D••••• A••••••• I••• (listed 2018-04-02, absent 2019-03-14)Mar 14, 2019 · Control person left · inference
- Q••••••••• I••• filed its initial SEC registration (Form ADV)Feb 24, 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