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
A••••••• C••••••• L••
Latest filing Jun 17, 2026
First filing on the tape Nov 3, 2020 · 20 filings
SEC status approved since Mar 16, 2021
RAUM
$37.4M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$37.4M
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
20 filings and snapshots on the tape
RAUM$37.4M as of Jun 17, 2026
Apr 1, 2021$458M then
HNW client RAUM$3.0M as of Mar 30, 2023
Mar 29, 2022$10.0M then
State-registered IARs (5.B.3)1 as of Jun 17, 2026
Apr 1, 20212 then
Employees (5.A)1 as of Jun 17, 2026
Apr 1, 20212 then
Private funds1 as of Mar 29, 2022
Apr 1, 20211 then
RAUM -75% over the last fiscal year-60% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $37.4MderivedRAUM 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
- $37.4MderivedRAUM 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
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisersreportedItem 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$37.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
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
- R••••• E• E••••• from L••• P•••• W••••• M••••••••• L••May 14, 2020 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• C••• R•••••• V•• F••• L•no longer reported | Hedge Fund | $4.0M | 3 | Nov 3, 2020 |
Owners and control persons
Schedule A and B, latest filing
- E•••••• R•••••• E• · Chief Compliance Officercontrolsince 08/2023 · owns 75% or more
Related persons
Schedule D 7.A
- A••••••• M••••••••• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 4, 2025discretionary share of RAUM moved from 100.0% to 47.0% between the annual amendments of 2024-03-31 and 2025-04-04peers: asset managers, under $100M (330)
- institutional asset share shiftChange between filings · filing Apr 4, 2025institutional share of RAUM moved from 81.0% to 53.0% between the annual amendments of 2024-03-31 and 2025-04-04peers: asset managers, under $100M (330)
What changed
consecutive filings, newest first
- Accounts · 3 to 1Apr 4, 2025 to Jun 17, 2026
- Advisory employees · 3 to 1Apr 4, 2025 to Jun 17, 2026
- Employees · 3 to 1Apr 4, 2025 to Jun 17, 2026
- State-registered IARs · 2 to 1Apr 4, 2025 to Jun 17, 2026
- Discretionary RAUM · $53.1M to $0Apr 4, 2025 to Jun 17, 2026
- Non-discretionary RAUM · $59.8M to $37.4MApr 4, 2025 to Jun 17, 2026
- RAUM · $113M to $37.4MApr 4, 2025 to Jun 17, 2026
- Advisory employees · 4 to 3Sep 11, 2024 to Apr 4, 2025
- Assets in custody · unset to 0.0Sep 11, 2024 to Apr 4, 2025
- Employees · 4 to 3Sep 11, 2024 to Apr 4, 2025
- Financial planning clients · unset to Sep 11, 2024 to Apr 4, 2025
- State-registered IARs · 1 to 2Sep 11, 2024 to Apr 4, 2025
- Discretionary RAUM · $151M to $53.1MSep 11, 2024 to Apr 4, 2025
- Non-discretionary RAUM · $0 to $59.8MSep 11, 2024 to Apr 4, 2025
- RAUM · $151M to $113MSep 11, 2024 to Apr 4, 2025
- Accounts · 4 to 3Aug 11, 2023 to Mar 31, 2024
- Advisory activities · 4 to 3Aug 11, 2023 to Mar 31, 2024
- HNW clients · 1.0 to unsetAug 11, 2023 to Mar 31, 2024
- Discretionary RAUM · $89.0M to $151MAug 11, 2023 to Mar 31, 2024
- HNW RAUM · 12000000.0 to unsetAug 11, 2023 to Mar 31, 2024
- RAUM · $89.0M to $151MAug 11, 2023 to Mar 31, 2024
- HNW RAUM · $3.0M to $12.0MMar 30, 2023 to Apr 11, 2023
- Accounts · 38 to 4Jun 16, 2022 to Mar 30, 2023
- HNW clients · unset to 1.0Jun 16, 2022 to Mar 30, 2023
- Pooled vehicle clients · 1.0 to unsetJun 16, 2022 to Mar 30, 2023
- Private funds · 1 to unsetJun 16, 2022 to Mar 30, 2023
- Discretionary RAUM · $578M to $89.0MJun 16, 2022 to Mar 30, 2023
- HNW RAUM · $10.0M to $3.0MJun 16, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · 3979370.0 to unsetJun 16, 2022 to Mar 30, 2023
- RAUM · $578M to $89.0MJun 16, 2022 to Mar 30, 2023
- Discretionary RAUM · $10.0M to $578MJun 1, 2022 to Jun 16, 2022
- Non-discretionary RAUM · $568M to $0Jun 1, 2022 to Jun 16, 2022
- Accounts · 4 to 38Apr 19, 2021 to Mar 29, 2022
- Advisory employees · 1 to 4Apr 19, 2021 to Mar 29, 2022
- Advisory activities · 3 to 4Apr 19, 2021 to Mar 29, 2022
- Employees · 1 to 4Apr 19, 2021 to Mar 29, 2022
- Other offices · 0 to 1Apr 19, 2021 to Mar 29, 2022
- Discretionary RAUM · $458M to $10.0MApr 19, 2021 to Mar 29, 2022
- HNW RAUM · unset to 10000000.0Apr 19, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $0 to $568MApr 19, 2021 to Mar 29, 2022
Signals
6 dated events
- C Abel Ramirez (Chief Compliance Officer) no longer on Schedule A of A••••••• C••••••• L•• (listed 2023-04-18, absent 2023-08-11)Aug 11, 2023 · Control person left · inference
- A••••••• C••••••• L•• reported RAUM $89.0M, down 85% from $578.0M (2022-06-16 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- A••••••• C••••••• L•• reported RAUM $578.0M, up 26% from $458.0M (2021-04-19 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- C Abel Ramirez (Chief Compliance Officer) appeared on Schedule A of A••••••• C••••••• L••Mar 29, 2022 · Control person joined · fact
- Hagan Randall Fields (Chief Compliance Officer) no longer on Schedule A of A••••••• C••••••• L•• (listed 2021-04-19, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- A••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Nov 3, 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.
How to reach
public business contact points only, each with its source
- Website
- a•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 833-653-6400reportedpublic record, Form ADV, Jun 17, 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
- $37.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026