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

A••••••••• A•••••••• I•••

Former SEC-registered adviserCRD 172382SEC 801-80187IAPD
Latest filing Jun 15, 2018
First filing on the tape Aug 4, 2014 · 8 filings
RAUM
$120M
reported, Item 5.F
Discretionary
0.0%
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$120M as of Jun 15, 2018
Jan 30, 2015$102M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 15, 2018
Jan 30, 20151 then
Employees (5.A)1 as of Jun 15, 2018
Jan 30, 20151 then
Private funds: no history
RAUM +15% over the last fiscal year+5.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 15, 2018; every figure names its basis
RAUM per advisor
$120MderivedRAUM 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
$60.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$120M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H••••••• H•••••• N••• · Chief Executive Officer/Chief Compliance Officercontrol
    since 06/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Other offices · unset to 0.0
    Feb 25, 2017 to Jun 15, 2018
  • Discretionary RAUM · $104M to $0
    Feb 25, 2017 to Jun 15, 2018
  • Non-discretionary RAUM · $0 to $120M
    Feb 25, 2017 to Jun 15, 2018
  • RAUM · $104M to $120M
    Feb 25, 2017 to Jun 15, 2018
  • Accounts · 1 to 2
    Jan 30, 2015 to Feb 25, 2017
  • Discretionary RAUM · $0 to $104M
    Jan 30, 2015 to Feb 25, 2017
  • Non-discretionary RAUM · $102M to $0
    Jan 30, 2015 to Feb 25, 2017
  • RAUM · $102M to $104M
    Jan 30, 2015 to Feb 25, 2017
  • Employees · 2 to 1
    Dec 16, 2014 to Jan 30, 2015
  • Accounts · 0 to 1
    Sep 19, 2014 to Dec 16, 2014
  • Non-discretionary RAUM · $0 to $102M
    Sep 19, 2014 to Dec 16, 2014
  • RAUM · $0 to $102M
    Sep 19, 2014 to Dec 16, 2014
Signals
1 dated events
  • A••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
    Aug 4, 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