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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Former SEC-registered adviser
A••••••••• W••••• M••••••••• I•••
Latest filing Mar 10, 2025
First filing on the tape Jun 2, 2021 · 20 filings
SEC status approved since Jul 2, 2021
RAUM
$23.4M
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
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$23.4M as of Mar 10, 2025
Mar 4, 2022$25.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 10, 2025
Mar 4, 20222 then
Employees (5.A)3 as of Mar 10, 2025
Mar 4, 20227 then
Private funds: no history
RAUM -19% over the last fiscal year-2.3% a year over threeIARs 3 to 0
Practice profile
derived from the filing of Mar 10, 2025; 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
- $23.4MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 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
- 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$23.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
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
- C•••••••• A••••• to L•• F•••••••• L••Nov 1, 2024 · Other
Joined, latest
- C•••••••• A••••• from U••• B•••••• I••••••••• I•••Mar 4, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• J••••• T• · Ceo/Coocontrolsince 11/2024 · owns less than 5%
- L••• D••••• · Chief Investment Officer & Portfolio Managercontrolsince 05/2023 · owns less than 5%
- M••••• T•••• D• · Chief Financial Officercontrolsince 05/2021 · owns less than 5%
- M•••••••• J••••• P••• · Chief Compliance Officer & Chief Operating Officersince 08/2023 · owns less than 5%
Entity owners
- D•• S••••••••• I••• · Parent Companydirect · owns 75% or more
- D••• I••• · Parent Companyindirect · owns 75% or more of D•• S••••••••• I••• · public reporting company
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| West Henrietta, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Darien, CT3 employees
What changed
consecutive filings, newest first
- State-registered IARs · 2 to 0Nov 12, 2024 to Mar 10, 2025
- Discretionary RAUM · $26.0M to $23.4MNov 12, 2024 to Mar 10, 2025
- RAUM · $26.0M to $23.4MNov 12, 2024 to Mar 10, 2025
- Advisory employees · 4 to 3Jun 10, 2024 to Nov 12, 2024
- BD registered reps · 1 to 0Jun 10, 2024 to Nov 12, 2024
- Business name · D•• W••••• M••••••••• I••• to A••••••••• W••••• M••••••••• I•••Jun 10, 2024 to Nov 12, 2024
- Employees · 4 to 3Jun 10, 2024 to Nov 12, 2024
- State-registered IARs · 3 to 2Jun 10, 2024 to Nov 12, 2024
- Legal name · D•• W••••• M••••••••• I••• to A••••••••• W••••• M••••••••• I•••Jun 10, 2024 to Nov 12, 2024
- Discretionary RAUM · $29.0M to $26.0MJun 10, 2024 to Nov 12, 2024
- RAUM · $29.0M to $26.0MJun 10, 2024 to Nov 12, 2024
- Advisory employees · 2 to 4Sep 28, 2023 to Mar 29, 2024
- BD registered reps · 2 to 1Sep 28, 2023 to Mar 29, 2024
- Employees · 8 to 4Sep 28, 2023 to Mar 29, 2024
- State-registered IARs · 2 to 3Sep 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $32.5M to $29.0MSep 28, 2023 to Mar 29, 2024
- RAUM · $32.5M to $29.0MSep 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $3.3M to $32.5MJul 31, 2023 to Aug 2, 2023
- RAUM · $3.3M to $32.5MJul 31, 2023 to Aug 2, 2023
- HQ city · GRANITE BAY to WEST HENRIETTAMay 22, 2023 to Jul 31, 2023
- HQ state · CA to NYMay 22, 2023 to Jul 31, 2023
- Other offices · 0 to 1May 22, 2023 to Jul 31, 2023
- Employees · 7 to 8Mar 31, 2023 to May 22, 2023
- Discretionary RAUM · $32.5M to $3.3MMar 31, 2023 to May 22, 2023
- RAUM · $32.5M to $3.3MMar 31, 2023 to May 22, 2023
- Advisory activities · 2 to 1Oct 26, 2022 to Mar 31, 2023
- Financial planning clients · unset to 0Oct 26, 2022 to Mar 31, 2023
- Discretionary RAUM · $25.0M to $32.5MOct 26, 2022 to Mar 31, 2023
- RAUM · $25.0M to $32.5MOct 26, 2022 to Mar 31, 2023
- Advisory employees · 1 to 2Feb 16, 2022 to Mar 4, 2022
- Employees · 5 to 7Feb 16, 2022 to Mar 4, 2022
- Insurance-licensed employees · 1 to 0Feb 16, 2022 to Mar 4, 2022
- HQ city · HOUSTON to GRANITE BAYFeb 16, 2022 to Mar 4, 2022
- HQ state · TX to CAFeb 16, 2022 to Mar 4, 2022
- State-registered IARs · 1 to 2Feb 16, 2022 to Mar 4, 2022
- Accounts · unset to 1.0Jun 9, 2021 to Feb 16, 2022
- Advisory activities · 1 to 2Jun 9, 2021 to Feb 16, 2022
- Discretionary RAUM · unset to 25000000.0Jun 9, 2021 to Feb 16, 2022
- Non-discretionary RAUM · unset to 0.0Jun 9, 2021 to Feb 16, 2022
- RAUM · unset to 25000000.0Jun 9, 2021 to Feb 16, 2022
Signals
10 dated events
- A••••••••• W••••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $23.4M)Sep 2, 2025 · Left the SEC roster · derived
- D F•••• H•••••• (Ceo) no longer on Schedule A of A••••••••• W••••• M••••••••• I••• (listed 2024-06-10, absent 2024-11-12)Nov 12, 2024 · Control person left · inference
- C•••••••• A••••• left A••••••••• W••••• M••••••••• I••• for L•• F•••••••• L•• (registered 2026-01-06)Nov 1, 2024 · Advisor changed firm · fact
- Garfield Robert Roach (Chief Compliance Officer) no longer on Schedule A of A••••••••• W••••• M••••••••• I••• (listed 2023-08-02, absent 2023-08-15)Aug 15, 2023 · Control person left · inference
- Paul James Monaghan (Chief Compliance Officer & Chief Operating Officer) appeared on Schedule A of A••••••••• W••••• M••••••••• I•••Aug 15, 2023 · Control person joined · fact
- Allan Rick Gonsalves (President) no longer on Schedule A of A••••••••• W••••• M••••••••• I••• (listed 2023-03-31, absent 2023-05-22)May 22, 2023 · Control person left · inference
- Daniel Lew (Chief Investment Officer & Portfolio Manager) appeared on Schedule A of A••••••••• W••••• M••••••••• I•••May 22, 2023 · Control person joined · fact
- Allan Rick Gonsalves (President) appeared on Schedule A of A••••••••• W••••• M••••••••• I•••Feb 16, 2022 · Control person joined · fact
- A•••••• H••• Fai C••• (Director) no longer on Schedule A of A••••••••• W••••• M••••••••• I••• (listed 2021-06-09, absent 2022-02-16)Feb 16, 2022 · Control person left · inference
- D•• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Jun 2, 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.
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
- Former SEC-registered adviserderiveda 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