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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
A•••••••• F•••••••• C•••••••• L••
Latest filing Feb 3, 2026
First filing on the tape Feb 3, 2026 · 1 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Feb 3, 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
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 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 assetsreportedItem 5.E
- Advisory activities
- unknownreportedItem 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
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
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• M•••••• D••••• | Davenport, Ia | Feb 24, 2015 | 15 y | 1 |
| D••••• D••••• D•••• | Troy, Mi | Feb 25, 2015 | 31 y | 1 |
| V••••• A•••••• V••••••••• | Troy, Mi | Aug 27, 2020 | 13 y | 0 |
| T••••• E• S••• | Davenport, Ia | Aug 11, 2026 | 33 y | 0 |
| A••••• T• S••• | Davenport, Ia | Sep 2, 2026 | 11 y | 0 |
Advisor movement
Left, latest
- M••••••• T••••••• B••• to I•••••••• A••••••• S••••••••Apr 28, 2024 · Other
- S•••• P• S•••••• to I•••••••• A••••••• S••••••••Apr 25, 2024 · Other
- J•••• A••••• M••••• to I•••••••• A••••••• S••••••••Apr 3, 2024 · Other
Joined, latest
- S•••• P• S•••••• from S•••••• W••••• A•••••••• L••Jul 29, 2021 · Other
- J•••• A••••• M••••• from W••••• F••••••••• L••Aug 29, 2016 · Other
- D••••• D••••• D•••• from W••••• F•••••••• S•••••••• L•••••Feb 25, 2015 · RIA to a state-registered adviser
- R••• M•••••• D••••• from W••••• F•••••••• S•••••••• L•••••Feb 24, 2015 · RIA to a state-registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W••••• F•••••••• S•••••••• L•••••Feb 26, 2015 · Geneseo, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Davenport, Ia · principal | 5 | 2 | 0 | ||
| Troy, Mi | 2 | 0 | 0 | ||
| Rolling Meadows, Il | 0 | 0 | 0 | ||
| Worcester, Ma | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
3 dated events
- M••••••• T••••••• B••• left A•••••••• F•••••••• C•••••••• L•• for I•••••••• A••••••• S•••••••• (registered 2024-05-03)Apr 28, 2024 · Advisor changed firm · fact
- S•••• P• S•••••• left A•••••••• F•••••••• C•••••••• L•• for I•••••••• A••••••• S•••••••• (registered 2024-04-23)Apr 25, 2024 · Advisor changed firm · fact
- J•••• A••••• M••••• left A•••••••• F•••••••• C•••••••• L•• for I•••••••• A••••••• S•••••••• (registered 2024-04-16)Apr 3, 2024 · Advisor changed firm · 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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 563-359-7400reportedpublic record, Form ADV, Feb 3, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026