DFX Intelligence

RIA Intelligence

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R••• A•••••••• L••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $3.4M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$3.4M
Form ADV
Private clients
100% of RAUM, $3.4M
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 281185 · SEC 801-107303 · 19 filingsShow
CRD 281185SEC 801-107303First filing on the tape Feb 15, 2016, latest Aug 27, 2019IAPD
RAUM
$3.4M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$3.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
16
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape

Filed figures over time · the tape starts Feb 15, 2016

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$3.4M as of Mar 19, 2019
Mar 17, 2017$0 then
HNW client RAUM$0 as of Mar 19, 2019
Feb 5, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 19, 2019
Mar 17, 20171 then
Employees (5.A)13 as of Mar 19, 2019
Mar 17, 20175 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Aug 27, 2019; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$3.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
6,248derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$548derivedRAUM 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
16.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+105%derived
Compensation
fixed feesreportedItem 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
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% individuals

The breakdown by client type, and the client counts1 client typesShow
  • Individuals$3.4M100%
Individual clients
6,248reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
6,248reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• J•••••• E••••• · Ceo & Ccocontrol
        since 01/2016 · owns less than 5%
      • V••••• K•••• E••••• · Chief Operating Officercontrol
        since 02/2018 · owns less than 5%
      Entity owners
      • G•••••••• I•• · Owner
        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 · 13 to 16
        Jun 21, 2019 to Jul 16, 2019
      • Accounts · unset to 6248.0
        Jan 4, 2019 to Mar 19, 2019
      • Individual clients · 3,051 to 6,248
        Jan 4, 2019 to Mar 19, 2019
      • Discretionary RAUM · unset to 0.0
        Jan 4, 2019 to Mar 19, 2019
      • Individual RAUM · $0 to $3.4M
        Jan 4, 2019 to Mar 19, 2019
      Full history · 33 changes
      • Non-discretionary RAUM · unset to 3424378.0
        Jan 4, 2019 to Mar 19, 2019
      • RAUM · unset to 3424378.0
        Jan 4, 2019 to Mar 19, 2019
      • Employees · 7 to 13
        Oct 15, 2018 to Dec 12, 2018
      • Charity clients · unset to 0.0
        Jan 2, 2018 to Feb 5, 2018
      • Corporate clients · unset to 0.0
        Jan 2, 2018 to Feb 5, 2018
      • HNW clients · unset to 0.0
        Jan 2, 2018 to Feb 5, 2018
      • Individual clients · unset to 3051.0
        Jan 2, 2018 to Feb 5, 2018
      • Pension plan clients · unset to 0.0
        Jan 2, 2018 to Feb 5, 2018
      • Pooled vehicle clients · unset to 0.0
        Jan 2, 2018 to Feb 5, 2018
      • Employees · 5 to 7
        Jan 2, 2018 to Feb 5, 2018
      • Financial planning clients · 0 to unset
        Jan 2, 2018 to Feb 5, 2018
      • HNW RAUM · unset to 0.0
        Jan 2, 2018 to Feb 5, 2018
      • Individual RAUM · unset to 0.0
        Jan 2, 2018 to Feb 5, 2018
      • Pension RAUM · unset to 0.0
        Jan 2, 2018 to Feb 5, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Jan 2, 2018 to Feb 5, 2018
      • Accounts · 0.0 to unset
        May 25, 2017 to Jan 2, 2018
      • Other offices · unset to 0.0
        May 25, 2017 to Jan 2, 2018
      • Discretionary RAUM · 0.0 to unset
        May 25, 2017 to Jan 2, 2018
      • Non-discretionary RAUM · 0.0 to unset
        May 25, 2017 to Jan 2, 2018
      • RAUM · 0.0 to unset
        May 25, 2017 to Jan 2, 2018
      • Accounts · unset to 0.0
        Feb 2, 2017 to Mar 17, 2017
      • Advisory activities · 2 to 1
        Feb 2, 2017 to Mar 17, 2017
      • Discretionary RAUM · unset to 0.0
        Feb 2, 2017 to Mar 17, 2017
      • Non-discretionary RAUM · unset to 0.0
        Feb 2, 2017 to Mar 17, 2017
      • RAUM · unset to 0.0
        Feb 2, 2017 to Mar 17, 2017
      • Employees · 2 to 5
        Nov 21, 2016 to Feb 2, 2017
      • Business name · G•••••••• to R••• A•••••••• L••
        Feb 15, 2016 to Feb 22, 2016
      • Legal name · G••••••••, INC. to R••• A•••••••• L••
        Feb 15, 2016 to Feb 22, 2016
      Signals
      6 dated events
      • ••• Locked
        Aug 27, 2019 · Control person left · inference
      • ••• Locked
        Jul 16, 2019 · Control person left · inference
      • ••• Locked
        Jul 16, 2019 · Control person joined · fact
      • ••• Locked
        Jul 16, 2019 · Control person joined · fact
      • ••• Locked
        Apr 26, 2019 · Control person joined · fact
      Full timeline · 6 events
      • ••• Locked
        Feb 15, 2016 · 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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026