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
I••
Legal name I••••••••• O••••• R••••••••• L••
Latest filing Feb 6, 2026
First filing on the tape Feb 4, 2024 · 5 filings
SEC status approved since Mar 5, 2024
RAUM
$127M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$127M
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
5 filings and snapshots on the tape
RAUM$127M as of Feb 6, 2026
Feb 5, 2025$113M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 6, 2026
Feb 5, 20251 then
Employees (5.A)11 as of Feb 6, 2026
Feb 5, 202511 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $127MderivedRAUM 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
- $31.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 11.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$127M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 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•••••• S•••••• W•••••••••Chartered Financial Analyst | Clayton, Mo | Jan 14, 2021 | 34 y | 3 |
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•••••• S•••••• W••••••••• from H••••••• W••••• M••••••••• L••Jan 14, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• J•••• · Chief Risk Officercontrolsince 10/2022 · owns 25% to 50%
- W••••••••• A••••••• S•••••• · Managing Principal / Ccocontrolsince 11/2020 · owns 50% to 75%
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 · 1 to 4Jul 22, 2025 to Jan 29, 2026
- Discretionary RAUM · $113M to $127MJul 22, 2025 to Jan 29, 2026
- RAUM · $113M to $127MJul 22, 2025 to Jan 29, 2026
- Insurance-licensed employees · 0 to 1Feb 5, 2025 to Jul 22, 2025
- Financial planning clients · 0 to 0Feb 5, 2025 to Jul 22, 2025
- Related adviser · false to trueFeb 5, 2025 to Jul 22, 2025
- Business name · I••••••••• O••••• R••••••••• L•• to IORFeb 4, 2024 to Feb 5, 2025
- Employees · 7 to 11Feb 4, 2024 to Feb 5, 2025
- Discretionary RAUM · $107M to $113MFeb 4, 2024 to Feb 5, 2025
- RAUM · $107M to $113MFeb 4, 2024 to Feb 5, 2025
Signals
1 dated events
- I••••••••• O••••• R••••••••• L•• filed its initial SEC registration (Form ADV)Feb 4, 2024 · 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
- Firm profile
- linkedin.com/company/iorllcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- iorllc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 833-467-7658 EXT. 1reportedpublic record, Form ADV, Feb 6, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026