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
C••••••••• A•••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Feb 20, 2019 · 12 filings
SEC status approved since Mar 25, 2019
RAUM
$3.0B
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
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$3.0B as of Mar 12, 2026
Mar 16, 2020$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 12, 2026
Mar 16, 20200 then
Employees (5.A)7 as of Mar 12, 2026
Mar 16, 20205 then
Private funds: no history
RAUM +20% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 12, 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
- $1.5BderivedRAUM 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
- +20%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 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$3.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- 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=0.0derived
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•••••••• D•••••• W•••••• · Vice Presidentcontrolsince 01/2019 · owns less than 5%
- B•••••••• J•••••• G•••• · Vice Presidentcontrolsince 01/2019 · owns less than 5%
- B•••••••• R•••• · Presidentcontrolsince 01/2019 · owns less than 5%
- B•••••••• C••••• R• · Trusteecontrolsince 01/2019 · owns F of T•• C••••••••• T•••• D•• 1••••••••
- B•••••••• D•••••• W•••••• · Trusteecontrolsince 01/2019 · owns F of T•• C••••••••• T•••• D•• 1••••••••
- B•••••••• D••••••• B••• · Trusteecontrolsince 01/2019 · owns F of T•• C••••••••• T•••• D•• 1••••••••
- B•••••••• J•••••• G•••• · Trusteecontrolsince 01/2019 · owns F of T•• C••••••••• T•••• D•• 1••••••••
- B•••••••• R•••• · Trusteecontrolsince 01/2019 · owns F of T•• C••••••••• T•••• D•• 1••••••••
- M•••••• R•••••• L••••• · Cfosince 03/2024 · owns less than 5%
- M•••••••• B•••••••• V••• · Ccosince 03/2024 · owns less than 5%
- P•••••• H•••• M••••••• · Vice Presidentsince 06/2019 · owns less than 5%
Entity owners
- T•• C••••••••• T•••• D•• 1•••••••• · Sole Member/Managerdirect · owns 75% or more
Related persons
Schedule D 7.A
- B••••••• V• M•••••••y
- R••••• L• M•••••insurancey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 7Mar 17, 2025 to Mar 12, 2026
- Employees · 5 to 7Mar 17, 2025 to Mar 12, 2026
- Discretionary RAUM · $2.5B to $3.0BMar 17, 2025 to Mar 12, 2026
- RAUM · $2.5B to $3.0BMar 17, 2025 to Mar 12, 2026
- Advisory employees · 7 to 5Mar 22, 2024 to Mar 17, 2025
- Employees · 7 to 5Mar 22, 2024 to Mar 17, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 17, 2025
- Discretionary RAUM · $2.3B to $2.5BMar 22, 2024 to Mar 17, 2025
- RAUM · $2.3B to $2.5BMar 22, 2024 to Mar 17, 2025
- Related insurance company · true to falseMar 22, 2024 to Mar 17, 2025
- Advisory employees · 5 to 7Mar 16, 2023 to Mar 22, 2024
- Employees · 5 to 7Mar 16, 2023 to Mar 22, 2024
- Discretionary RAUM · $2.0B to $2.3BMar 16, 2023 to Mar 22, 2024
- RAUM · $2.0B to $2.3BMar 16, 2023 to Mar 22, 2024
- Discretionary RAUM · $1.9B to $2.0BJul 28, 2022 to Mar 16, 2023
- RAUM · $1.9B to $2.0BJul 28, 2022 to Mar 16, 2023
- Discretionary RAUM · $1.2B to $1.9BMar 22, 2021 to Mar 29, 2022
- RAUM · $1.2B to $1.9BMar 22, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.2B to $1.2BMar 16, 2020 to Mar 22, 2021
- RAUM · $1.2B to $1.2BMar 16, 2020 to Mar 22, 2021
- Business name · C••••••••• A••••••• A•••• M••••••••• L•• to C••••••••• A•••••••• L••Jul 24, 2019 to Mar 16, 2020
- Discretionary RAUM · $1.3B to $1.2BJul 24, 2019 to Mar 16, 2020
- RAUM · $1.3B to $1.2BJul 24, 2019 to Mar 16, 2020
- Legal name · C••••••••• A••••••• A•••• M••••••••• L•• to C••••••••• A•••••••• L••Jul 2, 2019 to Jul 24, 2019
- Accounts · 0 to 2Feb 20, 2019 to May 15, 2019
- Discretionary RAUM · $0 to $1.3BFeb 20, 2019 to May 15, 2019
- RAUM · $0 to $1.3BFeb 20, 2019 to May 15, 2019
Signals
2 dated events
- C••••••••• A•••••••• L•• reported RAUM $1.9B, up 60% from $1.2B (2021-03-22 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- C••••••••• A••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 20, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 828-210-8184reportedpublic record, Form ADV, Mar 12, 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