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
T•••••••• C•••••• M••••••••• L••
Latest filing Jan 8, 2026
First filing on the tape Jun 4, 2021 · 9 filings
SEC status approved since Jul 6, 2021
RAUM
$64.3M
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
$64.3M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$64.3M as of Jan 8, 2026
Jan 6, 2022$15.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 8, 2026
Jan 6, 20220 then
Employees (5.A)7 as of Jan 8, 2026
Jan 6, 20225 then
Private funds: 1
RAUM +2.0% over the last fiscal year+4.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 8, 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
- $64.3MderivedRAUM 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
- +2.0%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- Investment companies$64.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• H• P••••••• | Richmond, Va | Apr 4, 2022 | 10 y | 1 |
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
- E••••• H• P••••••• from H••••••• W••••• A•••••••Apr 4, 2022 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 8••• I••••••••• L•• | Real Estate Fund | $3.7M | 40 | Jan 5, 2024 |
Owners and control persons
Schedule A and B, latest filing
- E••••• L•••••••• S•••• · Member, Manager, Ccocontrolsince 07/2021 · owns 25% to 50%
- H•••••••• C••••••• C••••• · Member, Managercontrolsince 02/2021 · owns 75% or more
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
- Employees · 6 to 7Jan 10, 2025 to Jan 8, 2026
- Discretionary RAUM · $63.0M to $64.3MJan 10, 2025 to Jan 8, 2026
- RAUM · $63.0M to $64.3MJan 10, 2025 to Jan 8, 2026
- Accounts · 2 to 1Jan 5, 2024 to Jan 10, 2025
- Advisory activities · 2 to 1Jan 5, 2024 to Jan 10, 2025
- Pooled vehicle clients · 1.0 to unsetJan 5, 2024 to Jan 10, 2025
- Financial planning clients · unset to Jan 5, 2024 to Jan 10, 2025
- Private funds · 1 to unsetJan 5, 2024 to Jan 10, 2025
- Discretionary RAUM · $69.4M to $63.0MJan 5, 2024 to Jan 10, 2025
- Pooled vehicle RAUM · 3675000.0 to unsetJan 5, 2024 to Jan 10, 2025
- RAUM · $69.4M to $63.0MJan 5, 2024 to Jan 10, 2025
- Accounts · 1 to 2Mar 20, 2023 to Jan 5, 2024
- Advisory activities · 1 to 2Mar 20, 2023 to Jan 5, 2024
- Pooled vehicle clients · unset to 1.0Mar 20, 2023 to Jan 5, 2024
- Private funds · unset to 1Mar 20, 2023 to Jan 5, 2024
- Discretionary RAUM · $57.9M to $69.4MMar 20, 2023 to Jan 5, 2024
- Pooled vehicle RAUM · unset to 3675000.0Mar 20, 2023 to Jan 5, 2024
- RAUM · $57.9M to $69.4MMar 20, 2023 to Jan 5, 2024
- Discretionary RAUM · $55.7M to $57.9MJan 11, 2023 to Mar 20, 2023
- RAUM · $55.7M to $57.9MJan 11, 2023 to Mar 20, 2023
- Advisory employees · 5 to 6Apr 4, 2022 to Jan 11, 2023
- Employees · 5 to 6Apr 4, 2022 to Jan 11, 2023
- Discretionary RAUM · $15.5M to $55.7MApr 4, 2022 to Jan 11, 2023
- RAUM · $15.5M to $55.7MApr 4, 2022 to Jan 11, 2023
- Advisory employees · 4 to 5Sep 28, 2021 to Jan 6, 2022
- Employees · 4 to 5Sep 28, 2021 to Jan 6, 2022
- Discretionary RAUM · $5.5M to $15.5MSep 28, 2021 to Jan 6, 2022
- RAUM · $5.5M to $15.5MSep 28, 2021 to Jan 6, 2022
- Accounts · 0 to 1Jun 4, 2021 to Sep 28, 2021
- Discretionary RAUM · $0 to $5.5MJun 4, 2021 to Sep 28, 2021
- RAUM · $0 to $5.5MJun 4, 2021 to Sep 28, 2021
Signals
2 dated events
- E••••• H• P••••••• no longer holds an investment adviser registration (last listed at T•••••••• C•••••• M••••••••• L•• on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- T•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 4, 2021 · 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
- 8045646801reportedpublic record, Form ADV, Jan 5, 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
- $64.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
T•••••••• C•••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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