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
D•••• J•••• F••••••••
Latest filing Feb 12, 2025
First filing on the tape Jan 27, 2022 · 11 filings
SEC status approved since Feb 25, 2022
RAUM
$116M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$115M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$116M as of Feb 12, 2025
Mar 20, 2023$95.0M then
HNW client RAUM$89.7M as of Feb 12, 2025
Mar 20, 2023$55.0M then
State-registered IARs (5.B.3)2 as of Feb 12, 2025
Mar 20, 20232 then
Employees (5.A)4 as of Feb 12, 2025
Mar 20, 20232 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 3 to 2offices 1 to 0
Practice profile
derived from the filing of Feb 12, 2025; every figure names its basis
- RAUM per advisor
- $58.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $296,992derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +29%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$89.7M77%
- Individuals$25.6M22%
- Charitable organizations$787,4120.7%
- Individual clients
- 142reported
- HNW clients
- 46reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 391reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- D•••• P•••••• S••••• to L••• F••••• W••••• M•••••••••Mar 25, 2026 · RIA to a newly registered adviser
Joined, latest
- D•••• P•••••• S••••• from F•••••••• I••••••••• C•••••••••Apr 24, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••• D••••• J•••• · Presidentcontrolsince 07/2016 · owns 75% or more
- S•••••• D••••• P•••••• · Vice Presidentcontrolsince 05/2023 · owns less than 5%
- B•••••• R••••••• A•• · Chief Compliance Officersince 04/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| North Liberty, Ia · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 305 to 391Sep 13, 2024 to Feb 12, 2025
- Advisory employees · 3 to 2Sep 13, 2024 to Feb 12, 2025
- BD registered reps · 1 to 3Sep 13, 2024 to Feb 12, 2025
- Charity clients · 0.0 to unsetSep 13, 2024 to Feb 12, 2025
- HNW clients · 45 to 46Sep 13, 2024 to Feb 12, 2025
- Individual clients · 101 to 142Sep 13, 2024 to Feb 12, 2025
- Employees · 3 to 4Sep 13, 2024 to Feb 12, 2025
- Insurance-licensed employees · 1 to 0Sep 13, 2024 to Feb 12, 2025
- Financial planning clients · unset to Sep 13, 2024 to Feb 12, 2025
- State-registered IARs · 3 to 2Sep 13, 2024 to Feb 12, 2025
- Discretionary RAUM · $96.6M to $116MSep 13, 2024 to Feb 12, 2025
- HNW RAUM · $79.5M to $89.7MSep 13, 2024 to Feb 12, 2025
- Individual RAUM · $17.2M to $25.6MSep 13, 2024 to Feb 12, 2025
- RAUM · $96.6M to $116MSep 13, 2024 to Feb 12, 2025
- Organization form · Limited Liability Partnership to Sole ProprietorshipMay 9, 2024 to Sep 13, 2024
- Other offices · 1 to 0Feb 28, 2024 to May 9, 2024
- Organization form · Sole Proprietorship to Limited Liability PartnershipFeb 28, 2024 to May 9, 2024
- Legal name · L•••• D••••• J•••• to D•••• J•••• F••••••••May 9, 2024 to May 9, 2024
- Accounts · 331 to 305Dec 26, 2023 to Feb 28, 2024
- HNW clients · 31 to 45Dec 26, 2023 to Feb 28, 2024
- Individual clients · 160 to 101Dec 26, 2023 to Feb 28, 2024
- Discretionary RAUM · $95.0M to $96.6MDec 26, 2023 to Feb 28, 2024
- HNW RAUM · $55.0M to $79.5MDec 26, 2023 to Feb 28, 2024
- Individual RAUM · $40.0M to $17.2MDec 26, 2023 to Feb 28, 2024
- RAUM · $95.0M to $96.6MDec 26, 2023 to Feb 28, 2024
- Advisory employees · 2 to 3Mar 20, 2023 to May 2, 2023
- Employees · 2 to 3Mar 20, 2023 to May 2, 2023
- State-registered IARs · 2 to 3Mar 20, 2023 to May 2, 2023
- Accounts · 281 to 331Apr 20, 2022 to Mar 20, 2023
- HNW clients · 34 to 31Apr 20, 2022 to Mar 20, 2023
- Individual clients · 247 to 160Apr 20, 2022 to Mar 20, 2023
- Discretionary RAUM · $105M to $95.0MApr 20, 2022 to Mar 20, 2023
- HNW RAUM · $85.0M to $55.0MApr 20, 2022 to Mar 20, 2023
- Individual RAUM · $20.0M to $40.0MApr 20, 2022 to Mar 20, 2023
- RAUM · $105M to $95.0MApr 20, 2022 to Mar 20, 2023
Signals
4 dated events
- D•••• J•••• F•••••••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $116.1M)Apr 1, 2026 · Left the SEC roster · derived
- D•••• P•••••• S••••• left D•••• J•••• F•••••••• for L••• F••••• W••••• M••••••••• (registered 2025-11-20)Mar 25, 2026 · Advisor changed firm · fact
- Patrick David Senkyr (General Partner) appeared on Schedule A of D•••• J•••• F••••••••Jun 8, 2023 · Control person joined · fact
- D•••• J•••• F•••••••• filed its initial SEC registration (Form ADV)Jan 27, 2022 · 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