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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SEC-registered adviser
L•••••••• C•••••• M••••••••• L•
Latest filing May 29, 2026
First filing on the tape Mar 26, 2025 · 3 filings
SEC status approved since Apr 21, 2025
RAUM
$153M
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
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$153M as of May 29, 2026
Mar 26, 2025$124M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 29, 2026
Mar 26, 20250 then
Employees (5.A)9 as of May 29, 2026
Mar 26, 20257 then
Private funds1 as of May 29, 2026
Mar 26, 20254 then
RAUM +24% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 29, 2026; 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
- $17.0MderivedRAUM 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
- +24%derivedbetween 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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $84.6M, 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 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)
- 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
- Pooled investment vehicles$136M89%
- Corporations and businesses$17.4M11%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $84.6M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.89 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• O•• A• | Hedge Fund | $29.1M | 2 | Jan 28, 2018 |
| L•••••••• I• M••••• F••• L• | Hedge Fund | $25.8M | 22 | Jan 28, 2018 |
| P•••••••• I••••••••• L•• | Hedge Fund | $564,063 | 2 | Jan 28, 2018 |
| M••• C••••••••• N• L•• | Hedge Fund | $246,821 | 2 | Jan 28, 2018 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• Y•••••••• Y••••• · Chief Financial Officercontrolsince 09/2017 · owns less than 5%
- S•••••••• J•••••• Z•• · Chief Compliance Officercontrolsince 03/2025 · owns less than 5%
- W••••••••• J•••• I•••• · Senior Portfolio Managercontrolsince 01/2017 · owns less than 5%
Entity owners
- L•••••••• C•••••• M••••••••• G• · Generaldirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 9Mar 26, 2025 to Mar 31, 2026
- Pooled vehicle clients · 5 to 7Mar 26, 2025 to Mar 31, 2026
- Assets in custody · $23.1M to $84.6MMar 26, 2025 to Mar 31, 2026
- Employees · 7 to 9Mar 26, 2025 to Mar 31, 2026
- Private funds · 4 to 1Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $124M to $153MMar 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $124M to $136MMar 26, 2025 to Mar 31, 2026
- RAUM · $124M to $153MMar 26, 2025 to Mar 31, 2026
- Related adviser · false to trueMar 26, 2025 to Mar 31, 2026
Signals
No event on the tape.
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
- Principal office phone
- 732-666-1414reportedpublic record, Form ADV, May 29, 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
- Asset manager (funds and pooled vehicles)deriveda 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