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
I••••• I• V•• L••
Latest filing Mar 29, 2023
First filing on the tape Nov 9, 2018 · 13 filings
RAUM
$25.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$20.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$25.2M as of Mar 29, 2023
Feb 7, 2019$29.3M then
HNW client RAUM$17.9M as of Mar 29, 2023
Feb 7, 2019$8.7M then
State-registered IARs (5.B.3)5 as of Mar 29, 2023
Feb 7, 20192 then
Employees (5.A)5 as of Mar 29, 2023
Feb 7, 20192 then
Private funds1 as of Jan 17, 2020
Feb 7, 20192 then
RAUM -53% over the last fiscal year-13% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 29, 2023; every figure names its basis
- RAUM per advisor
- $5.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $238,667derivedHNW RAUM over HNW clients
- Average account
- $204,878derivedRAUM 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
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -53%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -30%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$17.9M71%
- Other investment advisers$4.8M19%
- Individuals$2.5M9.9%
- Individual clients
- 35reported
- HNW clients
- 75reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 123reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V••••••• P••••••• I••• L•no longer reported | Hedge Fund | $1.9M | 9 | Feb 7, 2019 |
| V••••••• P••••••• I••• L•no longer reported | Hedge Fund | $1.2M | 8 | Feb 7, 2019 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• S•••••• J••• · Managing Membercontrolsince 03/2017 · owns less than 5%
- K••• C••••• Y•••• · Chief Operating Officer/Chief Compliance Officercontrolsince 01/2022 · owns 10% to 25%
- Y••••• J•••••• P••• · Managing Membercontrolsince 05/2017 · owns 25% to 50%
- B•••••• S•••••• J••• · Membercontrolsince 11/2014 · owns 75% or more of C••••• P••••••• L••
Entity owners
- C••••• P••••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- V••••••••• S••••• L••investment adviserbanknRAUM $2.0B
Offices
Schedule D 1.F, the 25 largest
- Palm Beach Gardens, FL2 employees
- , 2 employees
What changed
consecutive filings, newest first
- Accounts · 193 to 123Mar 31, 2022 to Mar 29, 2023
- Advisory employees · 4 to 5Mar 31, 2022 to Mar 29, 2023
- HNW clients · 111 to 75Mar 31, 2022 to Mar 29, 2023
- Individual clients · 47 to 35Mar 31, 2022 to Mar 29, 2023
- Employees · 4 to 5Mar 31, 2022 to Mar 29, 2023
- State-registered IARs · 4 to 5Mar 31, 2022 to Mar 29, 2023
- Discretionary RAUM · $32.0M to $25.1MMar 31, 2022 to Mar 29, 2023
- HNW RAUM · $41.0M to $17.9MMar 31, 2022 to Mar 29, 2023
- Individual RAUM · $3.5M to $2.5MMar 31, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $21.1M to $100,000Mar 31, 2022 to Mar 29, 2023
- RAUM · $53.1M to $25.2MMar 31, 2022 to Mar 29, 2023
- Related adviser · false to trueMar 31, 2022 to Mar 29, 2023
- Accounts · 137 to 193Jul 13, 2021 to Mar 31, 2022
- Advisory employees · 3 to 4Jul 13, 2021 to Mar 31, 2022
- HNW clients · 62 to 111Jul 13, 2021 to Mar 31, 2022
- Individual clients · 46 to 47Jul 13, 2021 to Mar 31, 2022
- Employees · 3 to 4Jul 13, 2021 to Mar 31, 2022
- HQ city · PALM BEACH GARDENS to unsetJul 13, 2021 to Mar 31, 2022
- HQ state · FL to unsetJul 13, 2021 to Mar 31, 2022
- State-registered IARs · 3 to 4Jul 13, 2021 to Mar 31, 2022
- Discretionary RAUM · $123M to $32.0MJul 13, 2021 to Mar 31, 2022
- HNW RAUM · $115M to $41.0MJul 13, 2021 to Mar 31, 2022
- Individual RAUM · $5.4M to $3.5MJul 13, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $200,000 to $21.1MJul 13, 2021 to Mar 31, 2022
- RAUM · $124M to $53.1MJul 13, 2021 to Mar 31, 2022
- Accounts · 72 to 137Mar 19, 2021 to Jul 13, 2021
- HNW clients · 35 to 62Mar 19, 2021 to Jul 13, 2021
- Individual clients · 35 to 46Mar 19, 2021 to Jul 13, 2021
- HQ city · MT. KISCO to PALM BEACH GARDENSMar 19, 2021 to Jul 13, 2021
- HQ state · NY to FLMar 19, 2021 to Jul 13, 2021
- Discretionary RAUM · $35.0M to $123MMar 19, 2021 to Jul 13, 2021
- HNW RAUM · $51.0M to $115MMar 19, 2021 to Jul 13, 2021
- Individual RAUM · $3.0M to $5.4MMar 19, 2021 to Jul 13, 2021
- Non-discretionary RAUM · $21.0M to $200,000Mar 19, 2021 to Jul 13, 2021
- RAUM · $56.0M to $124MMar 19, 2021 to Jul 13, 2021
- Accounts · 48 to 72Nov 13, 2020 to Mar 19, 2021
- Advisory employees · 2 to 3Nov 13, 2020 to Mar 19, 2021
- Advisory activities · 3 to 1Nov 13, 2020 to Mar 19, 2021
- HNW clients · 16 to 35Nov 13, 2020 to Mar 19, 2021
- Individual clients · 19 to 35Nov 13, 2020 to Mar 19, 2021
Signals
2 dated events
- Young Chang Kim (Chief Operating Officer/Chief Compliance Officer) appeared on Schedule A of I••••• I• V•• L••Mar 31, 2022 · Control person joined · fact
- I••••• I• V•• L•• filed its initial SEC registration (Form ADV)Nov 9, 2018 · 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