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
A••••••• I•••••••••
Legal name C••••••• I••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Aug 10, 2015 · 34 filings
SEC status approved since Aug 19, 2015
RAUM
$421M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$421M as of Mar 30, 2026
Aug 30, 2016$197M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Aug 30, 20162 then
Employees (5.A)7 as of Mar 30, 2026
Aug 30, 20162 then
Private funds: no history
RAUM +17% over the last fiscal year+9.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $421MderivedRAUM 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
- $60.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$418M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.99 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
- T•••••• F•••••• S••••••• to M•••••••••Nov 29, 2016 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••••• G••••••• A•••• · President And Ceocontrolsince 08/2015 · owns less than 5%
- S••••• J••••••• A••••• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- R••••••••• G••••••• A•••• · Ownercontrolsince 08/2016 · owns 75% or more of C••••••••• I•••
- B••••••••• M••••• S• · Direct Ownersince 08/2016 · owns 10% to 25%
- W••••••••• G•••• S•••• · Chief Investment Officersince 07/2016 · owns less than 5%
Entity owners
- C••••••••• I••• · Direct Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- E•••• P•••••••••investment adviseryRAUM $322,063
- T••••••••• W••••• M•••••••••investment adviseryRAUM $1.2B
Advisers that list A••••••• I••••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 7Oct 17, 2025 to Mar 30, 2026
- Discretionary RAUM · $360M to $418MOct 17, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.1M to $3.1MOct 17, 2025 to Mar 30, 2026
- RAUM · $362M to $421MOct 17, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 7, 2025
- Accounts · 7 to 6Jun 3, 2024 to Mar 28, 2025
- Discretionary RAUM · $287M to $360MJun 3, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $3.3M to $1.1MJun 3, 2024 to Mar 28, 2025
- RAUM · $290M to $362MJun 3, 2024 to Mar 28, 2025
- Accounts · 9 to 7Jul 18, 2023 to Mar 27, 2024
- Discretionary RAUM · $308M to $287MJul 18, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $13.2M to $3.3MJul 18, 2023 to Mar 27, 2024
- RAUM · $321M to $290MJul 18, 2023 to Mar 27, 2024
- Accounts · 10 to 9Sep 9, 2022 to Mar 1, 2023
- Discretionary RAUM · $460M to $308MSep 9, 2022 to Mar 1, 2023
- Non-discretionary RAUM · $20.2M to $13.2MSep 9, 2022 to Mar 1, 2023
- RAUM · $481M to $321MSep 9, 2022 to Mar 1, 2023
- Accounts · 7 to 10Mar 27, 2021 to Mar 30, 2022
- Financial planning clients · 0 to unsetMar 27, 2021 to Mar 30, 2022
- State-registered IARs · 0 to 1Mar 27, 2021 to Mar 30, 2022
- Discretionary RAUM · $245M to $460MMar 27, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $1.7M to $20.2MMar 27, 2021 to Mar 30, 2022
- RAUM · $247M to $481MMar 27, 2021 to Mar 30, 2022
- Related adviser · false to trueMar 27, 2021 to Mar 30, 2022
- Business name · C••••••• I••••••••• to A••••••• I•••••••••Oct 1, 2020 to Mar 27, 2021
- Discretionary RAUM · $214M to $245MOct 1, 2020 to Mar 27, 2021
- Non-discretionary RAUM · $6.6M to $1.7MOct 1, 2020 to Mar 27, 2021
- RAUM · $220M to $247MOct 1, 2020 to Mar 27, 2021
- Discretionary RAUM · $294M to $214MJan 2, 2020 to Sep 23, 2020
- Non-discretionary RAUM · $0 to $6.6MJan 2, 2020 to Sep 23, 2020
- RAUM · $294M to $220MJan 2, 2020 to Sep 23, 2020
- Accounts · 9 to 7Jun 14, 2019 to Sep 27, 2019
- Advisory employees · 2 to 3Jun 14, 2019 to Sep 27, 2019
- Employees · 3 to 7Jun 14, 2019 to Sep 27, 2019
- Discretionary RAUM · $376M to $294MJun 14, 2019 to Sep 27, 2019
- RAUM · $376M to $294MJun 14, 2019 to Sep 27, 2019
- Employees · 4 to 3Jan 24, 2018 to Sep 28, 2018
- Other offices · 0 to 1Jan 24, 2018 to Sep 28, 2018
- Discretionary RAUM · $325M to $376MJan 24, 2018 to Sep 28, 2018
- RAUM · $325M to $376MJan 24, 2018 to Sep 28, 2018
Signals
7 dated events
- Andrew Jeffrey Smith (Chief Compliance Officer) appeared on Schedule A of A••••••• I•••••••••Jul 18, 2023 · Control person joined · fact
- Keith Raulin Villegas (Chief Compliance Officer) no longer on Schedule A of A••••••• I••••••••• (listed 2023-03-02, absent 2023-07-18)Jul 18, 2023 · Control person left · inference
- A••••••• I••••••••• reported RAUM $321.1M, down 33% from $480.6M (2022-09-09 to 2023-03-01)Mar 1, 2023 · RAUM change · derived
- A••••••• I••••••••• reported RAUM $480.6M, up 95% from $246.9M (2021-03-27 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- M Jocelyn Dalkin (Chief Compliance Officer) no longer on Schedule A of A••••••• I••••••••• (listed 2019-09-27, absent 2020-01-02)Jan 2, 2020 · Control person left · inference
- Keith Raulin Villegas (Chief Compliance Officer) appeared on Schedule A of A••••••• I•••••••••Jan 2, 2020 · Control person joined · fact
- C••••••• I••••••••• filed its initial SEC registration (Form ADV)Aug 10, 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888.721.4588reportedpublic 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
- Asset manager (funds and pooled vehicles)deriveda 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