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
G••••• E•••• C•••••• A•••••••• I•••
Latest filing Mar 5, 2026
First filing on the tape May 1, 2015 · 35 filings
SEC status approved since May 20, 2015
RAUM
$46.8M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
15%
$7.2M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$9.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$46.8M as of Mar 5, 2026
Mar 10, 2016$2.0M then
HNW client RAUM$7.2M as of Mar 5, 2026
Mar 2, 2018$2.8M then
State-registered IARs (5.B.3)0 as of Mar 5, 2026
Mar 10, 20160 then
Employees (5.A)2 as of Mar 5, 2026
Mar 10, 20162 then
Private funds1 as of Mar 5, 2026
Mar 24, 20211 then
RAUM -27% over the last fiscal year-0.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $9.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $515,087derivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 51%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -27%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +100%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscription, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$24.0M51%
- Corporations and businesses$15.2M32%
- High-net-worth individuals$7.2M15%
- Investment companies$471,2861.0%
- Individuals$14,0330.0%
- Individual clients
- 2reported
- HNW clients
- 14reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 29reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.15 fund_share=0.01 institutional_share=0.51 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• M•••••• | Dubai | Mar 11, 2019 | 20 y | 0 |
| K••• T••••••• I••••••• | New York, Ny | Feb 6, 2020 | 13 y | 0 |
| F•••••••• S••• W••••• | New Canaan, Ct | Sep 30, 2021 | 11 y | 0 |
| S•••• A•••••••• N•••••• | Dubai | Jan 25, 2025 | 14 y | 1 |
| D•••• L•••• M••••••• | Aurora, Co | Mar 18, 2026 | 36 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- K•••• L•• to L•• E••••••••• L••Apr 16, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- S•••• A•••••••• N•••••• from T••••••••• F•••••••• A•••••••• L••Jan 25, 2025 · Other
- K•••• L•• from E•••••••• P••••••• L••Oct 11, 2023 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• H••••• L••••• L• | Hedge Fund | $0 | 1 | Jun 24, 2020 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• M••••••• · President/Director, Cco And Principal Operations Officercontrolsince 07/2014 · owns 75% or more
Related persons
Schedule D 7.A
- E•••••• F• L••investment advisery
- G••••• E•••• S••••••••• I•••broker-dealery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Whittier, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 21 to 29Mar 5, 2025 to Mar 5, 2026
- HNW clients · 8 to 14Mar 5, 2025 to Mar 5, 2026
- Individual clients · 0 to 2Mar 5, 2025 to Mar 5, 2026
- HNW RAUM · $20.3M to $7.2MMar 5, 2025 to Mar 5, 2026
- Individual RAUM · $0 to $14,033Mar 5, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $63.7M to $46.8MMar 5, 2025 to Mar 5, 2026
- Pension RAUM · $19.8M to $24.0MMar 5, 2025 to Mar 5, 2026
- RAUM · $63.7M to $46.8MMar 5, 2025 to Mar 5, 2026
- Corporate clients · 3 to 4Jan 17, 2025 to Mar 5, 2025
- HNW clients · 6 to 8Jan 17, 2025 to Mar 5, 2025
- Pension plan clients · 11 to 8Jan 17, 2025 to Mar 5, 2025
- Financial planning clients · 11-25 to 1-10Jan 17, 2025 to Mar 5, 2025
- HNW RAUM · $4.7M to $20.3MJan 17, 2025 to Mar 5, 2025
- Non-discretionary RAUM · $33.3M to $63.7MJan 17, 2025 to Mar 5, 2025
- Pension RAUM · $16.9M to $19.8MJan 17, 2025 to Mar 5, 2025
- RAUM · $33.3M to $63.7MJan 17, 2025 to Mar 5, 2025
- HQ state · unset to Mar 19, 2024 to Jan 17, 2025
- Accounts · 25 to 21Jul 6, 2023 to Mar 19, 2024
- Corporate clients · 7 to 3Jul 6, 2023 to Mar 19, 2024
- HNW clients · 7 to 6Jul 6, 2023 to Mar 19, 2024
- Individual clients · 1 to 0Jul 6, 2023 to Mar 19, 2024
- Pension plan clients · 9 to 11Jul 6, 2023 to Mar 19, 2024
- Financial planning clients · 1-10 to 11-25Jul 6, 2023 to Mar 19, 2024
- Discretionary RAUM · $33.6M to $0Jul 6, 2023 to Mar 19, 2024
- HNW RAUM · $5.4M to $4.7MJul 6, 2023 to Mar 19, 2024
- Individual RAUM · $265,220 to $0Jul 6, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $13.8M to $33.3MJul 6, 2023 to Mar 19, 2024
- Pension RAUM · $13.5M to $16.9MJul 6, 2023 to Mar 19, 2024
- RAUM · $47.4M to $33.3MJul 6, 2023 to Mar 19, 2024
- Related broker-dealer · false to trueMar 13, 2023 to Jul 6, 2023
- Accounts · 24 to 25Dec 19, 2022 to Mar 13, 2023
- HNW clients · 6 to 7Dec 19, 2022 to Mar 13, 2023
- Discretionary RAUM · $24.6M to $33.6MDec 19, 2022 to Mar 13, 2023
- HNW RAUM · $5.4M to $5.4MDec 19, 2022 to Mar 13, 2023
- Individual RAUM · $273,100 to $265,220Dec 19, 2022 to Mar 13, 2023
- Non-discretionary RAUM · $16.5M to $13.8MDec 19, 2022 to Mar 13, 2023
- Pension RAUM · $15.8M to $13.5MDec 19, 2022 to Mar 13, 2023
- RAUM · $41.1M to $47.4MDec 19, 2022 to Mar 13, 2023
- Advisory activities · 4 to 5Jun 4, 2022 to Dec 19, 2022
- Assets in custody · 1060086.0 to unsetJun 4, 2022 to Dec 19, 2022
Signals
2 dated events
- K•••• L•• left G••••• E•••• C•••••• A•••••••• I••• for L•• E••••••••• L•• (registered 2026-04-15)Apr 16, 2025 · Advisor changed firm · fact
- G••••• E•••• C•••••• A•••••••• I••• filed its initial SEC registration (Form ADV)May 1, 2015 · 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
- E••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- +97144484674reportedpublic record, Form ADV, Mar 5, 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
- $9.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026