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•••••••• L••
Latest filing Feb 25, 2019
First filing on the tape Sep 28, 2017 · 4 filings
RAUM
$183,378
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$183,378 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$183,378 as of Feb 25, 2019
Aug 27, 2018$0 then
HNW client RAUM$183,378 as of Feb 25, 2019
Aug 27, 2018$0 then
State-registered IARs (5.B.3)0 as of Feb 25, 2019
Aug 27, 20180 then
Employees (5.A)2 as of Feb 25, 2019
Aug 27, 20182 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 25, 2019; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $61,126derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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, performance-basedreportedItem 5.E
- Advisory activities
- 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
- 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$183,378100%
- 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 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• I•• H••••••• E••••• · Chief Compliance Officercontrolsince 09/2017 · owns less than 5%
- D•••• I•• H••••••• E••••• · Membercontrolsince 08/2017 · owns 25% to 50% of O••••••• I••••••••• L••
Entity owners
- O••••••• I••••••••• L•• · Memberdirect · owns 75% or more
- V•••• A••• H••••••• L•• · Memberindirect · owns 25% to 50% of O••••••• I••••••••• L••
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 · 0 to 3Aug 27, 2018 to Feb 25, 2019
- Discretionary RAUM · $0 to $183,378Aug 27, 2018 to Feb 25, 2019
- HNW RAUM · $0 to $183,378Aug 27, 2018 to Feb 25, 2019
- RAUM · $0 to $183,378Aug 27, 2018 to Feb 25, 2019
- Related adviser · false to trueAug 27, 2018 to Feb 25, 2019
- Charity clients · unset to 0.0Sep 28, 2017 to Aug 27, 2018
- Corporate clients · unset to 0.0Sep 28, 2017 to Aug 27, 2018
- HNW clients · unset to 0.0Sep 28, 2017 to Aug 27, 2018
- Individual clients · unset to 0.0Sep 28, 2017 to Aug 27, 2018
- Pension plan clients · unset to 0.0Sep 28, 2017 to Aug 27, 2018
- Pooled vehicle clients · unset to 0.0Sep 28, 2017 to Aug 27, 2018
- Other offices · unset to 0.0Sep 28, 2017 to Aug 27, 2018
- HNW RAUM · unset to 0.0Sep 28, 2017 to Aug 27, 2018
- Individual RAUM · unset to 0.0Sep 28, 2017 to Aug 27, 2018
- Pension RAUM · unset to 0.0Sep 28, 2017 to Aug 27, 2018
- Pooled vehicle RAUM · unset to 0.0Sep 28, 2017 to Aug 27, 2018
Signals
1 dated events
- I•••••••• L•• filed its initial SEC registration (Form ADV)Sep 28, 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.
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