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
I••••• S•••••
Legal name I••••• S••••• C•••
Latest filing Mar 22, 2024
First filing on the tape May 11, 2016 · 12 filings
SEC status approved since Feb 2, 2018
RAUM
$210M
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$210M as of Mar 4, 2024
Mar 22, 2019$5.5M then
HNW client RAUM$0 as of Mar 4, 2024
Mar 22, 2019$0 then
State-registered IARs (5.B.3)1 as of Mar 4, 2024
Mar 22, 20190 then
Employees (5.A)3 as of Mar 4, 2024
Mar 22, 20192 then
Private funds: no history
RAUM +20% over the last fiscal year+75% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 22, 2024; 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
- $210MderivedRAUM 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
- $70.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$210M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• S••••• K•• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- G•••••• D•••••• J••••• · Executive Vice President And General Counselcontrolsince 05/2018 · owns less than 5%
- P•••••• E••••• K•••••• · President And Foundercontrolsince 12/2015 · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 3Mar 13, 2023 to Mar 4, 2024
- Discretionary RAUM · $175M to $210MMar 13, 2023 to Mar 4, 2024
- RAUM · $175M to $210MMar 13, 2023 to Mar 4, 2024
- Accounts · 5 to 4Dec 13, 2022 to Mar 13, 2023
- Other offices · 1 to 0Dec 13, 2022 to Mar 13, 2023
- Discretionary RAUM · $186M to $175MDec 13, 2022 to Mar 13, 2023
- RAUM · $186M to $175MDec 13, 2022 to Mar 13, 2023
- HQ city · FRISCO to DALLASJun 21, 2022 to Dec 13, 2022
- Accounts · 3 to 5Feb 8, 2021 to Mar 29, 2022
- Insurance-licensed employees · 0 to 1Feb 8, 2021 to Mar 29, 2022
- Financial planning clients · 0 to unsetFeb 8, 2021 to Mar 29, 2022
- State-registered IARs · 0 to 1Feb 8, 2021 to Mar 29, 2022
- Discretionary RAUM · $0 to $186MFeb 8, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $39.0M to $0Feb 8, 2021 to Mar 29, 2022
- RAUM · $39.0M to $186MFeb 8, 2021 to Mar 29, 2022
- Advisory employees · 2 to 1Jun 1, 2020 to Feb 8, 2021
- Employees · 2 to 3Jun 1, 2020 to Feb 8, 2021
- Non-discretionary RAUM · $12.0M to $39.0MJun 1, 2020 to Feb 8, 2021
- RAUM · $12.0M to $39.0MJun 1, 2020 to Feb 8, 2021
- Discretionary RAUM · $5.5M to $0Mar 22, 2019 to Jun 1, 2020
- Non-discretionary RAUM · $0 to $12.0MMar 22, 2019 to Jun 1, 2020
- RAUM · $5.5M to $12.0MMar 22, 2019 to Jun 1, 2020
- Accounts · 1 to 3Jul 24, 2018 to Mar 22, 2019
- Legal name · I••••• S••••• to I••••• S••••• C•••Jul 24, 2018 to Mar 22, 2019
- Discretionary RAUM · $100,000 to $5.5MJul 24, 2018 to Mar 22, 2019
- RAUM · $100,000 to $5.5MJul 24, 2018 to Mar 22, 2019
- Accounts · 0 to 1Jan 3, 2018 to Jul 24, 2018
- Discretionary RAUM · $0 to $100,000Jan 3, 2018 to Jul 24, 2018
- RAUM · $0 to $100,000Jan 3, 2018 to Jul 24, 2018
- Advisory employees · 1 to 2May 11, 2016 to Jan 3, 2018
- Charity clients · unset to 0.0May 11, 2016 to Jan 3, 2018
- Corporate clients · unset to 0.0May 11, 2016 to Jan 3, 2018
- HNW clients · unset to 0.0May 11, 2016 to Jan 3, 2018
- Individual clients · unset to 0.0May 11, 2016 to Jan 3, 2018
- Pension plan clients · unset to 0.0May 11, 2016 to Jan 3, 2018
- Pooled vehicle clients · unset to 0.0May 11, 2016 to Jan 3, 2018
- Employees · 1 to 2May 11, 2016 to Jan 3, 2018
- Other offices · unset to 1.0May 11, 2016 to Jan 3, 2018
- HNW RAUM · unset to 0.0May 11, 2016 to Jan 3, 2018
- Individual RAUM · unset to 0.0May 11, 2016 to Jan 3, 2018
Signals
4 dated events
- Jane Stefanie Little (Chief Compliance Officer) no longer on Schedule A of I••••• S••••• (listed 2024-03-04, absent 2024-03-22)Mar 22, 2024 · Control person left · inference
- Kay Susan Begando (Chief Compliance Officer) appeared on Schedule A of I••••• S•••••Mar 22, 2024 · Control person joined · fact
- Jane Stefanie Little (Chief Compliance Officer) appeared on Schedule A of I••••• S•••••Mar 4, 2024 · Control person joined · fact
- I••••• S••••• filed its initial SEC registration (Form ADV)May 11, 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.
How to reach
public business contact points only, each with its source
- Website
- H••••://I•••••ETFS.ORGreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 469-442-8424reportedpublic record, Form ADV, Mar 22, 2024
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