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

R••••• A••••••• I••

Former SEC-registered adviserCRD 310430SEC 801-119538IAPD
Latest filing Aug 13, 2024
First filing on the tape Aug 27, 2020 · 17 filings
RAUM
$49.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$49.7M 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
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$49.0M as of Apr 1, 2024
Apr 30, 2021$24.2M then
HNW client RAUM$49.0M as of Apr 1, 2024
Apr 30, 2021$24.2M then
State-registered IARs (5.B.3)0 as of Apr 1, 2024
Apr 30, 20210 then
Employees (5.A)1 as of Apr 1, 2024
Apr 30, 20211 then
Private funds: no history
RAUM +10% over the last fiscal year+27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 13, 2024; 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
$5.5MderivedHNW RAUM over HNW clients
Average account
$5.5MderivedRAUM 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
+8.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-18%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
  • 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$49.7M100%
Individual clients
0reported
HNW clients
9reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
9reported
Financial planning clients
n/areported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E••••••• R•••••• · Chief Compliance Officercontrol
        since 07/2020 · 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
      • Financial planning clients · 0 to unset
        Apr 1, 2024 to Aug 13, 2024
      • Discretionary RAUM · $49.0M to $49.7M
        Apr 1, 2024 to Aug 13, 2024
      • HNW RAUM · $49.0M to $49.7M
        Apr 1, 2024 to Aug 13, 2024
      • RAUM · $49.0M to $49.7M
        Apr 1, 2024 to Aug 13, 2024
      • Accounts · 11 to 9
        Mar 31, 2023 to Apr 1, 2024
      • HNW clients · 11 to 9
        Mar 31, 2023 to Apr 1, 2024
      • Discretionary RAUM · $45.0M to $49.0M
        Mar 31, 2023 to Apr 1, 2024
      • HNW RAUM · $45.0M to $49.0M
        Mar 31, 2023 to Apr 1, 2024
      • RAUM · $45.0M to $49.0M
        Mar 31, 2023 to Apr 1, 2024
      • Discretionary RAUM · $48.0M to $45.0M
        Aug 25, 2022 to Mar 31, 2023
      • HNW RAUM · $48.0M to $45.0M
        Aug 25, 2022 to Mar 31, 2023
      • RAUM · $48.0M to $45.0M
        Aug 25, 2022 to Mar 31, 2023
      • Accounts · 10 to 11
        Mar 31, 2022 to Aug 17, 2022
      • HNW clients · 10 to 11
        Mar 31, 2022 to Aug 17, 2022
      • Financial planning clients · unset to 0
        Mar 31, 2022 to Aug 17, 2022
      • Discretionary RAUM · $51.0M to $48.0M
        Mar 31, 2022 to Aug 17, 2022
      • HNW RAUM · $51.0M to $48.0M
        Mar 31, 2022 to Aug 17, 2022
      • RAUM · $51.0M to $48.0M
        Mar 31, 2022 to Aug 17, 2022
      • Accounts · 8 to 10
        Apr 30, 2021 to Jan 19, 2022
      • HNW clients · 8 to 10
        Apr 30, 2021 to Jan 19, 2022
      • Discretionary RAUM · $24.2M to $51.0M
        Apr 30, 2021 to Jan 19, 2022
      • HNW RAUM · $24.2M to $51.0M
        Apr 30, 2021 to Jan 19, 2022
      • RAUM · $24.2M to $51.0M
        Apr 30, 2021 to Jan 19, 2022
      • Discretionary RAUM · $22.1M to $24.2M
        Mar 1, 2021 to Apr 30, 2021
      • HNW RAUM · $22.1M to $24.2M
        Mar 1, 2021 to Apr 30, 2021
      • RAUM · $22.1M to $24.2M
        Mar 1, 2021 to Apr 30, 2021
      • Accounts · unset to 8.0
        Oct 1, 2020 to Jan 28, 2021
      • Advisory employees · 0 to 1
        Oct 1, 2020 to Jan 28, 2021
      • Charity clients · unset to 0.0
        Oct 1, 2020 to Jan 28, 2021
      • Corporate clients · unset to 0.0
        Oct 1, 2020 to Jan 28, 2021
      • HNW clients · unset to 8.0
        Oct 1, 2020 to Jan 28, 2021
      • Individual clients · unset to 0.0
        Oct 1, 2020 to Jan 28, 2021
      • Pension plan clients · unset to 0.0
        Oct 1, 2020 to Jan 28, 2021
      • Pooled vehicle clients · unset to 0.0
        Oct 1, 2020 to Jan 28, 2021
      • Employees · 0 to 1
        Oct 1, 2020 to Jan 28, 2021
      • Discretionary RAUM · unset to 22100000.0
        Oct 1, 2020 to Jan 28, 2021
      • HNW RAUM · unset to 22100000.0
        Oct 1, 2020 to Jan 28, 2021
      • Individual RAUM · unset to 0.0
        Oct 1, 2020 to Jan 28, 2021
      • Non-discretionary RAUM · unset to 0.0
        Oct 1, 2020 to Jan 28, 2021
      • Pension RAUM · unset to 0.0
        Oct 1, 2020 to Jan 28, 2021
      Signals
      1 dated events
      • R••••• A••••••• I•• filed its initial SEC registration (Form ADV)
        Aug 27, 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