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
1••• G•••• O• T•• A•••••••
Legal name 1•••••••• O• T•• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 12, 2015 · 18 filings
SEC status approved since Jul 7, 2015
RAUM
$0
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
0
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2026
Feb 5, 2016$4.0M then
HNW client RAUM$0 as of Mar 30, 2026
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Feb 5, 20160 then
Employees (5.A)0 as of Mar 30, 2026
Feb 5, 20164 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- 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
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.0 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
- H••••• Y••••••• M•••••• · Ownercontrolsince 03/2024 · owns 25% to 50%
- H••••••• S•••• · Ownercontrolsince 03/2024 · owns 25% to 50%
- K•••••• D•••••• P••• · Chief Compliance Officercontrolsince 01/2015 · owns less than 5%
- S•••• M•••• A•••• · Owner, Ceo And Presidentcontrolsince 08/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
- 1••• A••• P••• L•••real estaten
- 1••• G•••• ••••• L••real estaten
- 1••• G•••• A••• L••••••real estaten
- 1••• G•••• G••••• L•••real estaten
- 1•••••••• E••••• L•••real estaten
- 1•••••••• S••••••••• L•••real estaten
- T•••••• C•••••• L•••investment advisern
Offices
Schedule D 1.F, the 25 largest
- Zurich, Switzerland
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 13, 2024 to Mar 25, 2025
- HQ state · unset to Mar 13, 2024 to Mar 25, 2025
- Accounts · unset to 0.0Mar 14, 2022 to Mar 10, 2023
- Discretionary RAUM · unset to 0.0Mar 14, 2022 to Mar 10, 2023
- Non-discretionary RAUM · unset to 0.0Mar 14, 2022 to Mar 10, 2023
- RAUM · unset to 0.0Mar 14, 2022 to Mar 10, 2023
- Accounts · 0.0 to unsetMar 6, 2019 to Mar 6, 2020
- Employees · 1 to 0Mar 6, 2019 to Mar 6, 2020
- Discretionary RAUM · 0.0 to unsetMar 6, 2019 to Mar 6, 2020
- Non-discretionary RAUM · 0.0 to unsetMar 6, 2019 to Mar 6, 2020
- RAUM · 0.0 to unsetMar 6, 2019 to Mar 6, 2020
- HNW clients · unset to 0.0Mar 30, 2018 to Mar 6, 2019
- Individual clients · unset to 0.0Mar 30, 2018 to Mar 6, 2019
- Other offices · unset to 1.0Aug 21, 2017 to Mar 30, 2018
- Accounts · unset to 0.0Aug 21, 2017 to Mar 30, 2018
- Advisory employees · 1 to 0Aug 21, 2017 to Mar 30, 2018
- Commission compensation · true to falseAug 21, 2017 to Mar 30, 2018
- Employees · 3 to 1Aug 21, 2017 to Mar 30, 2018
- Discretionary RAUM · unset to 0.0Aug 21, 2017 to Mar 30, 2018
- HNW RAUM · unset to 0.0Aug 21, 2017 to Mar 30, 2018
- Individual RAUM · unset to 0.0Aug 21, 2017 to Mar 30, 2018
- Non-discretionary RAUM · unset to 0.0Aug 21, 2017 to Mar 30, 2018
- RAUM · unset to 0.0Aug 21, 2017 to Mar 30, 2018
- Employees · 4 to 3Mar 7, 2017 to Aug 15, 2017
- Accounts · 2.0 to unsetFeb 5, 2016 to Mar 7, 2017
- Discretionary RAUM · 4000000.0 to unsetFeb 5, 2016 to Mar 7, 2017
- Non-discretionary RAUM · 0.0 to unsetFeb 5, 2016 to Mar 7, 2017
- RAUM · 4000000.0 to unsetFeb 5, 2016 to Mar 7, 2017
- Accounts · 0 to 2Nov 9, 2015 to Feb 5, 2016
- Legal name · 1291 GROUP, FINANCIAL SERVICES OF THE A•••••••, LTD. to 1•••••••• O• T•• A•••••••• L••Nov 9, 2015 to Feb 5, 2016
- Discretionary RAUM · $0 to $4.0MNov 9, 2015 to Feb 5, 2016
- RAUM · $0 to $4.0MNov 9, 2015 to Feb 5, 2016
- Legal name · 1291 GROUP FINANCIAL SERVICES A••••••• LTD. to 1291 GROUP, FINANCIAL SERVICES OF THE A•••••••, LTD.Jun 12, 2015 to Jun 23, 2015
Signals
3 dated events
- S•••• H•••••• (Owner) appeared on Schedule A of 1••• G•••• O• T•• A•••••••Mar 13, 2024 · Control person joined · fact
- M•••••• Y•••••• H•••• (Owner) appeared on Schedule A of 1••• G•••• O• T•• A•••••••Mar 13, 2024 · Control person joined · fact
- 1••• G•••• O• T•• A••••••• filed its initial SEC registration (Form ADV)Jun 12, 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
- Principal office phone
- +1 (441) 242 3100reportedpublic 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
- No RAUM reportedderiveda 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