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
A••••• M••••• L••
Latest filing Mar 3, 2021
First filing on the tape Aug 7, 2019 · 6 filings
RAUM
$36.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
57%
$21.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$36.8M as of Mar 3, 2021
Mar 4, 2020$30.1M then
HNW client RAUM$20.8M as of Mar 3, 2021
Mar 4, 2020$19.0M then
State-registered IARs (5.B.3)0 as of Mar 3, 2021
Mar 4, 20200 then
Employees (5.A)2 as of Mar 3, 2021
Mar 4, 20203 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 3, 2021; 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
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%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
- +23%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 individuals, portfolio management for pooled vehiclesreportedItem 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
- High-net-worth individuals$20.8M97%
- Investment companies$256,9001.2%
- Individuals$247,8741.2%
- Charitable organizations$48,2140.2%
- Individual clients
- 4reported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 23reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• U•••••• R•••••• · Head Of Research/Co-Foundercontrolsince 08/2016 · owns 25% to 50%
- M••••••••• M•••••• E•••••• · Ceo/Co-Founder/Ccocontrolsince 08/2016 · owns 50% to 75%
- M••••••••• M••••• · Membercontrolsince 08/2017 · owns 5% to 10%
- M••••••••• M••••••• E• · Membercontrolsince 08/2017 · owns 5% to 10%
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 · 20 to 23Jun 10, 2020 to Mar 3, 2021
- Advisory employees · 3 to 2Jun 10, 2020 to Mar 3, 2021
- Individual clients · unset to 4.0Jun 10, 2020 to Mar 3, 2021
- Employees · 3 to 2Jun 10, 2020 to Mar 3, 2021
- Discretionary RAUM · $30.1M to $36.8MJun 10, 2020 to Mar 3, 2021
- HNW RAUM · $19.0M to $20.8MJun 10, 2020 to Mar 3, 2021
- Individual RAUM · unset to 247874.0Jun 10, 2020 to Mar 3, 2021
- RAUM · $30.1M to $36.8MJun 10, 2020 to Mar 3, 2021
- Accounts · 19 to 20Nov 18, 2019 to Jan 6, 2020
- Advisory employees · 2 to 3Nov 18, 2019 to Jan 6, 2020
- Charity clients · unset to 1.0Nov 18, 2019 to Jan 6, 2020
- Employees · 2 to 3Nov 18, 2019 to Jan 6, 2020
- Discretionary RAUM · $27.2M to $30.1MNov 18, 2019 to Jan 6, 2020
- HNW RAUM · $18.1M to $19.0MNov 18, 2019 to Jan 6, 2020
- RAUM · $27.2M to $30.1MNov 18, 2019 to Jan 6, 2020
- Accounts · 13 to 19Aug 7, 2019 to Nov 18, 2019
- HNW clients · 12 to 15Aug 7, 2019 to Nov 18, 2019
- Employees · 3 to 2Aug 7, 2019 to Nov 18, 2019
- Discretionary RAUM · $25.0M to $27.2MAug 7, 2019 to Nov 18, 2019
- HNW RAUM · $14.3M to $18.1MAug 7, 2019 to Nov 18, 2019
- RAUM · $25.0M to $27.2MAug 7, 2019 to Nov 18, 2019
Signals
2 dated events
- Maria Lisa Lafianza (Chief Financial Officer) no longer on Schedule A of A••••• M••••• L•• (listed 2019-08-07, absent 2019-11-18)Nov 18, 2019 · Control person left · inference
- A••••• M••••• L•• filed its initial SEC registration (Form ADV)Aug 7, 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