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
A•••• E••••• P•••••••• L••
Latest filing May 5, 2026
First filing on the tape Jun 26, 2024 · 6 filings
SEC status approved since Jul 26, 2024
RAUM
$441M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
11
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$441M as of May 5, 2026
Mar 25, 2025$254M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 5, 2026
Mar 25, 20250 then
Employees (5.A)6 as of May 5, 2026
Mar 25, 20255 then
Private funds11 as of May 5, 2026
Mar 25, 202511 then
RAUM +74% over the last fiscal yearIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of May 5, 2026; 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
- $40.1MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +74%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $441M, 11 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$441M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $441M for 11 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• T•••••• I• L•• | Private Equity Fund | $50.2M | 1 | Mar 28, 2024 |
| A•••• I••••••••• C•• V•• L•• | Private Equity Fund | $41.5M | 5 | Mar 28, 2024 |
| A•••• I••••••••• C•• I••• L•• | Private Equity Fund | $33.9M | 2 | Jan 28, 2021 |
| A•••• I••••••••• C•• V• L•• | Private Equity Fund | $11.0M | 8 | Mar 31, 2023 |
| A•••• I••••••••• C•• I•• L•• | Private Equity Fund | $8.1M | 19 | Mar 30, 2022 |
| A•••• I••••••••• C•• I•• L•• | Private Equity Fund | $4.8M | 2 | Jan 28, 2021 |
| A•••• M•••••••• L•• | Private Equity Fund | $2.6M | 17 | Mar 31, 2023 |
| A•••• I••••••••• C•• I••••••• L•• | Private Equity Fund | $1.2M | 6 | Jan 28, 2021 |
| A•••• I••••••••• C•• V••• L•• | Private Equity Fund | $1.1M | 1 | Mar 31, 2023 |
| A•••• I••••••••• C•• I• L•• | Private Equity Fund | $35,496 | 2 | Jan 28, 2021 |
Owners and control persons
Schedule A and B, latest filing
- L••••• N••• · Managing Partner / Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- W••••••••• M•••••• · Managing Partnercontrolsince 04/2019 · owns less than 5%
- L••••• N••• · Trusteecontrolsince 05/2018 · owns 75% or more of N••• L•••• R•••••••• T••••
- W••••••••• M•••••• · Trusteecontrolsince 04/2019 · owns 75% or more of M•••••• W•••••••• 2••• R•••••••• T••••
Entity owners
- M•••••• W•••••••• 2••• R•••••••• T•••• · Managing Memberdirect · owns 50% to 75%
- N••• L•••• R•••••••• T•••• · Managing Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- A•••• I••••••••• C•• I• M••••••• L••pooled vehicle sponsorn
- A•••• I••••••••• C•• I• M••••••• L••pooled vehicle sponsorn
- A•••• I••••••••• C•• I•• M••••••• L••pooled vehicle sponsorn
- A•••• I••••••••• C•• I• M••••••• L••pooled vehicle sponsorn
- A•••• I••••••••• C•• V• M••••••• L••pooled vehicle sponsorn
- A•••• I••••••••• C•• V• M••••••• L••pooled vehicle sponsorn
- A•••• T•••••• I• M••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $254,034,136 to $441,361,766 (+74.0%) between the annual amendments of 2025-03-25 and 2026-03-30; the peer median change was +4.0% (1147 comparable advisers, 95.0th percentile of changes)peers: ASSET_M••••••, $100M to $500M (1,147) · 95% percentile
What changed
consecutive filings, newest first
- HQ city · MIAMI to WEST PALM BEACHMar 30, 2026 to May 5, 2026
- Advisory employees · 5 to 6May 9, 2025 to Mar 30, 2026
- Assets in custody · $254M to $441MMay 9, 2025 to Mar 30, 2026
- Employees · 5 to 6May 9, 2025 to Mar 30, 2026
- Other offices · 0 to 1May 9, 2025 to Mar 30, 2026
- Discretionary RAUM · $254M to $441MMay 9, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $254M to $441MMay 9, 2025 to Mar 30, 2026
- RAUM · $254M to $441MMay 9, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 25, 2025 to May 9, 2025
- Accounts · 10 to 11Jul 8, 2024 to Mar 25, 2025
- Advisory employees · 3 to 5Jul 8, 2024 to Mar 25, 2025
- Pooled vehicle clients · 10 to 11Jul 8, 2024 to Mar 25, 2025
- Assets in custody · $160M to $254MJul 8, 2024 to Mar 25, 2025
- Employees · 3 to 5Jul 8, 2024 to Mar 25, 2025
- Private funds · 10 to 11Jul 8, 2024 to Mar 25, 2025
- Discretionary RAUM · $160M to $254MJul 8, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $160M to $254MJul 8, 2024 to Mar 25, 2025
- RAUM · $160M to $254MJul 8, 2024 to Mar 25, 2025
- HQ city · PALM BEACH to MIAMIJun 26, 2024 to Jul 8, 2024
- Private funds · 20 to 10Jun 26, 2024 to Jul 8, 2024
Signals
2 dated events
- A•••• E••••• P•••••••• L•• reported RAUM $441.4M, up 74% from $254.0M (2025-05-09 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- A•••• E••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 26, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••• E••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A•••• E••••• P•••••••• L•• · Private Equityshared crd · organization
- A•••• E••••• P•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- ardanadvisory.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 917-304-7294reportedpublic record, Form ADV, May 5, 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
- Asset manager (funds and pooled vehicles)deriveda 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