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
R••••• O• I••••••••• L••
Latest filing Feb 21, 2024
First filing on the tape Jan 28, 2019 · 18 filings
RAUM
$885M
reported, Item 5.F
Discretionary
0.0%
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$885M as of Feb 21, 2024
Mar 3, 2020$522M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 21, 2024
Mar 3, 20201 then
Employees (5.A)2 as of Feb 21, 2024
Mar 3, 20201 then
Private funds: no history
RAUM +18% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 21, 2024; every figure names its basis
- RAUM per advisor
- $885MderivedRAUM 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
- $177MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%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
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- 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•••••• W••••••• R•••••• · Managing Member And Chief Compliance Officercontrolsince 09/2001 · owns 75% or more
- D•••••• J•••••••• G••••••• · Membersince 09/2001 · owns 10% to 25%
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 · 11 to 5Jul 19, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $747M to $885MJul 19, 2023 to Feb 21, 2024
- RAUM · $747M to $885MJul 19, 2023 to Feb 21, 2024
- Advisory activities · 2 to 1Mar 16, 2023 to May 22, 2023
- Discretionary RAUM · $747M to $0Mar 16, 2023 to May 22, 2023
- Non-discretionary RAUM · $0 to $747MMar 16, 2023 to May 22, 2023
- Advisory activities · 3 to 2Feb 4, 2022 to Mar 16, 2023
- Discretionary RAUM · $0 to $747MFeb 4, 2022 to Mar 16, 2023
- Non-discretionary RAUM · $689M to $0Feb 4, 2022 to Mar 16, 2023
- RAUM · $689M to $747MFeb 4, 2022 to Mar 16, 2023
- Non-discretionary RAUM · $653M to $689MDec 8, 2021 to Feb 4, 2022
- RAUM · $653M to $689MDec 8, 2021 to Feb 4, 2022
- Advisory activities · 4 to 3Jun 18, 2021 to Jun 28, 2021
- Non-discretionary RAUM · $576M to $653MJun 18, 2021 to Jun 28, 2021
- RAUM · $576M to $653MJun 18, 2021 to Jun 28, 2021
- Accounts · 5 to 11May 18, 2020 to Feb 8, 2021
- Advisory activities · 5 to 4May 18, 2020 to Feb 8, 2021
- Employees · 1 to 2May 18, 2020 to Feb 8, 2021
- Discretionary RAUM · $522M to $0May 18, 2020 to Feb 8, 2021
- Non-discretionary RAUM · $0 to $576MMay 18, 2020 to Feb 8, 2021
- RAUM · $522M to $576MMay 18, 2020 to Feb 8, 2021
- Accounts · 6 to 5Oct 30, 2019 to Mar 3, 2020
- Insurance-licensed employees · 1 to 0Oct 30, 2019 to Mar 3, 2020
- Discretionary RAUM · $476M to $522MOct 30, 2019 to Mar 3, 2020
- RAUM · $476M to $522MOct 30, 2019 to Mar 3, 2020
- Accounts · 0 to 6Jun 12, 2019 to Jul 18, 2019
- Advisory activities · 3 to 5Jun 12, 2019 to Jul 18, 2019
- Discretionary RAUM · $0 to $476MJun 12, 2019 to Jul 18, 2019
- RAUM · $0 to $476MJun 12, 2019 to Jul 18, 2019
Signals
1 dated events
- R••••• O• I••••••••• L•• filed its initial SEC registration (Form ADV)Jan 28, 2019 · 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