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••••••• I••••••••• T••••••••• I••
Latest filing Jul 23, 2026
First filing on the tape Jan 23, 2019 · 4 filings
SEC status approved since Aug 5, 2026
RAUM
$400M
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
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$400M as of Jul 23, 2026
Feb 13, 2020$508M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 23, 2026
Feb 13, 20200 then
Employees (5.A)5 as of Jul 23, 2026
Feb 13, 20209 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 23, 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
- $200MderivedRAUM 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$400M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••••• C•••••• S••••• F••• L•• • S••••• E•no longer reported | Hedge Fund | $1.7B | 1 | Jun 26, 2014 |
Owners and control persons
Schedule A and B, latest filing
- S••••••••• C••••• · Chief Compliance Officer, President & Ceocontrolsince 05/2018 · owns less than 5%
- V•••••••• P•••• · Directorcontrolsince 01/2014 · owns less than 5%
- V•••••••• P•••• · Director, Shareholdercontrolsince 07/2018 · owns 75% or more of H•••• S••••••••• H••••••• I••
Entity owners
- H•••• S••••••••• H••••••• I•• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Bellevue, WA1 employees
What changed
consecutive filings, newest first
- Advisory employees · 6 to 3Feb 13, 2020 to Jul 23, 2026
- Employees · 9 to 5Feb 13, 2020 to Jul 23, 2026
- Financial planning clients · unset to Feb 13, 2020 to Jul 23, 2026
- HQ city · VANCOUVER, BC to CHANDLERFeb 13, 2020 to Jul 23, 2026
- HQ state · unset to AZFeb 13, 2020 to Jul 23, 2026
- Discretionary RAUM · $508M to $400MFeb 13, 2020 to Jul 23, 2026
- Pooled vehicle RAUM · $508M to $400MFeb 13, 2020 to Jul 23, 2026
- RAUM · $508M to $400MFeb 13, 2020 to Jul 23, 2026
- Employees · 7 to 9Apr 1, 2019 to Feb 13, 2020
- Discretionary RAUM · $305M to $508MApr 1, 2019 to Feb 13, 2020
- Pooled vehicle RAUM · $305M to $508MApr 1, 2019 to Feb 13, 2020
- RAUM · $305M to $508MApr 1, 2019 to Feb 13, 2020
Signals
2 dated events
- N••••••• I••••••••• T••••••••• I•• reported RAUM $508.2M, up 67% from $304.7M (2019-04-01 to 2020-02-13)Feb 13, 2020 · RAUM change · derived
- N••••••• I••••••••• T••••••••• I•• filed its initial SEC registration (Form ADV)Jan 23, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N••••••• I••••••••• T••••••••• I•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/numerixsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- N•••••••QUANT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 979-365-0221reportedpublic record, Form ADV, Jul 23, 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