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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Former SEC-registered adviser
A••• A•••••••• L••
Latest filing Mar 31, 2017
First filing on the tape Aug 18, 2016 · 3 filings
RAUM
$337,608
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$337,608 as of Mar 31, 2017
Aug 18, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2017
Aug 18, 20160 then
Employees (5.A)1 as of Mar 31, 2017
Aug 18, 20162 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2017; every figure names its basis
- RAUM per advisor
- $337,608derivedRAUM 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
- $337,608derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 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
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Custody
- $337,608, 1 clientsreportedItem 9.A
- 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 custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
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
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $337,608 for 1 clientsreported
- Compensation
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• D••••••• W••• · Manager/Ccocontrolsince 07/2016 · owns less than 5%
- C•••• D••••••• W••• · Shareholdercontrolsince 03/2008 · owns 50% to 75% of D••••• C•••••••• H•••••••• I••.
- W••••••• M••••••• T••••• · Shareholdercontrolsince 03/2008 · owns 50% to 75% of D••••• C•••••••• H•••••••• I••.
Entity owners
- D••••• C•••••••• F•••••••• H•••••••• L••• · Memberdirect · owns 75% or more
- D••••• C•••••••• H•••••••• I•• · General Partnerindirect · owns F of D••••• C•••••••• Financial Holdings, Ltd
Related persons
Schedule D 7.A
- C••• • W••••••• P•insurancen
- C•••• W•••••• • A••••••••• L••investment adviserinsurancenRAUM $5.0B
- D•••••• W••• C•••y
- D••••• C•••••••• H••••••• I•••pooled vehicle sponsory
- H•• I•••••••• A•••••• L••real estaten
- I•• T• I• P••••••• M••••••••• L••pooled vehicle sponsorn
- L••••••• A•• H•••••••• L••n
- M••••••••• F•••••••• S••••••• L••investment advisernRAUM $50.2M
- S•••••• M••••• LLCbroker-dealerinvestment advisernRAUM $576M
- T••••••• A••••••• L••investment advisernRAUM $5.1B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 1Aug 18, 2016 to Mar 31, 2017
- Assets in custody · $0 to $337,608Aug 18, 2016 to Mar 31, 2017
- Insurance-licensed employees · 0 to 1Aug 18, 2016 to Mar 31, 2017
- Discretionary RAUM · $0 to $337,608Aug 18, 2016 to Mar 31, 2017
- RAUM · $0 to $337,608Aug 18, 2016 to Mar 31, 2017
- Custody of client assets · false to trueAug 18, 2016 to Aug 18, 2016
- Employees · 2 to 1Aug 18, 2016 to Aug 18, 2016
- State-registered IARs · 0 to 1Aug 18, 2016 to Aug 18, 2016
- Related broker-dealer · false to trueAug 18, 2016 to Aug 18, 2016
- Related insurance company · false to trueAug 18, 2016 to Aug 18, 2016
Signals
1 dated events
- A••• A•••••••• L•• filed its initial SEC registration (Form ADV)Aug 18, 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
- 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