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

1••• C•••••• L••

Former SEC-registered adviserAlexandria, VirginiaCRD 299755SEC 801-118435IAPD
Latest filing May 8, 2024
First filing on the tape Mar 13, 2020 · 13 filings
RAUM
$202M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$202M gross assets
History
13 filings and snapshots on the tape
RAUM$202M as of Dec 21, 2023
Dec 26, 2020$261M then
HNW client RAUM$0 as of Dec 21, 2023
Dec 26, 2020$0 then
State-registered IARs (5.B.3)1 as of Dec 21, 2023
Dec 26, 20201 then
Employees (5.A)5 as of Dec 21, 2023
Dec 26, 20209 then
Private funds2 as of Dec 21, 2023
Dec 26, 20201 then
RAUM -17% over the last fiscal year-8.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 8, 2024; every figure names its basis
RAUM per advisor
$202MderivedRAUM 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
$50.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$202M, 4 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$202M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$202M for 4 clientsreported
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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      1••• P•• M••••• F•••• L•Hedge Fund$187M271Apr 12, 2019
      1••• P•• F••• I•• L•Hedge Fund$15.1M34Dec 21, 2022
      M••••• F••• T•••••••• M••••• F•••• L•Hedge Fund$9.5M79Dec 23, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• N•••••••• J••• · President, M••••• F••• I••••••••• M••••••••• L••control
        since 01/2022 · owns less than 5%
      • F••••••• J••••••• M•••••• · Chief Investment Officercontrol
        since 11/2018 · owns less than 5%
      • G••••••• S•••••• J••• · Controllercontrol
        since 04/2023 · owns less than 5%
      • R•••••••• B••••• L••••••• · Chief Operating Officercontrol
        since 10/2018 · owns less than 5%
      • W••••• K•••• D••••• · Chief Compliance Officer And General Counselcontrol
        since 12/2020 · owns less than 5%
      • G••••••• D••••• H••• · Stockholdercontrol
        since 07/1996 · owns 25% to 50% of T•• M••••• F••• H•••••••• I•••
      • G••••••• T•••••• M••••• · Stockholdercontrol
        since 07/1996 · owns 25% to 50% of T•• M••••• F••• H•••••••• I•••
      • M••••••••• K•••• · Chief Financial Officer
        since 10/2018 · owns less than 5%
      Entity owners
      • M••••• F••• I••••••••• M••••••••• L•• · Sole Member
        direct · owns 75% or more
      • T•• M••••• F••• H•••••••• I••• · Sole Member
        indirect · owns 75% or more of M••••• F••• I••••••••• M••••••••• 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
      • Advisory employees · 3 to 2
        Dec 21, 2023 to May 8, 2024
      • Employees · 5 to 4
        Dec 21, 2023 to May 8, 2024
      • Accounts · 7 to 4
        Nov 29, 2023 to Dec 21, 2023
      • Advisory employees · 5 to 3
        Nov 29, 2023 to Dec 21, 2023
      • BD registered reps · 2 to 1
        Nov 29, 2023 to Dec 21, 2023
      • Assets in custody · $244M to $202M
        Nov 29, 2023 to Dec 21, 2023
      • Employees · 7 to 5
        Nov 29, 2023 to Dec 21, 2023
      • Private funds · 3 to 2
        Nov 29, 2023 to Dec 21, 2023
      • Discretionary RAUM · $244M to $202M
        Nov 29, 2023 to Dec 21, 2023
      • Pooled vehicle RAUM · $244M to $202M
        Nov 29, 2023 to Dec 21, 2023
      • RAUM · $244M to $202M
        Nov 29, 2023 to Dec 21, 2023
      • Accounts · 6 to 7
        Aug 23, 2022 to Dec 21, 2022
      • BD registered reps · 4 to 2
        Aug 23, 2022 to Dec 21, 2022
      • Pooled vehicle clients · 6 to 7
        Aug 23, 2022 to Dec 21, 2022
      • Assets in custody · $311M to $244M
        Aug 23, 2022 to Dec 21, 2022
      • Employees · 9 to 7
        Aug 23, 2022 to Dec 21, 2022
      • Private funds · 2 to 3
        Aug 23, 2022 to Dec 21, 2022
      • Discretionary RAUM · $311M to $244M
        Aug 23, 2022 to Dec 21, 2022
      • Pooled vehicle RAUM · $311M to $244M
        Aug 23, 2022 to Dec 21, 2022
      • RAUM · $311M to $244M
        Aug 23, 2022 to Dec 21, 2022
      • Other offices · 1 to 0
        Feb 18, 2022 to Aug 23, 2022
      • Accounts · 4 to 6
        Apr 29, 2021 to Dec 23, 2021
      • Advisory activities · 2 to 1
        Apr 29, 2021 to Dec 23, 2021
      • BD registered reps · 3 to 4
        Apr 29, 2021 to Dec 23, 2021
      • Pooled vehicle clients · 3 to 6
        Apr 29, 2021 to Dec 23, 2021
      • Assets in custody · $217M to $311M
        Apr 29, 2021 to Dec 23, 2021
      • Private funds · 1 to 2
        Apr 29, 2021 to Dec 23, 2021
      • Discretionary RAUM · $261M to $311M
        Apr 29, 2021 to Dec 23, 2021
      • Pooled vehicle RAUM · $259M to $311M
        Apr 29, 2021 to Dec 23, 2021
      • RAUM · $261M to $311M
        Apr 29, 2021 to Dec 23, 2021
      • Accounts · 3 to 4
        Apr 13, 2020 to Dec 26, 2020
      • Advisory employees · 3 to 5
        Apr 13, 2020 to Dec 26, 2020
      • Advisory activities · 1 to 2
        Apr 13, 2020 to Dec 26, 2020
      • BD registered reps · 0 to 3
        Apr 13, 2020 to Dec 26, 2020
      • Assets in custody · $171M to $217M
        Apr 13, 2020 to Dec 26, 2020
      • Employees · 5 to 9
        Apr 13, 2020 to Dec 26, 2020
      • State-registered IARs · 0 to 1
        Apr 13, 2020 to Dec 26, 2020
      • Other offices · 0 to 1
        Apr 13, 2020 to Dec 26, 2020
      • Discretionary RAUM · $171M to $261M
        Apr 13, 2020 to Dec 26, 2020
      • Pooled vehicle RAUM · $171M to $259M
        Apr 13, 2020 to Dec 26, 2020
      Signals
      7 dated events
      • S••••• G•••••• (Controller) appeared on Schedule A of 1••• C•••••• L••
        Apr 24, 2023 · Control person joined · fact
      • R•••••• R••••• C••• (President, Motley Fool Investment Management) no longer on Schedule A of 1••• C•••••• L•• (listed 2021-12-23, absent 2022-02-18)
        Feb 18, 2022 · Control person left · inference
      • John Nicholas Crow (President, M••••• F••• I••••••••• M••••••••• L••) appeared on Schedule A of 1••• C•••••• L••
        Feb 18, 2022 · Control person joined · fact
      • B•••• R••••••• (Vice President Of Operations And Chief Compliance Officer) no longer on Schedule A of 1••• C•••••• L•• (listed 2020-04-13, absent 2020-12-26)
        Dec 26, 2020 · Control person left · inference
      • D••••• K••• W•••• (Chief Compliance Officer) appeared on Schedule A of 1••• C•••••• L••
        Dec 26, 2020 · Control person joined · fact
      • L••••••• B•••• R••••••• (Chief Operating Officer) appeared on Schedule A of 1••• C•••••• L••
        Dec 26, 2020 · Control person joined · fact
      • 1••• C•••••• L•• filed its initial SEC registration (Form ADV)
        Mar 13, 2020 · 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