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•••• V•••••••
Legal name A•••• V••••••• I••••••••• P••••••• L••
Latest filing Apr 15, 2026
First filing on the tape Jun 5, 2024 · 5 filings
SEC status approved since Jul 12, 2024
RAUM
$180M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
67%
$120M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$89.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$180M as of Apr 15, 2026
Apr 24, 2025$135M then
HNW client RAUM$100M as of Apr 15, 2026
Apr 24, 2025$65.3M then
State-registered IARs (5.B.3)2 as of Apr 15, 2026
Apr 24, 20252 then
Employees (5.A)2 as of Apr 15, 2026
Apr 24, 20252 then
Private funds1 as of Apr 15, 2026
Apr 24, 20251 then
RAUM +33% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Apr 15, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $89.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $3.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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 businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $59.2M, 2 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$100M56%
- Pooled investment vehicles$59.2M33%
- Individuals$20.2M11%
- Individual clients
- 10reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 52reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $59.2M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.67 fund_share=0.33 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• C••••••••• B•••••• | Nashville, Tn | Jan 17, 2020 | 17 y | 0 |
| C•••••• E•••• L•••••• | New York, Ny | Mar 21, 2021 | 15 y | 0 |
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
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•• C•• P•••••• E••••• A••••• F••• I• L•• | Private Equity Fund | $42.9M | 55 | Nov 20, 2019 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• S••••••• C••••••••• · Founder & Ceocontrolsince 10/2018 · owns 75% or more of A•••• V••••••• I••••••••• H••••••• L••
- B••••••• S••••••• C••••••••• · Chief Compliance Officersince 01/2020 · owns less than 5%
- L••••••• C••••••• E•••• · Chief Investment Officersince 01/2021 · owns less than 5%
- L••••••• C••••••• E•••• · Chief Investment Officersince 01/2021 · owns F of A•••• V••••••• I••••••••• H••••••• L••
Entity owners
- A•••• V••••••• I••••••••• H••••••• L•• · Memberdirect · owns 75% or more
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
- HNW clients · 41 to 40Apr 24, 2025 to Mar 18, 2026
- Individual clients · 9 to 10Apr 24, 2025 to Mar 18, 2026
- Assets in custody · $50.0M to $59.2MApr 24, 2025 to Mar 18, 2026
- Discretionary RAUM · $135M to $180MApr 24, 2025 to Mar 18, 2026
- HNW RAUM · $65.3M to $100MApr 24, 2025 to Mar 18, 2026
- Individual RAUM · $19.3M to $20.2MApr 24, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $50.0M to $59.2MApr 24, 2025 to Mar 18, 2026
- RAUM · $135M to $180MApr 24, 2025 to Mar 18, 2026
- Accounts · 55 to 52Jun 12, 2024 to Apr 24, 2025
- Individual clients · 12 to 9Jun 12, 2024 to Apr 24, 2025
- Financial planning clients · unset to Jun 12, 2024 to Apr 24, 2025
- HQ city · unset to Jun 12, 2024 to Apr 24, 2025
- HQ state · unset to Jun 12, 2024 to Apr 24, 2025
- Other offices · 0 to 1Jun 12, 2024 to Apr 24, 2025
- Discretionary RAUM · $126M to $135MJun 12, 2024 to Apr 24, 2025
- HNW RAUM · $58.4M to $65.3MJun 12, 2024 to Apr 24, 2025
- Individual RAUM · $20.1M to $19.3MJun 12, 2024 to Apr 24, 2025
- Non-discretionary RAUM · $2.3M to $0Jun 12, 2024 to Apr 24, 2025
- RAUM · $128M to $135MJun 12, 2024 to Apr 24, 2025
- Related bank · true to falseJun 12, 2024 to Apr 24, 2025
- Private funds · 2 to 1Jun 5, 2024 to Jun 12, 2024
Signals
1 dated events
- A•••• V••••••• filed its initial SEC registration (Form ADV)Jun 5, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••• V••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/64656852/adminreportedpublic record, Form ADV, Sep 19, 2026
- Website
- a••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 901-230-5576reportedpublic record, Form ADV, Apr 15, 2026
- Contact form
- a••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- a••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $89.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026