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
R•••••••
Legal name C••••••••• S•••••••••
Latest filing Apr 29, 2025
First filing on the tape Aug 23, 2024 · 3 filings
SEC status approved since Sep 20, 2024
RAUM
$121M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
89%
$108M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$121M as of Apr 29, 2025
Aug 23, 2024$106M then
HNW client RAUM$20.0M as of Apr 29, 2025
Aug 23, 2024$38.6M then
State-registered IARs (5.B.3)2 as of Apr 29, 2025
Aug 23, 20244 then
Employees (5.A)2 as of Apr 29, 2025
Aug 23, 20245 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 29, 2025; every figure names its basis
- RAUM per advisor
- $60.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 143derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $128,998derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 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
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$88.0M73%
- High-net-worth individuals$20.0M17%
- Corporations and businesses$8.0M6.6%
- Charitable organizations$5.0M4.1%
- Individual clients
- 265reported
- HNW clients
- 20reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 938reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- B•••• C•••••• J•••••• to F••••• C•••••• A•••••••• L••Dec 31, 2025 · RIA to RIA
- R•••••• S•••••• D••••••••• to R••••• C•••••• S•••••••••Jun 12, 2025 · RIA to a newly registered adviser
- C•••••••• J••••• W••• to R••••• C•••••• S•••••••••Mar 11, 2025 · RIA to a newly registered adviser
- J••••• A••••• R••••• to A•••••••• F••••••••Mar 7, 2025 · RIA to a state-registered adviser
- J••• W••••• to C••••••••• W•••••• L••Jun 22, 2022 · RIA to RIA
Joined, latest
- C•••••••• J••••• W••• from C•••••• S••••• • C••• I•••Jan 31, 2024 · Affiliated broker-dealer or bank to independent RIA
- R•••••• S•••••• D••••••••• from T• A••••••••• I•••Sep 14, 2020 · Other
- J••••• A••••• R••••• from A••••••••Jun 21, 2019 · Other
- B•••• C•••••• J•••••• from P•••••• C••••• W••••• A•••••••• L••Sep 22, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• B••••• C•••••• · Chief Compliance Officer & Managing Membercontrolsince 03/2010 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Greenwood Village, Co | 0 | 0 | 0 | ||
| Evergreen, Co · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Erie, PA1 employees
- Greenwood Village, CO1 employees
What changed
consecutive filings, newest first
- Accounts · 282 to 938Nov 29, 2024 to Apr 29, 2025
- Advisory employees · 5 to 2Nov 29, 2024 to Apr 29, 2025
- Corporate clients · 5 to 6Nov 29, 2024 to Apr 29, 2025
- HNW clients · 16 to 20Nov 29, 2024 to Apr 29, 2025
- Individual clients · 267 to 265Nov 29, 2024 to Apr 29, 2025
- Pension plan clients · 0.0 to unsetNov 29, 2024 to Apr 29, 2025
- Pooled vehicle clients · 0.0 to unsetNov 29, 2024 to Apr 29, 2025
- Employees · 5 to 2Nov 29, 2024 to Apr 29, 2025
- Financial planning clients · 1-10 to 101-250Nov 29, 2024 to Apr 29, 2025
- State-registered IARs · 4 to 2Nov 29, 2024 to Apr 29, 2025
- Discretionary RAUM · $106M to $119MNov 29, 2024 to Apr 29, 2025
- HNW RAUM · $38.6M to $20.0MNov 29, 2024 to Apr 29, 2025
- Individual RAUM · $57.4M to $88.0MNov 29, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $790,550 to $2.0MNov 29, 2024 to Apr 29, 2025
- Pension RAUM · 0.0 to unsetNov 29, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · 0.0 to unsetNov 29, 2024 to Apr 29, 2025
- RAUM · $106M to $121MNov 29, 2024 to Apr 29, 2025
Signals
7 dated events
- Risemint no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $121.0M)Apr 1, 2026 · Left the SEC roster · derived
- B•••• C•••••• J•••••• left Risemint for F••••• C•••••• A•••••••• L•• (registered 2025-07-09)Dec 31, 2025 · Advisor changed firm · fact
- R•••••• S•••••• D••••••••• left Risemint for R••••• C•••••• S••••••••• (registered 2025-06-09)Jun 12, 2025 · Advisor changed firm · fact
- C•••••••• J••••• W••• left Risemint for R••••• C•••••• S••••••••• (registered 2025-03-12)Mar 11, 2025 · Advisor changed firm · fact
- J••••• A••••• R••••• left Risemint for A•••••••• F•••••••• (registered 2019-10-15)Mar 7, 2025 · Advisor changed firm · fact
- Risemint filed its initial SEC registration (Form ADV)Aug 23, 2024 · First SEC registration · fact
- J••• W••••• left Risemint for C••••••••• W•••••• L•• (registered 2022-07-20)Jun 22, 2022 · Advisor changed firm · 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