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
L••••••• D•••• M••••••••• L••
Latest filing Apr 29, 2026
First filing on the tape Mar 10, 2022 · 7 filings
SEC status approved since Apr 8, 2022
RAUM
$372M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
16
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$372M as of Apr 29, 2026
Mar 27, 2023$260M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 29, 2026
Mar 27, 20230 then
Employees (5.A)1 as of Apr 29, 2026
Mar 27, 20231 then
Private funds16 as of Apr 29, 2026
Mar 27, 202314 then
RAUM +22% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 29, 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
- $23.3MderivedRAUM 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
- +22%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$372M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 16reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| U•••• L••• E•••••••• P••••••• L•• | Private Equity Fund | $93.8M | 90 | Mar 10, 2022 |
| U•••• L••• T••••• P••••••• L•• | Private Equity Fund | $40.1M | 88 | Mar 27, 2023 |
| U•••• L••• S••••• P••••••• L• | Private Equity Fund | $23.2M | 10 | Mar 10, 2022 |
| U•••• L••• P• P••••••• L•• | Private Equity Fund | $21.9M | 17 | Mar 10, 2022 |
| U•••• L••• O• P••••••• L•• | Private Equity Fund | $17.0M | 38 | Mar 10, 2022 |
| U•••• L••• C••••••• P••••••• | Private Equity Fund | $15.9M | 56 | Mar 10, 2022 |
| U•••• L••• M•• I••••••••• L•• | Private Equity Fund | $15.4M | 4 | Mar 10, 2022 |
| U•••• L••• L••••• P••••••• L•• | Private Equity Fund | $11.5M | 8 | Mar 10, 2022 |
| U•••• L••• S•••• P••••••• L•• | Private Equity Fund | $7.3M | 10 | Mar 10, 2022 |
| U•••• L••• T••••••••• P••••••• L•• | Private Equity Fund | $6.2M | 25 | Mar 10, 2022 |
| U•••• L••• I••• P••••••• L•• | Private Equity Fund | $6.1M | 11 | Mar 10, 2022 |
| U•••• L••• W••• P••••••• L•• | Private Equity Fund | $6.1M | 8 | Mar 10, 2022 |
| U•••• L••• B• P••••••• | Private Equity Fund | $6.0M | 5 | Mar 10, 2022 |
| U•••• L••• T•••• P••••••• L•• | Private Equity Fund | $4.5M | 17 | Mar 10, 2022 |
Owners and control persons
Schedule A and B, latest filing
- S•••••• E•••• S•••• · Owner/Chief Compliance Officercontrolsince 12/2019 · owns 75% or more
Related persons
Schedule D 7.A
- U•••• L••• C••••••• P••••••• M•••••• L••pooled vehicle sponsory
- U•••• L••• E•••••••• P••••••• M•••••• L••pooled vehicle sponsory
- U•••• L••• M•• I••••••••• M•••••• L••pooled vehicle sponsory
- U•••• L••• O• P••••••• M•••••• L••pooled vehicle sponsory
- U•••• L••• P• P••••••• M•••••• L••pooled vehicle sponsory
- U•••• L••• S••••• P••••••• G• L••pooled vehicle sponsory
- U•••• L••• S•••• P••••••• M•••••• L••pooled vehicle sponsory
- U•••• L••• T•••• P••••••• M•••••• L••pooled vehicle sponsory
- U•••• L••• T••••••••• P••••••• M•••••• L••pooled vehicle sponsory
- U•••• L••• T••••• P••••••• M•••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 14 to 16Mar 25, 2025 to Mar 24, 2026
- Pooled vehicle clients · 14 to 16Mar 25, 2025 to Mar 24, 2026
- Private funds · 14 to 16Mar 25, 2025 to Mar 24, 2026
- Discretionary RAUM · $305M to $372MMar 25, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $305M to $372MMar 25, 2025 to Mar 24, 2026
- RAUM · $305M to $372MMar 25, 2025 to Mar 24, 2026
- Financial planning clients · unset to Mar 20, 2024 to Mar 25, 2025
- Discretionary RAUM · $275M to $305MMar 20, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $275M to $305MMar 20, 2024 to Mar 25, 2025
- RAUM · $275M to $305MMar 20, 2024 to Mar 25, 2025
- Discretionary RAUM · $260M to $275MMay 1, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $260M to $275MMay 1, 2023 to Mar 20, 2024
- RAUM · $260M to $275MMay 1, 2023 to Mar 20, 2024
- Accounts · 13 to 14Mar 10, 2022 to Mar 27, 2023
- Pooled vehicle clients · 13 to 14Mar 10, 2022 to Mar 27, 2023
- Private funds · 13 to 14Mar 10, 2022 to Mar 27, 2023
- Discretionary RAUM · $182M to $260MMar 10, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $182M to $260MMar 10, 2022 to Mar 27, 2023
- RAUM · $182M to $260MMar 10, 2022 to Mar 27, 2023
Signals
1 dated events
- L••••••• D•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 10, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••••••• D•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- L••••••• D•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 248-939-3877reportedpublic record, Form ADV, Apr 29, 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