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• A••••• A•••• M•••••••••
Latest filing Feb 3, 2026
First filing on the tape Dec 23, 2015 · 16 filings
SEC status approved since Jan 20, 2016
RAUM
$402M
reported, Item 5.F
Discretionary
100%
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
17
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$402M as of Feb 3, 2026
Mar 31, 2017$578M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 3, 2026
Mar 31, 20170 then
Employees (5.A)17 as of Feb 3, 2026
Mar 31, 201714 then
Private funds1 as of Mar 13, 2023
Mar 29, 20191 then
RAUM +83% over the last fiscal year+38% a year over threeIARs 0 to 0
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
- $100MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +83%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, 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
- has discretionary authority over which securities are bought or sold (8.C.1)
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
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• E••••••• E••••• F••• L• | Other Private Fund | $0 | 1 | Mar 29, 2019 |
Owners and control persons
Schedule A and B, latest filing
- J•••• M•••• · Directorcontrolsince 05/2020 · owns less than 5%
- J•••• V••••• · Cio, Board Membercontrolsince 04/2007 · owns less than 5%
- K••••••••• K•••••• · Ceo, Coo, Board Membercontrolsince 04/2007 · owns less than 5%
- P•••••••• P•••• · Cio, Directorcontrolsince 04/2007 · owns less than 5%
- J••••• P•••• · Shareholder, Preferred Share, Senior Analystsince 12/2016 · owns 5% to 10%
- K••••••• I••••• · Ccosince 05/2020 · owns less than 5%
- L••••• R••• · Shareholder, Preferred Share, Director, Head Of Researchsince 12/2016 · owns 5% to 10%
- P•••• R•••• · Shareholder, Preferred Share, Senior Analystsince 12/2016 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Feb 3, 2026RAUM (Item 5.F) moved from $219,989,237 to $401,854,297 (+83.0%) between the annual amendments of 2025-02-28 and 2026-02-03; the peer median change was +8.0% (161 comparable advisers, 94.0th percentile of changes)peers: other advisers, $100M to $500M (161) · 94% percentile
What changed
consecutive filings, newest first
- Advisory employees · 9 to 11Feb 28, 2025 to Feb 3, 2026
- Employees · 16 to 17Feb 28, 2025 to Feb 3, 2026
- Discretionary RAUM · $220M to $402MFeb 28, 2025 to Feb 3, 2026
- RAUM · $220M to $402MFeb 28, 2025 to Feb 3, 2026
- Accounts · 5 to 4Mar 6, 2024 to Feb 28, 2025
- Employees · 15 to 16Mar 6, 2024 to Feb 28, 2025
- Financial planning clients · unset to Mar 6, 2024 to Feb 28, 2025
- HQ state · unset to Mar 6, 2024 to Feb 28, 2025
- Discretionary RAUM · $269M to $220MMar 6, 2024 to Feb 28, 2025
- RAUM · $269M to $220MMar 6, 2024 to Feb 28, 2025
- Pooled vehicle clients · 1 to 0Mar 13, 2023 to Mar 6, 2024
- Employees · 17 to 15Mar 13, 2023 to Mar 6, 2024
- Private funds · 1 to unsetMar 13, 2023 to Mar 6, 2024
- Discretionary RAUM · $155M to $269MMar 13, 2023 to Mar 6, 2024
- Pooled vehicle RAUM · 0.0 to unsetMar 13, 2023 to Mar 6, 2024
- RAUM · $155M to $269MMar 13, 2023 to Mar 6, 2024
- Accounts · 6 to 5Aug 22, 2022 to Mar 13, 2023
- Advisory employees · 10 to 9Aug 22, 2022 to Mar 13, 2023
- Employees · 21 to 17Aug 22, 2022 to Mar 13, 2023
- Discretionary RAUM · $401M to $155MAug 22, 2022 to Mar 13, 2023
- Pooled vehicle RAUM · $32.0M to $0Aug 22, 2022 to Mar 13, 2023
- RAUM · $401M to $155MAug 22, 2022 to Mar 13, 2023
- Advisory employees · 9 to 10Mar 19, 2021 to Mar 21, 2022
- Employees · 19 to 21Mar 19, 2021 to Mar 21, 2022
- Discretionary RAUM · $372M to $401MMar 19, 2021 to Mar 21, 2022
- Pooled vehicle RAUM · $27.7M to $32.0MMar 19, 2021 to Mar 21, 2022
- RAUM · $372M to $401MMar 19, 2021 to Mar 21, 2022
- Pooled vehicle RAUM · $27.3M to $27.7MMay 18, 2020 to Mar 19, 2021
- RAUM · $438M to $372MMay 18, 2020 to Mar 19, 2021
- Accounts · 7 to 6May 18, 2020 to Mar 19, 2021
- Advisory employees · 10 to 9May 18, 2020 to Mar 19, 2021
- Employees · 18 to 19May 18, 2020 to Mar 19, 2021
- Discretionary RAUM · $438M to $372MMay 18, 2020 to Mar 19, 2021
- Accounts · 9 to 7Apr 1, 2019 to Mar 18, 2020
- Advisory employees · 11 to 10Apr 1, 2019 to Mar 18, 2020
- Pooled vehicle clients · 2 to 1Apr 1, 2019 to Mar 18, 2020
- Employees · 20 to 18Apr 1, 2019 to Mar 18, 2020
- Discretionary RAUM · $443M to $438MApr 1, 2019 to Mar 18, 2020
- Pooled vehicle RAUM · $65.3M to $27.3MApr 1, 2019 to Mar 18, 2020
- RAUM · $443M to $438MApr 1, 2019 to Mar 18, 2020
Signals
7 dated events
- A• A••••• A•••• M••••••••• reported RAUM $401.9M, up 83% from $220.0M (2025-02-28 to 2026-02-03)Feb 3, 2026 · RAUM change · derived
- A• A••••• A•••• M••••••••• reported RAUM $269.0M, up 74% from $154.6M (2023-03-13 to 2024-03-06)Mar 6, 2024 · RAUM change · derived
- A• A••••• A•••• M••••••••• reported RAUM $154.6M, down 61% from $400.9M (2022-08-22 to 2023-03-13)Mar 13, 2023 · RAUM change · derived
- P•••• S••••• (Director) no longer on Schedule A of A• A••••• A•••• M••••••••• (listed 2022-03-21, absent 2022-08-22)Aug 22, 2022 · Control person left · inference
- M•••• V•••• (Cco, Cfo, Director) no longer on Schedule A of A• A••••• A•••• M••••••••• (listed 2020-03-18, absent 2020-05-18)May 18, 2020 · Control person left · inference
- M•••• J••• (Director) appeared on Schedule A of A• A••••• A•••• M•••••••••May 18, 2020 · Control person joined · fact
- A• A••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Dec 23, 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
- A•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- +372 6644 205reportedpublic 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
- Other 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