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
D••••••• E•••• L••
Latest filing Jul 6, 2026
First filing on the tape Apr 30, 2018 · 27 filings
SEC status approved since May 30, 2018
RAUM
$3.9B
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
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$3.9B as of Jul 6, 2026
Jun 13, 2018$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 6, 2026
Jun 13, 20180 then
Employees (5.A)7 as of Jul 6, 2026
Jun 13, 20183 then
Private funds: no history
RAUM n/a over the last fiscal year+63% a year over three
Practice profile
derived from the filing of Jul 6, 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
- $966MderivedRAUM 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 assetsreportedItem 5.E
- Advisory activities
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$3.9B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• M••••••• R••• · Chairmancontrolsince 06/2022 · owns 25% to 50%
- H•••••• D•••• · Chief Compliance Officer, Chief Financial Officercontrolsince 10/2021 · owns less than 5%
- I•••••• J•••• · Presidentcontrolsince 12/2024 · owns less than 5%
- J••••••••• S•••••• M• · Chief Executive Officercontrolsince 03/2021 · owns less than 5%
- Z••••••••• G•••••••• · General Counselcontrolsince 01/2023 · owns 25% to 50%
- B••••••• M••••••• R••• · Managercontrolsince 01/2022 · owns F of D••••••• G•••• H••••••• L••
Entity owners
- D••••••• G•••• H••••••• L•• · Memberdirect · owns 75% or more
- M•••••••• L•• · Memberindirect · owns 25% to 50% of D••••••• G•••• H••••••• L••
Related persons
Schedule D 7.A
- T•••• I••••••••• L••investment advisernRAUM $46B
- Z••• F••••••••• L••investment advisernRAUM $4.5B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 4Dec 8, 2025 to Mar 26, 2026
- Employees · 5 to 7Dec 8, 2025 to Mar 26, 2026
- Discretionary RAUM · $3.1B to $3.9BDec 8, 2025 to Mar 26, 2026
- RAUM · $3.1B to $3.9BDec 8, 2025 to Mar 26, 2026
- Accounts · 2 to 3Aug 26, 2025 to Nov 10, 2025
- Financial planning clients · 0 to 0Aug 26, 2025 to Nov 10, 2025
- Discretionary RAUM · $2.5B to $3.1BAug 26, 2025 to Nov 10, 2025
- RAUM · $2.5B to $3.1BAug 26, 2025 to Nov 10, 2025
- Accounts · 4 to 2May 13, 2025 to Aug 26, 2025
- Discretionary RAUM · $1.4B to $2.5BMay 13, 2025 to Aug 26, 2025
- RAUM · $1.4B to $2.5BMay 13, 2025 to Aug 26, 2025
- Accounts · 6 to 4Dec 6, 2024 to May 13, 2025
- BD registered reps · 3 to 2Dec 6, 2024 to May 13, 2025
- Employees · 4 to 5Dec 6, 2024 to May 13, 2025
- Discretionary RAUM · $850M to $1.4BDec 6, 2024 to May 13, 2025
- RAUM · $850M to $1.4BDec 6, 2024 to May 13, 2025
- Related adviser · false to trueFeb 26, 2024 to Mar 11, 2024
- Accounts · 5 to 6Aug 9, 2023 to Feb 26, 2024
- Discretionary RAUM · $882M to $850MAug 9, 2023 to Feb 26, 2024
- RAUM · $882M to $850MAug 9, 2023 to Feb 26, 2024
- Advisory employees · 3 to 2Mar 24, 2023 to Aug 9, 2023
- BD registered reps · 4 to 3Mar 24, 2023 to Aug 9, 2023
- Employees · 6 to 4Mar 24, 2023 to Aug 9, 2023
- Discretionary RAUM · $885M to $882MMar 24, 2023 to Aug 9, 2023
- RAUM · $885M to $882MMar 24, 2023 to Aug 9, 2023
- Accounts · 6 to 5Dec 13, 2022 to Mar 24, 2023
- Employees · 5 to 6Dec 13, 2022 to Mar 24, 2023
- Other offices · 2 to 0Dec 13, 2022 to Mar 24, 2023
- Discretionary RAUM · $950M to $885MDec 13, 2022 to Mar 24, 2023
- RAUM · $950M to $885MDec 13, 2022 to Mar 24, 2023
- Accounts · 8 to 6Jul 7, 2022 to Dec 13, 2022
- BD registered reps · 5 to 4Jul 7, 2022 to Dec 13, 2022
- Employees · 12 to 5Jul 7, 2022 to Dec 13, 2022
- Discretionary RAUM · $1.5B to $950MJul 7, 2022 to Dec 13, 2022
- RAUM · $1.5B to $950MJul 7, 2022 to Dec 13, 2022
- Business name · D••••••• E••• L•• to D••••••• E•••• L••Mar 7, 2022 to Jul 7, 2022
- Legal name · D••••••• E••• L•• to D••••••• E•••• L••Mar 7, 2022 to Jul 7, 2022
- BD registered reps · 6 to 5Feb 2, 2022 to Mar 7, 2022
- Employees · 11 to 12Feb 2, 2022 to Mar 7, 2022
- BD registered reps · 7 to 6Nov 1, 2021 to Feb 2, 2022
Signals
13 dated events
- D••••••• E•••• L•• reported RAUM $3.1B, up 26% from $2.5B (2025-08-26 to 2025-11-10)Nov 10, 2025 · RAUM change · derived
- D••••••• E•••• L•• reported RAUM $2.5B, up 73% from $1.4B (2025-05-13 to 2025-08-26)Aug 26, 2025 · RAUM change · derived
- D••••••• E•••• L•• reported RAUM $1.4B, up 70% from $850.0M (2024-12-06 to 2025-05-13)May 13, 2025 · RAUM change · derived
- Jacob Ingram (President) appeared on Schedule A of D••••••• E•••• L••Dec 6, 2024 · Control person joined · fact
- G•••••••• Z••••••••• (General Counsel) appeared on Schedule A of D••••••• E•••• L••Feb 26, 2024 · Control person joined · fact
- P••• D••••••••• (President) no longer on Schedule A of D••••••• E•••• L•• (listed 2023-03-24, absent 2023-08-09)Aug 9, 2023 · Control person left · inference
- D••••••• E•••• L•• reported RAUM $950.0M, down 37% from $1.5B (2022-07-07 to 2022-12-13)Dec 13, 2022 · RAUM change · derived
- M Sylvia Jablonski (Chief Executive Officer) appeared on Schedule A of D••••••• E•••• L••Mar 7, 2022 · Control person joined · fact
- D•••• H••••• (Chief Compliance Officer) appeared on Schedule A of D••••••• E•••• L••Oct 5, 2021 · Control person joined · fact
- D••••••• E•••• L•• reported RAUM $1.3B, up 373% from $275.0M (2020-03-31 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Simcha Assaf Regev (President And Chief Compliance Officer) no longer on Schedule A of D••••••• E•••• L•• (listed 2019-01-30, absent 2019-06-20)Jun 20, 2019 · Control person left · inference
- A••••• P••• D••••••••• (President And Chief Compliance Officer) appeared on Schedule A of D••••••• E•••• L••Jun 20, 2019 · Control person joined · fact
- D••••••• E••• L•• filed its initial SEC registration (Form ADV)Apr 30, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/defiance-etfsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- defianceetfs.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 8333339383reportedpublic record, Form ADV, Jul 6, 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