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
N•• I•••
Latest filing Mar 31, 2026
First filing on the tape Jul 22, 2021 · 13 filings
SEC status approved since Sep 2, 2021
RAUM
$536,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$536,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 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$536,000 as of Mar 31, 2026
Mar 27, 2024$70,000 then
HNW client RAUM: $0
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 22, 20220 then
Employees (5.A)5 as of Mar 31, 2026
Mar 22, 20222 then
Private funds: no history
RAUM +49% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
- RAUM per advisor
- $536,000derivedRAUM 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
- $268,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +49%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$536,000100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
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
- C••••••• I••• · Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
- N•••• E••• · Trustee Of N••• F••••• T••••controlsince 08/2018 · owns less than 5%
- N•••• E••• · Trusteecontrolsince 08/2018 · owns 25% to 50% of N••• F••••• T••••
- P••••••••• S•••••••• L••• · Director, Operationssince 08/2023 · owns less than 5%
Entity owners
- N••• F••••• T•••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- N••• I•••••••• S••••••• I•••real estaten
- N••• P•••••• W••••• I•••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $360,000 to $536,000Mar 31, 2025 to Mar 31, 2026
- Individual RAUM · $360,000 to $536,000Mar 31, 2025 to Mar 31, 2026
- RAUM · $360,000 to $536,000Mar 31, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Nov 6, 2024 to Mar 31, 2025
- HQ state · unset to Nov 6, 2024 to Mar 31, 2025
- Discretionary RAUM · $70,000 to $360,000Nov 6, 2024 to Mar 31, 2025
- Individual RAUM · $70,000 to $360,000Nov 6, 2024 to Mar 31, 2025
- RAUM · $70,000 to $360,000Nov 6, 2024 to Mar 31, 2025
- Accounts · unset to 2.0Sep 21, 2023 to Mar 27, 2024
- Advisory employees · 1 to 5Sep 21, 2023 to Mar 27, 2024
- Charity clients · 0.0 to unsetSep 21, 2023 to Mar 27, 2024
- Corporate clients · 0.0 to unsetSep 21, 2023 to Mar 27, 2024
- HNW clients · 0.0 to unsetSep 21, 2023 to Mar 27, 2024
- Individual clients · 0.0 to unsetSep 21, 2023 to Mar 27, 2024
- Pension plan clients · 0.0 to unsetSep 21, 2023 to Mar 27, 2024
- Pooled vehicle clients · 0.0 to unsetSep 21, 2023 to Mar 27, 2024
- Employees · 2 to 5Sep 21, 2023 to Mar 27, 2024
- Insurance-licensed employees · 0 to 1Sep 21, 2023 to Mar 27, 2024
- State-registered IARs · 0 to 1Sep 21, 2023 to Mar 27, 2024
- Discretionary RAUM · unset to 70000.0Sep 21, 2023 to Mar 27, 2024
- HNW RAUM · 0.0 to unsetSep 21, 2023 to Mar 27, 2024
- Individual RAUM · $0 to $70,000Sep 21, 2023 to Mar 27, 2024
- Non-discretionary RAUM · unset to 0.0Sep 21, 2023 to Mar 27, 2024
- Pension RAUM · 0.0 to unsetSep 21, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · 0.0 to unsetSep 21, 2023 to Mar 27, 2024
- RAUM · unset to 70000.0Sep 21, 2023 to Mar 27, 2024
- Charity clients · unset to 0.0Mar 22, 2022 to Mar 30, 2023
- Corporate clients · unset to 0.0Mar 22, 2022 to Mar 30, 2023
- HNW clients · unset to 0.0Mar 22, 2022 to Mar 30, 2023
- Individual clients · unset to 0.0Mar 22, 2022 to Mar 30, 2023
- Pension plan clients · unset to 0.0Mar 22, 2022 to Mar 30, 2023
- Pooled vehicle clients · unset to 0.0Mar 22, 2022 to Mar 30, 2023
- HNW RAUM · unset to 0.0Mar 22, 2022 to Mar 30, 2023
- Individual RAUM · unset to 0.0Mar 22, 2022 to Mar 30, 2023
- Pension RAUM · unset to 0.0Mar 22, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · unset to 0.0Mar 22, 2022 to Mar 30, 2023
Signals
2 dated events
- I••• C•••••• (Chief Compliance Officer) appeared on Schedule A of N•• I•••Nov 6, 2024 · Control person joined · fact
- N•• I••• filed its initial SEC registration (Form ADV)Jul 22, 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
- 1.888.845.9980reportedpublic record, Form ADV, Mar 31, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026