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••••••• L••
Latest filing Sep 28, 2025
First filing on the tape Nov 6, 2019 · 13 filings
SEC status approved since Dec 20, 2019
RAUM
$270,831
reported, Item 5.F
Discretionary
55%
of RAUM
Private clients
27%
$71,930 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
13 filings and snapshots on the tape
RAUM$270,831 as of Sep 28, 2025
Aug 31, 2020$823 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 28, 2025
Aug 31, 20200 then
Employees (5.A)2 as of Sep 28, 2025
Aug 31, 20202 then
Private funds: no history
RAUM -16% over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 28, 2025; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $38,690derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 55%derivedof RAUM
- Institutional
- 73%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
- -38%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, publications, educational seminars, otherreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$142,36353%
- Individuals$71,93027%
- Charitable organizations$56,53821%
- Individual clients
- 12reported
- HNW clients
- 0reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 7reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.27 fund_share=0.0 institutional_share=0.73 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
- G•••••• R••••••• M••••• · Foundercontrolsince 08/2019 · owns less than 5%
- B•••• T••••••• A••••• A••••• · Ccosince 10/2019 · owns less than 5%
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 7Sep 6, 2024 to Sep 28, 2025
- Financial planning clients · 0 to 0Sep 6, 2024 to Sep 28, 2025
- Discretionary RAUM · $150,208 to $150,269Sep 6, 2024 to Sep 28, 2025
- Individual RAUM · $72,587 to $71,930Sep 6, 2024 to Sep 28, 2025
- Non-discretionary RAUM · $51,074 to $120,562Sep 6, 2024 to Sep 28, 2025
- Pension RAUM · $72,891 to $142,363Sep 6, 2024 to Sep 28, 2025
- RAUM · $201,282 to $270,831Sep 6, 2024 to Sep 28, 2025
- Accounts · 16 to 11Aug 23, 2023 to Sep 6, 2024
- Financial planning clients · 11-25 to 0Aug 23, 2023 to Sep 6, 2024
- Discretionary RAUM · $323,300 to $150,208Aug 23, 2023 to Sep 6, 2024
- Individual RAUM · $177,000 to $72,587Aug 23, 2023 to Sep 6, 2024
- Non-discretionary RAUM · $0 to $51,074Aug 23, 2023 to Sep 6, 2024
- Pension RAUM · $95,000 to $72,891Aug 23, 2023 to Sep 6, 2024
- RAUM · $323,300 to $201,282Aug 23, 2023 to Sep 6, 2024
- Advisory activities · 3 to 5Aug 30, 2022 to Aug 23, 2023
- HQ city · QUEENS PARK, WESTERN AUSTRALIA to SHERIDANAug 30, 2022 to Aug 23, 2023
- HQ state · unset to WYAug 30, 2022 to Aug 23, 2023
- Discretionary RAUM · $475,000 to $323,300Aug 30, 2022 to Aug 23, 2023
- Individual RAUM · $405,000 to $177,000Aug 30, 2022 to Aug 23, 2023
- Non-discretionary RAUM · $25,000 to $0Aug 30, 2022 to Aug 23, 2023
- Pension RAUM · $45,000 to $95,000Aug 30, 2022 to Aug 23, 2023
- RAUM · $500,000 to $323,300Aug 30, 2022 to Aug 23, 2023
- Accounts · 17 to 16Aug 27, 2021 to Aug 30, 2022
- Individual clients · unset to 12.0Aug 27, 2021 to Aug 30, 2022
- Pension plan clients · 1 to 2Aug 27, 2021 to Aug 30, 2022
- Discretionary RAUM · $783,000 to $475,000Aug 27, 2021 to Aug 30, 2022
- Individual RAUM · $719,000 to $405,000Aug 27, 2021 to Aug 30, 2022
- Non-discretionary RAUM · $0 to $25,000Aug 27, 2021 to Aug 30, 2022
- Pension RAUM · $5,000 to $45,000Aug 27, 2021 to Aug 30, 2022
- RAUM · $783,000 to $500,000Aug 27, 2021 to Aug 30, 2022
- Accounts · 1 to 17Jun 2, 2021 to Aug 27, 2021
- Charity clients · 0 to 1Jun 2, 2021 to Aug 27, 2021
- Pension plan clients · 0 to 1Jun 2, 2021 to Aug 27, 2021
- Financial planning clients · 1-10 to 11-25Jun 2, 2021 to Aug 27, 2021
- HQ city · unset to QUEENS PARK, WESTERN AUSTRALIAJun 2, 2021 to Aug 27, 2021
- Discretionary RAUM · $558,850 to $783,000Jun 2, 2021 to Aug 27, 2021
- Individual RAUM · $558,850 to $719,000Jun 2, 2021 to Aug 27, 2021
- Pension RAUM · unset to 5000.0Jun 2, 2021 to Aug 27, 2021
- RAUM · $558,850 to $783,000Jun 2, 2021 to Aug 27, 2021
- Advisory activities · 1 to 3Aug 31, 2020 to Feb 18, 2021
Signals
1 dated events
- A••••••• L•• filed its initial SEC registration (Form ADV)Nov 6, 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
- Firm profile
- linkedin.com/company/42781911reportedpublic record, Form ADV, Sep 18, 2026
- Website
- afinitiv.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- +61404730453reportedpublic record, Form ADV, Sep 28, 2025
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
- Wealth manager with institutional or fund businessderiveda 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