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• C•••••• S••••••• L••
Latest filing Mar 5, 2020
First filing on the tape Jun 30, 2017 · 12 filings
RAUM
$12.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$3.1M
derived; firm RAUM over IAPD count
Employees
2
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$12.6M as of Mar 27, 2019
Mar 28, 2018$6.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 27, 2019
Mar 28, 20181 then
Employees (5.A)3 as of Mar 27, 2019
Mar 28, 20183 then
Private funds: no history
RAUM +86% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 5, 2020; every figure names its basis
- RAUM per advisor
- $3.1MderivedRAUM 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
- $12.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +86%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 individuals, 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$12.6M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• B•••• M••••• | Seneca, Sc | Mar 9, 2018 | 26 y | 3 |
| B•••• A•••••• P•••• | Seneca, Sc | Aug 12, 2020 | 13 y | 0 |
| A•••••••• S••••• M••••• | Seneca, Sc | Mar 23, 2022 | 10 y | 0 |
| D••••• B•••• M••••• | Seneca, Sc | Jul 9, 2024 | 12 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- F••••••• V•••• V•• H••••• to A••••••• A•••• M••••••••• I•••Dec 16, 2025 · Other
Joined, latest
- R•••••• B•••• M••••• from A•••••••• I••••••••• M••••••••• L••Mar 9, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• R••••••• B•••• · Managing Membercontrolsince 06/2017 · owns 75% or more
- P•••••••• W••••••• B•••• · Chief Compliance Officersince 07/2017 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Seneca, Sc | 4 | 0 | 0 | ||
| Palm Beach Gardens, Fl | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 1 to 2Feb 25, 2020 to Mar 5, 2020
- BD registered reps · 2 to 1Mar 27, 2019 to Aug 6, 2019
- Employees · 3 to 2Mar 27, 2019 to Aug 6, 2019
- HQ city · SENECA to unsetMar 27, 2019 to Aug 6, 2019
- HQ state · SC to unsetMar 27, 2019 to Aug 6, 2019
- Advisory activities · 1 to 3Jul 18, 2018 to Jan 8, 2019
- Discretionary RAUM · $6.8M to $12.6MJul 18, 2018 to Jan 8, 2019
- RAUM · $6.8M to $12.6MJul 18, 2018 to Jan 8, 2019
- Accounts · 0 to 1Jan 22, 2018 to Mar 28, 2018
- BD registered reps · 1 to 2Jan 22, 2018 to Mar 28, 2018
- HQ city · unset to SENECAJan 22, 2018 to Mar 28, 2018
- HQ state · unset to SCJan 22, 2018 to Mar 28, 2018
- Discretionary RAUM · $0 to $6.8MJan 22, 2018 to Mar 28, 2018
- RAUM · $0 to $6.8MJan 22, 2018 to Mar 28, 2018
- BD registered reps · 0 to 1Jun 30, 2017 to Nov 30, 2017
- Business name · M••••• I••••••••• L•• to I• C•••••• S••••••• L••Jun 30, 2017 to Nov 30, 2017
- Employees · 1 to 3Jun 30, 2017 to Nov 30, 2017
- Financial planning clients · unset to 0Jun 30, 2017 to Nov 30, 2017
- HQ city · SENECA to unsetJun 30, 2017 to Nov 30, 2017
- HQ state · SC to unsetJun 30, 2017 to Nov 30, 2017
- Legal name · M••••• I••••••••• L•• to I• C•••••• S••••••• L••Jun 30, 2017 to Nov 30, 2017
- Other offices · unset to 0.0Jun 30, 2017 to Nov 30, 2017
Signals
2 dated events
- F••••••• V•••• V•• H••••• left I• C•••••• S••••••• L•• for A••••••• A•••• M••••••••• I••• (registered 2025-12-19)Dec 16, 2025 · Advisor changed firm · fact
- M••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2017 · 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
- IQCAPITALS•••••••.COMreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $3.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026