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
P••••••••• A••••••• I•••
Latest filing Feb 10, 2026
First filing on the tape Aug 25, 2014 · 17 filings
SEC status approved since Sep 9, 2014
RAUM
$1.1B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
3.4%
$35.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.1B as of Feb 10, 2026
Mar 4, 2015$121M then
HNW client RAUM$35.6M as of Feb 10, 2026
Feb 16, 2018$1.9M then
State-registered IARs (5.B.3)0 as of Feb 10, 2026
Mar 4, 20150 then
Employees (5.A)2 as of Feb 10, 2026
Mar 4, 20151 then
Private funds: no history
RAUM +11% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 10, 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
- $8.9MderivedHNW RAUM over HNW clients
- Average account
- $5.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween 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, 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$35.6M100%
- Individual clients
- n/areported
- HNW clients
- 4reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 183reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.03 fund_share=0.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• S•••• D••••• · President/Ccocontrolsince 08/2014 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Feb 10, 2026discretionary share of RAUM of 0% against a peer median of 100% (247 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $1B to $5B (247) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 176 to 183Feb 28, 2025 to Feb 10, 2026
- HNW RAUM · $15.3M to $35.6MFeb 28, 2025 to Feb 10, 2026
- Non-discretionary RAUM · $947M to $1.1BFeb 28, 2025 to Feb 10, 2026
- RAUM · $947M to $1.1BFeb 28, 2025 to Feb 10, 2026
- Accounts · 164 to 176Mar 5, 2024 to Feb 28, 2025
- Financial planning clients · unset to Mar 5, 2024 to Feb 28, 2025
- HNW RAUM · $14.5M to $15.3MMar 5, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $839M to $947MMar 5, 2024 to Feb 28, 2025
- RAUM · $839M to $947MMar 5, 2024 to Feb 28, 2025
- Accounts · 141 to 164Feb 6, 2023 to Mar 5, 2024
- HNW clients · 3 to 4Feb 6, 2023 to Mar 5, 2024
- HNW RAUM · $2.9M to $14.5MFeb 6, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $734M to $839MFeb 6, 2023 to Mar 5, 2024
- RAUM · $734M to $839MFeb 6, 2023 to Mar 5, 2024
- Accounts · 139 to 141Feb 3, 2022 to Feb 6, 2023
- HNW clients · 4 to 3Feb 3, 2022 to Feb 6, 2023
- HNW RAUM · $9.2M to $2.9MFeb 3, 2022 to Feb 6, 2023
- Non-discretionary RAUM · $853M to $734MFeb 3, 2022 to Feb 6, 2023
- RAUM · $853M to $734MFeb 3, 2022 to Feb 6, 2023
- Accounts · 131 to 139Mar 9, 2021 to Feb 3, 2022
- HNW RAUM · $35.4M to $9.2MMar 9, 2021 to Feb 3, 2022
- Non-discretionary RAUM · $809M to $853MMar 9, 2021 to Feb 3, 2022
- RAUM · $809M to $853MMar 9, 2021 to Feb 3, 2022
- Accounts · 116 to 131Jun 17, 2020 to Mar 9, 2021
- Charity clients · 0.0 to unsetJun 17, 2020 to Mar 9, 2021
- Corporate clients · 0.0 to unsetJun 17, 2020 to Mar 9, 2021
- HNW clients · 3 to 4Jun 17, 2020 to Mar 9, 2021
- Individual clients · 0.0 to unsetJun 17, 2020 to Mar 9, 2021
- Pension plan clients · 0.0 to unsetJun 17, 2020 to Mar 9, 2021
- Pooled vehicle clients · 0.0 to unsetJun 17, 2020 to Mar 9, 2021
- HNW RAUM · $29.6M to $35.4MJun 17, 2020 to Mar 9, 2021
- Individual RAUM · 0.0 to unsetJun 17, 2020 to Mar 9, 2021
- Non-discretionary RAUM · $694M to $809MJun 17, 2020 to Mar 9, 2021
- Pension RAUM · 0.0 to unsetJun 17, 2020 to Mar 9, 2021
- Pooled vehicle RAUM · 0.0 to unsetJun 17, 2020 to Mar 9, 2021
- RAUM · $694M to $809MJun 17, 2020 to Mar 9, 2021
- Accounts · 84 to 116Mar 5, 2019 to Feb 17, 2020
- HNW clients · 2 to 3Mar 5, 2019 to Feb 17, 2020
- HNW RAUM · $5.1M to $29.6MMar 5, 2019 to Feb 17, 2020
- Individual RAUM · unset to 0.0Mar 5, 2019 to Feb 17, 2020
Signals
2 dated events
- P••••••••• A••••••• I••• reported RAUM $694.4M, up 80% from $386.5M (2019-03-05 to 2020-02-17)Feb 17, 2020 · RAUM change · derived
- P••••••••• A••••••• I••• filed its initial SEC registration (Form ADV)Aug 25, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 305-913-7569reportedpublic record, Form ADV, Feb 10, 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
- Other 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