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••• I••••••••• L••
Latest filing Jun 9, 2026
First filing on the tape Aug 4, 2021 · 17 filings
SEC status approved since Sep 3, 2021
RAUM
$248M
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
12
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$248M as of Jun 9, 2026
Mar 29, 2022$38.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 9, 2026
Mar 29, 20220 then
Employees (5.A)12 as of Jun 9, 2026
Mar 29, 20227 then
Private funds4 as of Jun 9, 2026
Mar 29, 20225 then
RAUM +3.6% over the last fiscal year+73% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 9, 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
- $62.0MderivedRAUM 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
- +3.6%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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$248M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- 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=true 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••••• R• H••••••• S••• | Other Private Fund | $38.0M | 2 | Mar 28, 2024 |
| A••• E••••••••• S•••••• F••• L•• | Private Equity Fund | $12.6M | 1 | Mar 29, 2022 |
| A••••• K•••••• L•••• A••••• ••••••••• F••• I•• L• | Other Private Fund | $3.2M | 5 | Mar 29, 2022 |
| A••••• K•••••• L•••• A••••• •••••••• F••• I•• | Other Private Fund | $1.2M | 9 | Mar 29, 2022 |
| A••••• H••••••• A••••• F••• I•• L•no longer reported | Private Equity Fund | $1 | 0 | Aug 4, 2021 |
| A••••• H••••••• A••••• F••• I•• L•no longer reported | Private Equity Fund | $1 | 0 | Aug 4, 2021 |
| A••••• G• S••••• F••• I••• L••• | Private Equity Fund | $0 | 4 | Aug 12, 2024 |
| A••• N••• G•• •••••••• F••• L• | Private Equity Fund | $0 | 0 | Aug 4, 2021 |
| A••• N••• G•• ••••••••• F••• L• | Private Equity Fund | $0 | 0 | Aug 4, 2021 |
| A••••• G• S••••• F••• I••• L•• | Private Equity Fund | $0 | 4 | Aug 12, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A••••• R•••••• C•••• · Chief Financial Officercontrolsince 10/2020 · owns less than 5%
- B••••• J•••••• P••• · Ceocontrolsince 10/2020 · owns less than 5%
- P•••••• V•••••••• F••••••• · Deputy Ceocontrolsince 10/2020 · owns less than 5%
- R••••• U••• •••• · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
Entity owners
- A• U• H•••••••• I•• · Sole Memberdirect · owns 75% or more
- A• I••••••••• H••••••• · Sole Memberindirect · owns 75% or more of A• U• H•••••••• I••
Related persons
Schedule D 7.A
- A••• N••• G•• G• L•••pooled vehicle sponsory
- A• Z•••• ••• I••••••••• M••••••••• H••• K••• L••••••broker-dealern
- A• A•••• A•• S•••broker-dealern
- A• A•••• C•••••• M••••••••• L••investment advisernRAUM $376M
- A• I••••••••• M••••••••• S•••••••• L••broker-dealern
- A• Q••••broker-dealern
- A• S•••• • P••••••• S•••broker-dealern
- A• U• H•••••••pooled vehicle sponsory
- A•• C••••••investment advisernRAUM $7.8M
- A••••• ••••• L••••••broker-dealern
- A••••• A••••••••• C•••••• M••••••••• L••••••pooled vehicle sponsory
- A••••• A••••••••• C•••••• P•••••••pooled vehicle sponsory
- A••••• Investment Advisors LLCinvestment advisernRAUM $1.0B
- A••••• H••••••• A••••• F••• G• I• L••pooled vehicle sponsory
- H••••••• C••••••• L••investment adviserpooled vehicle sponsornRAUM $657M
- K•••••• L•••• M••••••••• L•investment adviserpooled vehicle sponsornRAUM $12B
- M•• F••••• S• D• C•broker-dealern
- P•••••••• C••••••investment adviserpooled vehicle sponsornRAUM $3.5B
- S•••••••• A•••••••• L••broker-dealerinvestment advisernRAUM $35B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 4Sep 25, 2025 to Apr 1, 2026
- Pooled vehicle clients · 5 to 4Sep 25, 2025 to Apr 1, 2026
- Private funds · 6 to 4Sep 25, 2025 to Apr 1, 2026
- Discretionary RAUM · $240M to $248MSep 25, 2025 to Apr 1, 2026
- Pooled vehicle RAUM · $240M to $248MSep 25, 2025 to Apr 1, 2026
- RAUM · $240M to $248MSep 25, 2025 to Apr 1, 2026
- Financial planning clients · unset to Jun 19, 2025 to Jul 2, 2025
- Accounts · 4 to 5Aug 12, 2024 to Apr 8, 2025
- Pooled vehicle clients · 4 to 5Aug 12, 2024 to Apr 8, 2025
- Employees · 11 to 12Aug 12, 2024 to Apr 8, 2025
- Discretionary RAUM · $68.3M to $240MAug 12, 2024 to Apr 8, 2025
- Pooled vehicle RAUM · $68.3M to $240MAug 12, 2024 to Apr 8, 2025
- RAUM · $68.3M to $240MAug 12, 2024 to Apr 8, 2025
- Private funds · 4 to 6Jun 29, 2024 to Aug 12, 2024
- Accounts · 5 to 4Sep 5, 2023 to Mar 28, 2024
- Pooled vehicle clients · 5 to 4Sep 5, 2023 to Mar 28, 2024
- Private funds · 5 to 4Sep 5, 2023 to Mar 28, 2024
- Discretionary RAUM · $47.7M to $68.3MSep 5, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $47.7M to $68.3MSep 5, 2023 to Mar 28, 2024
- RAUM · $47.7M to $68.3MSep 5, 2023 to Mar 28, 2024
- Employees · 7 to 11Mar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $38.1M to $47.7MMar 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $38.1M to $47.7MMar 29, 2022 to Mar 30, 2023
- RAUM · $38.1M to $47.7MMar 29, 2022 to Mar 30, 2023
- Accounts · 4 to 5Dec 14, 2021 to Mar 29, 2022
- Advisory employees · 4 to 3Dec 14, 2021 to Mar 29, 2022
- Pooled vehicle clients · 4 to 5Dec 14, 2021 to Mar 29, 2022
- Private funds · 4 to 5Dec 14, 2021 to Mar 29, 2022
- Discretionary RAUM · $30.0M to $38.1MDec 14, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $30.0M to $38.1MDec 14, 2021 to Mar 29, 2022
- RAUM · $30.0M to $38.1MDec 14, 2021 to Mar 29, 2022
- Discretionary RAUM · $5 to $30.0MAug 4, 2021 to Dec 14, 2021
- Pooled vehicle RAUM · $5 to $30.0MAug 4, 2021 to Dec 14, 2021
- RAUM · $5 to $30.0MAug 4, 2021 to Dec 14, 2021
Signals
4 dated events
- A••• I••••••••• L•• reported RAUM $239.6M, up 251% from $68.3M (2024-08-12 to 2025-04-08)Apr 8, 2025 · RAUM change · derived
- Weston Michael Wilkinson (Senior Vice President) no longer on Schedule A of A••• I••••••••• L•• (listed 2023-09-05, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- (Nmn) Uzi Rosha (Chief Compliance Officer) appeared on Schedule A of A••• I••••••••• L••Mar 28, 2024 · Control person joined · fact
- A••• I••••••••• L•• filed its initial SEC registration (Form ADV)Aug 4, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••• I••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A••• I••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 929-626-8036reportedpublic record, Form ADV, Jun 9, 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