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
C•••• C•••••• A•••• M••••••••• L•••••
Latest filing Feb 17, 2026
First filing on the tape Jan 27, 2021 · 7 filings
SEC status approved since Feb 26, 2021
RAUM
$304M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$288M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$304M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$304M as of Feb 17, 2026
Apr 6, 2022$209M then
HNW client RAUM$288M as of Feb 17, 2026
Apr 6, 2022$168M then
State-registered IARs (5.B.3)0 as of Feb 17, 2026
Apr 6, 20220 then
Employees (5.A)1 as of Feb 17, 2026
Apr 6, 20221 then
Private funds: no history
RAUM +18% over the last fiscal year+27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $304MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $16.0MderivedHNW RAUM over HNW clients
- Average account
- $16.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.9%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$288M95%
- Pension and profit-sharing plans$16.0M5.3%
- Individual clients
- 0reported
- HNW clients
- 18reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 19reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••••• B••••• | Dallas, Tx | Aug 21, 2024 | 35 y | 1 |
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
- A•••••••• B••••• from K•••• P•••• C•••••• M••••••••• L••Aug 21, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••••••• · Chief Compliance Officer And Managing Membercontrolsince 03/1999 · 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
- Accounts · 18 to 19Feb 10, 2025 to Feb 17, 2026
- HNW clients · 17 to 18Feb 10, 2025 to Feb 17, 2026
- Discretionary RAUM · $258M to $304MFeb 10, 2025 to Feb 17, 2026
- HNW RAUM · $244M to $288MFeb 10, 2025 to Feb 17, 2026
- Pension RAUM · $14.6M to $16.0MFeb 10, 2025 to Feb 17, 2026
- RAUM · $258M to $304MFeb 10, 2025 to Feb 17, 2026
- Accounts · 19 to 18Jul 15, 2024 to Feb 10, 2025
- Business name · C•••• C••••••• L••••• to C•••• C•••••• A•••• M••••••••• L•••••Jul 15, 2024 to Feb 10, 2025
- Charity clients · unset to 0.0Jul 15, 2024 to Feb 10, 2025
- Corporate clients · unset to 0.0Jul 15, 2024 to Feb 10, 2025
- Individual clients · unset to 0.0Jul 15, 2024 to Feb 10, 2025
- Pooled vehicle clients · unset to 0.0Jul 15, 2024 to Feb 10, 2025
- Financial planning clients · unset to Jul 15, 2024 to Feb 10, 2025
- HQ city · unset to Jul 15, 2024 to Feb 10, 2025
- HQ state · unset to Jul 15, 2024 to Feb 10, 2025
- Legal name · C•••• C••••••• L••••• to C•••• C•••••• A•••• M••••••••• L•••••Jul 15, 2024 to Feb 10, 2025
- Discretionary RAUM · $196M to $258MJul 15, 2024 to Feb 10, 2025
- HNW RAUM · $175M to $244MJul 15, 2024 to Feb 10, 2025
- Individual RAUM · unset to 0.0Jul 15, 2024 to Feb 10, 2025
- Pension RAUM · $11.7M to $14.6MJul 15, 2024 to Feb 10, 2025
- Pooled vehicle RAUM · unset to 0.0Jul 15, 2024 to Feb 10, 2025
- RAUM · $196M to $258MJul 15, 2024 to Feb 10, 2025
- Succession · true to falseJul 15, 2024 to Feb 10, 2025
- Succession · false to trueFeb 14, 2024 to Jul 15, 2024
- Discretionary RAUM · $147M to $196MMar 17, 2023 to Feb 14, 2024
- HNW RAUM · $119M to $175MMar 17, 2023 to Feb 14, 2024
- Pension RAUM · $9.0M to $11.7MMar 17, 2023 to Feb 14, 2024
- RAUM · $147M to $196MMar 17, 2023 to Feb 14, 2024
- Accounts · 20 to 19Apr 6, 2022 to Mar 17, 2023
- Discretionary RAUM · $209M to $147MApr 6, 2022 to Mar 17, 2023
- HNW RAUM · $168M to $119MApr 6, 2022 to Mar 17, 2023
- Pension RAUM · $11.4M to $9.0MApr 6, 2022 to Mar 17, 2023
- RAUM · $209M to $147MApr 6, 2022 to Mar 17, 2023
- Discretionary RAUM · $193M to $209MJan 27, 2021 to Apr 6, 2022
- HNW RAUM · $153M to $168MJan 27, 2021 to Apr 6, 2022
- Pension RAUM · $12.6M to $11.4MJan 27, 2021 to Apr 6, 2022
- RAUM · $193M to $209MJan 27, 2021 to Apr 6, 2022
Signals
2 dated events
- C•••• C••••••• L••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 15, 2024 · Succession (Item 4) · fact
- C•••• C••••••• L••••• filed its initial SEC registration (Form ADV)Jan 27, 2021 · 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
- Principal office phone
- 917-595-7500reportedpublic record, Form ADV, Feb 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $304Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026