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
I••••••••• 4•••• L••
Latest filing Jun 30, 2022
First filing on the tape Aug 26, 2020 · 18 filings
RAUM
$1.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.4M 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
18 filings and snapshots on the tape
RAUM$1.4M as of Mar 29, 2022
Jan 13, 2021$0 then
HNW client RAUM$0 as of Mar 29, 2022
Jan 13, 2021$0 then
State-registered IARs (5.B.3)2 as of Mar 29, 2022
Jan 13, 20212 then
Employees (5.A)4 as of Mar 29, 2022
Jan 13, 20215 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jun 30, 2022; every figure names its basis
- RAUM per advisor
- $703,514derivedRAUM 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
- $117,252derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- subscriptionreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.4M100%
- Individual clients
- 12reported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 12reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
Left, latest
- M•••••• J••••••• F•••• to A• W••••• M••••••••• L••Jun 30, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- M•••••• J••••••• F•••• from B••••••• W••••• A•••••••• L••Nov 12, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• S•••••• P•••••• · Chief Executive Officercontrolsince 04/2020 · owns less than 5%
- F••••• M••••••• J••••••• · Presidentcontrolsince 04/2020 · owns less than 5%
- F••••• W••••••• H• · Chief Information Officer/Chief Technology Officer.controlsince 04/2020 · owns less than 5%
- H•••••••• R••••••• E••••••• · Cfocontrolsince 06/2020 · owns less than 5%
- S••••• E••••••• · Chief Compliance Officercontrolsince 08/2020 · owns less than 5%
- D•••••••• S•••••• P•••••• · Chief Executive Officer & Membercontrolsince 05/2020 · owns 25% to 50% of I••••••••• H••••••• D••••••• L••
- F••••• M••••••• J••••••• · President & Membercontrolsince 05/2020 · owns 25% to 50% of I••••••••• H••••••• D••••••• L••
Entity owners
- I••••••••• H••••••• D••••••• 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
- Accounts · 0 to 12Dec 10, 2021 to Mar 29, 2022
- HNW clients · 0.0 to unsetDec 10, 2021 to Mar 29, 2022
- Individual clients · 0 to 12Dec 10, 2021 to Mar 29, 2022
- Employees · 5 to 4Dec 10, 2021 to Mar 29, 2022
- Discretionary RAUM · $0 to $1.4MDec 10, 2021 to Mar 29, 2022
- Individual RAUM · $0 to $1.4MDec 10, 2021 to Mar 29, 2022
- RAUM · $0 to $1.4MDec 10, 2021 to Mar 29, 2022
- Advisory employees · 1 to 2Mar 22, 2021 to Mar 24, 2021
- BD registered reps · 1 to 0Mar 22, 2021 to Mar 24, 2021
- Charity clients · unset to 0.0Dec 2, 2020 to Jan 13, 2021
- Corporate clients · unset to 0.0Dec 2, 2020 to Jan 13, 2021
- HNW clients · unset to 0.0Dec 2, 2020 to Jan 13, 2021
- Individual clients · unset to 0.0Dec 2, 2020 to Jan 13, 2021
- Pension plan clients · unset to 0.0Dec 2, 2020 to Jan 13, 2021
- Pooled vehicle clients · unset to 0.0Dec 2, 2020 to Jan 13, 2021
- HNW RAUM · unset to 0.0Dec 2, 2020 to Jan 13, 2021
- Individual RAUM · unset to 0.0Dec 2, 2020 to Jan 13, 2021
- Pension RAUM · unset to 0.0Dec 2, 2020 to Jan 13, 2021
- Pooled vehicle RAUM · unset to 0.0Dec 2, 2020 to Jan 13, 2021
- BD registered reps · 2 to 1Oct 14, 2020 to Oct 26, 2020
Signals
6 dated events
- M•••••• J••••••• F•••• left I••••••••• 4•••• L•• for A• W••••• M••••••••• L•• (registered 2022-09-21)Jun 30, 2022 · Advisor changed firm · fact
- Jonathan Michael F•••• (President) appeared on Schedule A of I••••••••• 4•••• L••Sep 10, 2020 · Control person joined · fact
- Patrick Steven Demarest (Chief Executive Officer) appeared on Schedule A of I••••••••• 4•••• L••Sep 9, 2020 · Control person joined · fact
- H. W•••••• F•••• (President) appeared on Schedule A of I••••••••• 4•••• L••Sep 9, 2020 · Control person joined · fact
- Elizabet Rebecca Hamilton (Cfo) appeared on Schedule A of I••••••••• 4•••• L••Sep 9, 2020 · Control person joined · fact
- I••••••••• 4•••• L•• filed its initial SEC registration (Form ADV)Aug 26, 2020 · 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