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
C••••••• T•••••••••
Legal name C••••••• T••••••••• I•••
Latest filing Mar 14, 2024
First filing on the tape Nov 11, 2020 · 10 filings
RAUM
$46.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$46.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$46.7M as of Mar 14, 2024
Mar 29, 2023$20.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 14, 2024
Mar 31, 20220 then
Employees (5.A)11 as of Mar 14, 2024
Mar 31, 20227 then
Private funds: no history
RAUM +134% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 14, 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $15,841derivedRAUM 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
- +134%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$46.7M100%
- Individual clients
- 2,948reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,948reported
- Financial planning clients
- 0reported
- 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
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
- A•••••• A••••• · Chief Compliance Officer/Chief Operating Officercontrolsince 05/2020 · owns 10% to 25%
- L•• R•••• · Chief Technology Officercontrolsince 05/2020 · owns 10% to 25%
- R••••••• B••••••• · Chief Executive Officercontrolsince 05/2020 · owns 10% to 25%
Entity owners
- F•••• R•••• C•••••• · General Partnerdirect · owns 10% to 25%
- G••••• V••••••• · General Partnerdirect · owns 5% to 10%
- L••• L••• C•••••• · General Partnerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- C••••••• S••••••••• L••broker-dealery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,515 to 2,948Feb 1, 2024 to Mar 14, 2024
- Advisory employees · 2 to 1Feb 1, 2024 to Mar 14, 2024
- Individual clients · 1,800 to 2,948Feb 1, 2024 to Mar 14, 2024
- Employees · 7 to 11Feb 1, 2024 to Mar 14, 2024
- Discretionary RAUM · $1.7M to $46.7MFeb 1, 2024 to Mar 14, 2024
- Individual RAUM · $20.0M to $46.7MFeb 1, 2024 to Mar 14, 2024
- Non-discretionary RAUM · $18.3M to $0Feb 1, 2024 to Mar 14, 2024
- RAUM · $20.0M to $46.7MFeb 1, 2024 to Mar 14, 2024
- Related broker-dealer · false to trueFeb 1, 2024 to Mar 14, 2024
- Accounts · unset to 1515.0Nov 2, 2022 to Mar 29, 2023
- Individual clients · unset to 1800.0Nov 2, 2022 to Mar 29, 2023
- Discretionary RAUM · unset to 1723609.0Nov 2, 2022 to Mar 29, 2023
- Individual RAUM · unset to 20000000.0Nov 2, 2022 to Mar 29, 2023
- Non-discretionary RAUM · unset to 18276391.0Nov 2, 2022 to Mar 29, 2023
- RAUM · unset to 20000000.0Nov 2, 2022 to Mar 29, 2023
- Accounts · 3.0 to unsetJan 26, 2021 to Mar 31, 2022
- Individual clients · 3.0 to unsetJan 26, 2021 to Mar 31, 2022
- Discretionary RAUM · 541917.0 to unsetJan 26, 2021 to Mar 31, 2022
- Individual RAUM · 541917.0 to unsetJan 26, 2021 to Mar 31, 2022
- Non-discretionary RAUM · 0.0 to unsetJan 26, 2021 to Mar 31, 2022
- RAUM · 541917.0 to unsetJan 26, 2021 to Mar 31, 2022
Signals
2 dated events
- B•••• B••••• (Cco) no longer on Schedule A of C••••••• T••••••••• (listed 2024-01-25, absent 2024-02-01)Feb 1, 2024 · control person l••• · inference
- C••••••• T••••••••• filed its initial SEC registration (Form ADV)Nov 11, 2020 · ria f•••• adv filing · 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