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
T••••••••• C•••••• P••••••• L•••
Latest filing Mar 24, 2026
First filing on the tape Jun 21, 2018 · 23 filings
SEC status approved since Jul 19, 2018
RAUM
$25.8M
reported, Item 5.F
Discretionary
61%
of RAUM
Private clients
61%
$15.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$12.9M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$25.8M as of Mar 24, 2026
Mar 14, 2019$35.6M then
HNW client RAUM$15.7M as of Mar 24, 2026
Mar 14, 2019$35.0M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Mar 14, 20192 then
Employees (5.A)1 as of Mar 24, 2026
Mar 14, 20192 then
Private funds: no history
RAUM -33% over the last fiscal year-15% a year over threeIARs 2 to 1offices 0 to 1
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
- RAUM per advisor
- $12.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.8MderivedHNW RAUM over HNW clients
- Average account
- $3.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 61%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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -33%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -67%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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$15.7M61%
- Other investment advisers$10.1M39%
- Individual clients
- 0reported
- HNW clients
- 2reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 8reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.61 fund_share=0.39 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• D•••• G••••• | New York, Ny | Aug 2, 2021 | 27 y | 0 |
| L•••• P••• L•••• | Indianapolis, In | Aug 28, 2025 | 24 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- L•••• P••• L•••• from E•••• S••••••••• L••Aug 28, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• S•••••• · Membercontrolsince 05/2018 · owns 25% to 50%
- G•••••• B••••• D•••• · Managing Member & Chief Compliance Officercontrolsince 05/2018 · owns 25% to 50%
- L••••• L••••• P••• · Member & Chief Investment Officercontrolsince 05/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
- C•• I• T•• H•• C•••••••• T••••••• L••bankn
- C•• T••••••• L••bankn
- D•••••• • A••••••••• P•••insurancen
- T••••••••• L•• F•••n
- T••••••••• R••••• C•••••••••investment companyn
- W••••• C••••••• L••bankn
- W••••• T••••••• L••bankn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 0 to 1Aug 25, 2025 to Mar 24, 2026
- Discretionary RAUM · $27.6M to $15.7MAug 25, 2025 to Mar 24, 2026
- HNW RAUM · $27.6M to $15.7MAug 25, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $10.7M to $10.1MAug 25, 2025 to Mar 24, 2026
- RAUM · $38.3M to $25.8MAug 25, 2025 to Mar 24, 2026
- Related adviser · false to trueAug 25, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 0Jun 23, 2025 to Aug 25, 2025
- Advisory employees · 2 to 1Mar 26, 2025 to Jun 23, 2025
- HNW clients · 6 to 2Mar 26, 2025 to Jun 23, 2025
- Employees · 2 to 1Mar 26, 2025 to Jun 23, 2025
- State-registered IARs · 2 to 1Mar 26, 2025 to Jun 23, 2025
- Accounts · 7 to 8Mar 31, 2024 to Mar 26, 2025
- HQ city · unset to Mar 31, 2024 to Mar 26, 2025
- HQ state · unset to Mar 31, 2024 to Mar 26, 2025
- Discretionary RAUM · $39.4M to $27.6MMar 31, 2024 to Mar 26, 2025
- HNW RAUM · $33.7M to $27.6MMar 31, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $0 to $10.7MMar 31, 2024 to Mar 26, 2025
- RAUM · $39.4M to $38.3MMar 31, 2024 to Mar 26, 2025
- Accounts · 14 to 7Oct 9, 2023 to Mar 31, 2024
- HNW clients · 8 to 6Oct 9, 2023 to Mar 31, 2024
- Financial planning clients · unset to 0Oct 9, 2023 to Mar 31, 2024
- Discretionary RAUM · $42.3M to $39.4MOct 9, 2023 to Mar 31, 2024
- HNW RAUM · $25.5M to $33.7MOct 9, 2023 to Mar 31, 2024
- RAUM · $42.3M to $39.4MOct 9, 2023 to Mar 31, 2024
- Accounts · 10 to 14Nov 7, 2022 to Mar 15, 2023
- HNW clients · 1 to 8Nov 7, 2022 to Mar 15, 2023
- Individual clients · 9 to 0Nov 7, 2022 to Mar 15, 2023
- Discretionary RAUM · $33.1M to $42.3MNov 7, 2022 to Mar 15, 2023
- HNW RAUM · $30.0M to $25.5MNov 7, 2022 to Mar 15, 2023
- Individual RAUM · $2.6M to $0Nov 7, 2022 to Mar 15, 2023
- RAUM · $33.1M to $42.3MNov 7, 2022 to Mar 15, 2023
- Accounts · 5 to 10Dec 15, 2021 to Mar 12, 2022
- HNW clients · 2 to 1Dec 15, 2021 to Mar 12, 2022
- Individual clients · 3 to 9Dec 15, 2021 to Mar 12, 2022
- Discretionary RAUM · $30.9M to $33.1MDec 15, 2021 to Mar 12, 2022
- HNW RAUM · $30.3M to $30.0MDec 15, 2021 to Mar 12, 2022
- Individual RAUM · $600,000 to $2.6MDec 15, 2021 to Mar 12, 2022
- RAUM · $30.9M to $33.1MDec 15, 2021 to Mar 12, 2022
- Accounts · 10 to 5Feb 18, 2021 to Mar 10, 2021
- HNW clients · 9 to 2Feb 18, 2021 to Mar 10, 2021
Signals
1 dated events
- T••••••••• C•••••• P••••••• L••• filed its initial SEC registration (Form ADV)Jun 21, 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
- Business phone
- 646-360-3574reportedpublished by the firm, firm site, Sep 16, 2026
- f••• website
- t•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-360-3574reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $12.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026