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
N••••••• P•••••• F••• A••••••• L••
Latest filing Feb 16, 2026
First filing on the tape Apr 26, 2021 · 10 filings
SEC status approved since May 26, 2021
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 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$0 as of Feb 16, 2026
Mar 2, 2022$6.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Feb 16, 2026
Mar 2, 20222 then
Employees (5.A)4 as of Feb 16, 2026
Mar 2, 20222 then
Private funds1 as of Feb 16, 2024
Mar 2, 20221 then
RAUM n/a over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Feb 16, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• M•••••• G••••••• | Birmingham, Al | Jun 7, 2021 | 11 y | 0 |
| S•••••• N••••• | Birmingham, Al | Feb 11, 2022 | 11 y | 0 |
| E•••• S•••••• B••••• | Birmingham, Al | Mar 20, 2024 | 10 y | 0 |
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
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••• A••••• V••••••• L••• S•••••• F••• I• | Venture Capital Fund | $6.3M | 17 | Mar 2, 2022 |
Owners and control persons
Schedule A and B, latest filing
- G•••••••• T•••••• M•••••• · Managing Member / Ccocontrolsince 05/2021 · owns 25% to 50%
- H•••••• C••••••••• N•••• · Managing Membercontrolsince 05/2021 · owns 50% to 75%
Related persons
Schedule D 7.A
- N••••••• 4•••• L••investment advisernRAUM $318M
Advisers that list N••••••• P•••••• F••• A••••••• L•• as a related person
- 309466 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Birmingham, Al · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 28, 2025 to Feb 16, 2026
- Employees · 3 to 4Mar 28, 2025 to Feb 16, 2026
- State-registered IARs · 3 to 4Mar 28, 2025 to Feb 16, 2026
- Accounts · 1 to 0Feb 16, 2024 to Mar 28, 2025
- Advisory employees · 2 to 3Feb 16, 2024 to Mar 28, 2025
- Pooled vehicle clients · 1.0 to unsetFeb 16, 2024 to Mar 28, 2025
- Financial planning clients · unset to Feb 16, 2024 to Mar 28, 2025
- State-registered IARs · 2 to 3Feb 16, 2024 to Mar 28, 2025
- Private funds · 1 to unsetFeb 16, 2024 to Mar 28, 2025
- Discretionary RAUM · $6.3M to $0Feb 16, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · 6250000.0 to unsetFeb 16, 2024 to Mar 28, 2025
- RAUM · $6.3M to $0Feb 16, 2024 to Mar 28, 2025
- Advisory employees · 3 to 2Mar 30, 2023 to Feb 16, 2024
- State-registered IARs · 3 to 2Mar 30, 2023 to Feb 16, 2024
- Discretionary RAUM · $6.2M to $6.3MMar 30, 2023 to Feb 16, 2024
- Pooled vehicle RAUM · $6.2M to $6.3MMar 30, 2023 to Feb 16, 2024
- RAUM · $6.2M to $6.3MMar 30, 2023 to Feb 16, 2024
- Advisory employees · 2 to 3Mar 2, 2022 to Mar 15, 2023
- Employees · 2 to 3Mar 2, 2022 to Mar 15, 2023
- Insurance-licensed employees · 2 to 0Mar 2, 2022 to Mar 15, 2023
- State-registered IARs · 2 to 3Mar 2, 2022 to Mar 15, 2023
- Discretionary RAUM · $6.1M to $6.2MMar 2, 2022 to Mar 15, 2023
- Pooled vehicle RAUM · $6.1M to $6.2MMar 2, 2022 to Mar 15, 2023
- RAUM · $6.1M to $6.2MMar 2, 2022 to Mar 15, 2023
- Insurance-licensed employees · 1 to 2Jan 24, 2022 to Mar 2, 2022
- Private funds · unset to 1Jan 24, 2022 to Mar 2, 2022
- Accounts · 0 to 1Oct 12, 2021 to Jan 16, 2022
- Pooled vehicle clients · unset to 1.0Oct 12, 2021 to Jan 16, 2022
- Discretionary RAUM · $0 to $6.1MOct 12, 2021 to Jan 16, 2022
- Pooled vehicle RAUM · unset to 6100000.0Oct 12, 2021 to Jan 16, 2022
- RAUM · $0 to $6.1MOct 12, 2021 to Jan 16, 2022
Signals
1 dated events
- N••••••• P•••••• F••• A••••••• L•• filed its initial SEC registration (Form ADV)Apr 26, 2021 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
- N••••••• P•••••• F••• A••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 610-761-5671reportedpublic record, Form ADV, Feb 16, 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
- No RAUM reportedderiveda 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