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
A••• I•••••••••
Legal name A••• F•••••••• P••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Sep 2, 2014 · 20 filings
SEC status approved since Jan 14, 2015
RAUM
$126M
reported, Item 5.F
Discretionary
16%
of RAUM
Private clients
100%
$126M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$126M as of Mar 30, 2026
Mar 10, 2021$17.8M then
HNW client RAUM$19.8M as of Mar 30, 2026
Mar 10, 2021$13.9M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Jan 29, 20164 then
Employees (5.A)8 as of Mar 30, 2026
Jan 29, 20166 then
Private funds: no history
RAUM +11% over the last fiscal year+85% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- 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
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $535,842derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 16%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
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$107M84%
- High-net-worth individuals$19.8M16%
- Individual clients
- 229reported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 236reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 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
- P••••••••• J••••• L•••••• · Director/Chief Compliance Officercontrolsince 09/1999 · owns 50% to 75%
- T•••••• C••••• R•••••• · Directorcontrolsince 09/1999 · owns 50% to 75%
Related persons
Schedule D 7.A
- A••• I••••••••• S••••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2Apr 3, 2025 to Mar 30, 2026
- Employees · 7 to 8Apr 3, 2025 to Mar 30, 2026
- Discretionary RAUM · $17.5M to $19.8MApr 3, 2025 to Mar 30, 2026
- HNW RAUM · $22.2M to $19.8MApr 3, 2025 to Mar 30, 2026
- Individual RAUM · $91.3M to $107MApr 3, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $95.9M to $107MApr 3, 2025 to Mar 30, 2026
- RAUM · $113M to $126MApr 3, 2025 to Mar 30, 2026
- Accounts · 22 to 236Feb 26, 2024 to Apr 3, 2025
- HNW clients · 18 to 13Feb 26, 2024 to Apr 3, 2025
- Individual clients · 9 to 229Feb 26, 2024 to Apr 3, 2025
- Employees · 6 to 7Feb 26, 2024 to Apr 3, 2025
- Financial planning clients · 11-25 to 11-25Feb 26, 2024 to Apr 3, 2025
- HQ state · unset to Feb 26, 2024 to Apr 3, 2025
- Discretionary RAUM · $0 to $17.5MFeb 26, 2024 to Apr 3, 2025
- HNW RAUM · $16.4M to $22.2MFeb 26, 2024 to Apr 3, 2025
- Individual RAUM · $4.7M to $91.3MFeb 26, 2024 to Apr 3, 2025
- Non-discretionary RAUM · $21.0M to $95.9MFeb 26, 2024 to Apr 3, 2025
- RAUM · $21.0M to $113MFeb 26, 2024 to Apr 3, 2025
- Accounts · 27 to 22Mar 28, 2023 to Feb 26, 2024
- Financial planning clients · 26-50 to 11-25Mar 28, 2023 to Feb 26, 2024
- Discretionary RAUM · $20.1M to $0Mar 28, 2023 to Feb 26, 2024
- Individual RAUM · $3.8M to $4.7MMar 28, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $0 to $21.0MMar 28, 2023 to Feb 26, 2024
- RAUM · $20.1M to $21.0MMar 28, 2023 to Feb 26, 2024
- Advisory employees · 4 to 1Feb 24, 2022 to Mar 28, 2023
- BD registered reps · 4 to 0Feb 24, 2022 to Mar 28, 2023
- Insurance-licensed employees · 3 to 0Feb 24, 2022 to Mar 28, 2023
- Financial planning clients · 101-250 to 26-50Feb 24, 2022 to Mar 28, 2023
- State-registered IARs · 4 to 0Feb 24, 2022 to Mar 28, 2023
- Discretionary RAUM · $21.0M to $20.1MFeb 24, 2022 to Mar 28, 2023
- HNW RAUM · $17.1M to $16.4MFeb 24, 2022 to Mar 28, 2023
- Individual RAUM · $3.9M to $3.8MFeb 24, 2022 to Mar 28, 2023
- RAUM · $21.0M to $20.1MFeb 24, 2022 to Mar 28, 2023
- Accounts · 24 to 27Mar 10, 2021 to Feb 24, 2022
- HNW clients · 13 to 18Mar 10, 2021 to Feb 24, 2022
- Discretionary RAUM · $17.8M to $21.0MMar 10, 2021 to Feb 24, 2022
- HNW RAUM · $13.9M to $17.1MMar 10, 2021 to Feb 24, 2022
- RAUM · $17.8M to $21.0MMar 10, 2021 to Feb 24, 2022
- Discretionary RAUM · $18.3M to $17.8MJun 29, 2020 to Mar 10, 2021
- HNW RAUM · $14.4M to $13.9MJun 29, 2020 to Mar 10, 2021
Signals
1 dated events
- A••• I••••••••• filed its initial SEC registration (Form ADV)Sep 2, 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
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 0044-1672-569966reportedpublic record, Form ADV, Mar 30, 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
- Independent wealth managerderiveda 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