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
X• C•••• C•••••• M••••••••• L••
Latest filing May 22, 2026
First filing on the tape Jun 24, 2022 · 7 filings
SEC status approved since Jul 22, 2022
RAUM
$184M
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
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$184M as of May 22, 2026
Mar 1, 2023$159M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 22, 2026
Mar 1, 20230 then
Employees (5.A)9 as of May 22, 2026
Mar 1, 20238 then
Private funds1 as of May 22, 2026
Mar 1, 20231 then
RAUM +8.0% over the last fiscal year+5.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 22, 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
- $61.3MderivedRAUM 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
- +8.0%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
- $62.0M, 5 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$184M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $62.0M for 5 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| X• 3• H••••• M••••• F••• L•• | Hedge Fund | $160M | 5 | Mar 9, 2022 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• W••••• A•• · Chief Compliance Officer And Chief Administrative Officercontrolsince 02/2022 · owns less than 5%
- R••••••• A•••••• J•• · Foundercontrolsince 01/2021 · owns less than 5%
- R••••••• A•••••• J•• · Trusteecontrolsince 12/2012 · owns F of 2••• R•••••••• T•••• O• A••••• J• R••••••
Entity owners
- 2••• R•••••••• T•••• O• A••••• J• R•••••• · Trusteedirect · owns 75% or more
Related persons
Schedule D 7.A
- X• H••••• M••••• O••••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $61.0M to $62.0MApr 30, 2025 to Mar 19, 2026
- Discretionary RAUM · $170M to $184MApr 30, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $170M to $184MApr 30, 2025 to Mar 19, 2026
- RAUM · $170M to $184MApr 30, 2025 to Mar 19, 2026
- Accounts · 2 to 3Mar 26, 2024 to Apr 30, 2025
- Advisory employees · 6 to 5Mar 26, 2024 to Apr 30, 2025
- Pooled vehicle clients · 2 to 3Mar 26, 2024 to Apr 30, 2025
- Assets in custody · $68.8M to $61.0MMar 26, 2024 to Apr 30, 2025
- Employees · 12 to 9Mar 26, 2024 to Apr 30, 2025
- Financial planning clients · unset to Mar 26, 2024 to Apr 30, 2025
- Discretionary RAUM · $160M to $170MMar 26, 2024 to Apr 30, 2025
- Pooled vehicle RAUM · $160M to $170MMar 26, 2024 to Apr 30, 2025
- RAUM · $160M to $170MMar 26, 2024 to Apr 30, 2025
- Advisory employees · 5 to 6Dec 14, 2023 to Mar 26, 2024
- Assets in custody · $64.4M to $68.8MDec 14, 2023 to Mar 26, 2024
- Employees · 8 to 12Dec 14, 2023 to Mar 26, 2024
- Discretionary RAUM · $169M to $160MDec 14, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $169M to $160MDec 14, 2023 to Mar 26, 2024
- RAUM · $169M to $160MDec 14, 2023 to Mar 26, 2024
- Accounts · 8 to 2Mar 1, 2023 to Dec 14, 2023
- Pooled vehicle clients · 5 to 2Mar 1, 2023 to Dec 14, 2023
- Assets in custody · unset to 64400000.0Mar 1, 2023 to Dec 14, 2023
- Custody of client assets · false to trueMar 1, 2023 to Dec 14, 2023
- Discretionary RAUM · $159M to $169MMar 1, 2023 to Dec 14, 2023
- Pooled vehicle RAUM · $63.6M to $169MMar 1, 2023 to Dec 14, 2023
- RAUM · $159M to $169MMar 1, 2023 to Dec 14, 2023
- Accounts · 6 to 8Jun 24, 2022 to Mar 1, 2023
- Other offices · 1 to 0Jun 24, 2022 to Mar 1, 2023
- Private funds · 2 to 1Jun 24, 2022 to Mar 1, 2023
- Discretionary RAUM · $103M to $159MJun 24, 2022 to Mar 1, 2023
- Pooled vehicle RAUM · $94.0M to $63.6MJun 24, 2022 to Mar 1, 2023
- RAUM · $103M to $159MJun 24, 2022 to Mar 1, 2023
Signals
1 dated events
- X• C•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 24, 2022 · 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
- Principal office phone
- 612-457-0070reportedpublic record, Form ADV, Mar 26, 2024
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