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
Q••••••••• I••••••••• D•••••••• L••
Latest filing Sep 29, 2015
First filing on the tape Mar 4, 2015 · 5 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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Sep 29, 2015
Mar 4, 20152 then
Employees (5.A)4 as of Sep 29, 2015
Mar 4, 20152 then
Private funds: no history
Practice profile
derived from the filing of Sep 29, 2015; 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
- 1.0derivedItem 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
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
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
- n/areported
- 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
- N••••••• E••••• D•• to P••••••• W••••• P•••••••Mar 23, 2016 · Other
- C•••••• B•••••• C••••••• to P••••••• W••••• P•••••••Mar 23, 2016 · Other
- T••• M• M••••••• to C••••••••• F••••••••• L••Mar 23, 2016 · Other
Joined, latest
- T••• M• M••••••• from C••••••••• I••••••••• L••May 28, 2015 · Other
- C•••••• B•••••• C••••••• from C••••••••• I••••••••• L••May 27, 2015 · Other
- N••••••• E••••• D•• from C••••••••• I••••••••• L••Mar 18, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P••••••• W••••• P•••••••Mar 23, 2016 · Naples, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• T•••• M• · Chief Compliance Officercontrolsince 05/2015 · owns less than 5%
- S••••••••• R•••••• F•••••• · Managing Membercontrolsince 01/2015 · owns less than 5%
- C•••••••• C••••••• B•••••• · Membercontrolsince 01/2015 · owns 75% or more of C• F•••• H••••••• L••
- S••••••••• R•••••• F•••••• · Membercontrolsince 01/2015 · owns 75% or more of S•• H••••••• L••
Entity owners
- C• F•••• H••••••• L•• · Memberdirect · owns 25% to 50%
- S•• H••••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- C••••••••• F••••••••• L••investment advisern
- C••••••••• I••••••••• L••investment advisern
- S••••••••• • I••••••••• M••••••••• I••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 4Mar 16, 2015 to Jun 1, 2015
- Employees · 2 to 4Mar 16, 2015 to Jun 1, 2015
- Insurance-licensed employees · 2 to 4Mar 16, 2015 to Jun 1, 2015
- State-registered IARs · 2 to 4Mar 16, 2015 to Jun 1, 2015
Signals
1 dated events
- Q••••••••• I••••••••• D•••••••• L•• filed its initial SEC registration (Form ADV)Mar 4, 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.
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