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
I•• A•••••••
Legal name I•• R••• L••
Latest filing Mar 31, 2017
First filing on the tape Dec 12, 2014 · 7 filings
RAUM
n/a
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 31, 2017
Mar 29, 20164 then
Employees (5.A)5 as of Mar 31, 2017
Mar 29, 20166 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2017; 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
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- pension consulting, educational seminars, otherreportedItem 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
- is an insurance broker or agent (6.A.6)
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
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
- T•••••• C••••••••• T••••••• to H•• I••••••••• I••••••••• A••••••• S••••••• I•••Mar 31, 2018 · Other
- S•••••• W•••• W•••••• to L••• S••••• A•••••••• L••Dec 31, 2016 · Other
- D••• R••••• S••••••• to A••••••••• F•••••••• S•••••••• L••Oct 31, 2015 · Other
Joined, latest
- S•••••• W•••• W•••••• from M•• I•••••••• S•••••••• L••Aug 31, 2015 · Other
- T•••••• C••••••••• T••••••• from N•• A•••••• S•••••••• L••Jan 6, 2015 · Other
- D••• R••••• S••••••• from N•• A•••••• S•••••••• L••Jan 6, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N•• A•••••• S•••••••• L••Jan 2, 2015 · Dallas, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• R••••••• R••••• · Managing Membercontrolsince 07/2014 · owns 50% to 75%
- S••••• R•••••• D••• · Managing Membercontrolsince 07/2014 · owns 50% to 75%
- T•••••••• T••••••• C••••••••• · Ccosince 07/2014 · owns less than 5%
Related persons
Schedule D 7.A
- I•• A•••••••• L••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 5 to 3Mar 29, 2016 to Mar 31, 2017
- Business name · I•• R••• L•• to I•• A•••••••Mar 29, 2016 to Mar 31, 2017
- Commission compensation · true to falseMar 29, 2016 to Mar 31, 2017
- Employees · 6 to 5Mar 29, 2016 to Mar 31, 2017
- Financial planning clients · 1-10 to 0Mar 29, 2016 to Mar 31, 2017
- Employees · 4 to 6Nov 23, 2015 to Mar 29, 2016
- Financial planning clients · 0 to 1-10Nov 23, 2015 to Mar 29, 2016
Signals
1 dated events
- I•• R••• L•• filed its initial SEC registration (Form ADV)Dec 12, 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