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

C•••• S•••••• I•••

Former SEC-registered adviserCRD 175342SEC 801-96240IAPD
Latest filing Mar 26, 2018
First filing on the tape Apr 28, 2015 · 15 filings
RAUM
$2.1M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$2.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$2.1M as of Feb 20, 2018
Mar 28, 2017$728,881 then
HNW client RAUM: $0
State-registered IARs (5.B.3)1 as of Feb 20, 2018
Mar 28, 20171 then
Employees (5.A)1 as of Feb 20, 2018
Mar 28, 20171 then
Private funds: no history
RAUM +188% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 2018; every figure names its basis
RAUM per advisor
$2.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
49,949derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$42derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+188%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • Individuals$2.1M100%
Individual clients
49,949reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
49,949reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••••• E••• · President & Chief Compliance Officercontrol
        since 01/2015 · owns less than 5%
      • F••••••••• E••• · President & Chief Compliance Officercontrol
        since 01/2015 · owns 25% to 50% of M•••••••••
      • G••• D•••• · Shareholder
        since 11/2016 · owns 10% to 25%
      • H••••• A•••• · Shareholder
        since 01/2015 · owns 25% to 50% of M•••••••••
      Entity owners
      • M••••••••• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 1 to 6
        Feb 20, 2018 to Mar 26, 2018
      • Accounts · 16,051 to 49,949
        Oct 25, 2017 to Feb 20, 2018
      • Individual clients · 16,051 to 49,949
        Oct 25, 2017 to Feb 20, 2018
      • Discretionary RAUM · $836,140 to $0
        Oct 25, 2017 to Feb 20, 2018
      • Individual RAUM · $836,140 to $2.1M
        Oct 25, 2017 to Feb 20, 2018
      • Non-discretionary RAUM · $0 to $2.1M
        Oct 25, 2017 to Feb 20, 2018
      • RAUM · $836,140 to $2.1M
        Oct 25, 2017 to Feb 20, 2018
      • Assets in custody · 0.0 to unset
        Oct 20, 2017 to Oct 23, 2017
      • Custody of client assets · true to false
        Oct 20, 2017 to Oct 23, 2017
      • Accounts · 15,901 to 16,051
        Oct 18, 2017 to Oct 20, 2017
      • Discretionary RAUM · $728,881 to $836,140
        Oct 18, 2017 to Oct 20, 2017
      • RAUM · $728,881 to $836,140
        Oct 18, 2017 to Oct 20, 2017
      • Charity clients · unset to 0.0
        Mar 28, 2017 to Oct 18, 2017
      • Corporate clients · unset to 0.0
        Mar 28, 2017 to Oct 18, 2017
      • HNW clients · unset to 0.0
        Mar 28, 2017 to Oct 18, 2017
      • Individual clients · unset to 16051.0
        Mar 28, 2017 to Oct 18, 2017
      • Pension plan clients · unset to 0.0
        Mar 28, 2017 to Oct 18, 2017
      • Pooled vehicle clients · unset to 0.0
        Mar 28, 2017 to Oct 18, 2017
      • Other offices · unset to 0.0
        Mar 28, 2017 to Oct 18, 2017
      • HNW RAUM · unset to 0.0
        Mar 28, 2017 to Oct 18, 2017
      • Individual RAUM · unset to 836140.0
        Mar 28, 2017 to Oct 18, 2017
      • Pension RAUM · unset to 0.0
        Mar 28, 2017 to Oct 18, 2017
      • Pooled vehicle RAUM · unset to 0.0
        Mar 28, 2017 to Oct 18, 2017
      • Accounts · 0 to 15,901
        Nov 24, 2015 to Mar 28, 2017
      • Discretionary RAUM · $0 to $728,881
        Nov 24, 2015 to Mar 28, 2017
      • RAUM · $0 to $728,881
        Nov 24, 2015 to Mar 28, 2017
      • HQ city · WILMINGTON to unset
        Aug 20, 2015 to Nov 24, 2015
      • HQ state · DE to unset
        Aug 20, 2015 to Nov 24, 2015
      • Business name · I••••••••• I••• to C•••• S•••••• I•••
        Aug 18, 2015 to Aug 20, 2015
      • Legal name · I••••••••• I••• to C•••• S•••••• I•••
        Aug 18, 2015 to Aug 20, 2015
      • Business name · I••••••••• I•• to I••••••••• I•••
        Apr 28, 2015 to Apr 28, 2015
      • Legal name · I••••••••• I•• to I••••••••• I•••
        Apr 28, 2015 to Apr 28, 2015
      Signals
      1 dated events
      • I••••••••• I•• filed its initial SEC registration (Form ADV)
        Apr 28, 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