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
3•• C•••••• P•••••••• L••
Latest filing Jul 15, 2026
First filing on the tape Jun 1, 2021 · 15 filings
SEC status approved since Jul 1, 2021
RAUM
$506M
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$506M as of Jul 15, 2026
Mar 29, 2022$230M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 15, 2026
Mar 29, 20220 then
Employees (5.A)3 as of Jul 15, 2026
Mar 29, 20223 then
Private funds8 as of Jul 15, 2026
Mar 29, 20225 then
RAUM +16% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 15, 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
- $63.2MderivedRAUM 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
- +16%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$506M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 3•• W• I••••••••• L•• | Private Equity Fund | $136M | 52 | Jun 1, 2021 |
| 3•• A•• I••••••••• L•• | Private Equity Fund | $68.5M | 33 | Mar 17, 2021 |
| 3•• A••• L•• | Private Equity Fund | $57.4M | 5 | Mar 29, 2023 |
| 3•• A•• C••••••••• L•• | Private Equity Fund | $45.6M | 2 | Mar 17, 2021 |
| 3•• A•••• L•• | Private Equity Fund | $42.3M | 17 | Mar 29, 2023 |
| T• M• I••••••••• L•• | Private Equity Fund | $35.9M | 21 | Jun 1, 2021 |
| T• D•• I••••••••• L•• | Private Equity Fund | $16.1M | 6 | Jun 1, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••••• · Chief Compliance Officercontrolsince 04/2021 · owns less than 5%
- W•••••• J••••• C••••• · Sole Membercontrolsince 02/2021 · owns 75% or more
Related persons
Schedule D 7.A
- 3•• A•• M••••••• L••pooled vehicle sponsorn
- 3•• A••• M••••••• L••pooled vehicle sponsorn
- 3•• W• M••••••• L••pooled vehicle sponsorn
- 3•• W• H•••••••• L••pooled vehicle sponsorn
- T• D•• M••••••• L••pooled vehicle sponsorn
- T• I•••••••• L••pooled vehicle sponsorn
- T• M• M••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 8Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 7 to 8Mar 31, 2025 to Mar 31, 2026
- Private funds · 7 to 8Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $436M to $506MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $436M to $506MMar 31, 2025 to Mar 31, 2026
- RAUM · $436M to $506MMar 31, 2025 to Mar 31, 2026
- Financial planning clients · unset to Feb 7, 2025 to Mar 31, 2025
- Discretionary RAUM · $401M to $436MFeb 7, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $401M to $436MFeb 7, 2025 to Mar 31, 2025
- RAUM · $401M to $436MFeb 7, 2025 to Mar 31, 2025
- Discretionary RAUM · $341M to $401MJun 21, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $341M to $401MJun 21, 2023 to Mar 26, 2024
- RAUM · $341M to $401MJun 21, 2023 to Mar 26, 2024
- Accounts · 5 to 7May 2, 2022 to Mar 29, 2023
- Pooled vehicle clients · 5 to 7May 2, 2022 to Mar 29, 2023
- Private funds · 5 to 7May 2, 2022 to Mar 29, 2023
- Discretionary RAUM · $230M to $341MMay 2, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $230M to $341MMay 2, 2022 to Mar 29, 2023
- RAUM · $230M to $341MMay 2, 2022 to Mar 29, 2023
- Advisory employees · 2 to 1Jun 28, 2021 to Mar 29, 2022
- Employees · 4 to 3Jun 28, 2021 to Mar 29, 2022
- Discretionary RAUM · $201M to $230MJun 28, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $201M to $230MJun 28, 2021 to Mar 29, 2022
- RAUM · $201M to $230MJun 28, 2021 to Mar 29, 2022
- Private funds · 10 to 5Jun 1, 2021 to Jun 28, 2021
Signals
2 dated events
- 3•• C•••••• P•••••••• L•• reported RAUM $341.4M, up 49% from $229.7M (2022-05-02 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- 3•• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 1, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- 3•• C•••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- 3•• C•••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 210-320-0202reportedpublic record, Form ADV, Jul 15, 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