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.
Former SEC-registered adviser
Driveadvisory, LLC
Latest filing Mar 29, 2024
First filing on the tape Jul 29, 2021 · 13 filings
SEC status approved since Dec 16, 2021
RAUM
$750,659
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
4
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$750,659 as of Mar 29, 2024
Apr 4, 2022$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Apr 4, 20220 then
Employees (5.A)4 as of Mar 29, 2024
Apr 4, 20221 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 0
Practice profile
derived from the filing of Mar 29, 2024; 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
- $750,659derivedRAUM 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
- unknownderivedbetween 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$750,659100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- 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
- Kristen Voigtsberger to Certior Financial Group, LLCApr 25, 2023 · Other
Joined, latest
- Kristen Voigtsberger from Mywallst Advisory LLCMay 25, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lowell Thomas Harter · Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
- Masao Christopher Yamaguchi · General Counselcontrolsince 03/2023 · owns less than 5%
Entity owners
- Drivewealth Holdings, Inc. · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Driveloyalty LLCbroker-dealern
- Drivewealth Institutional LLCbroker-dealern
- Drivewealth, LLCbroker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 1Nov 14, 2023 to Mar 29, 2024
- BD registered reps · 2 to 0Nov 14, 2023 to Mar 29, 2024
- Employees · 5 to 4Nov 14, 2023 to Mar 29, 2024
- HQ city · JERSEY CITY to NEW YORKNov 14, 2023 to Mar 29, 2024
- HQ state · NJ to NYNov 14, 2023 to Mar 29, 2024
- State-registered IARs · 2 to 0Nov 14, 2023 to Mar 29, 2024
- Discretionary RAUM · $0 to $750,659Nov 14, 2023 to Mar 29, 2024
- RAUM · $0 to $750,659Nov 14, 2023 to Mar 29, 2024
- Assets in custody · 0.0 to unsetApr 3, 2023 to Nov 14, 2023
- Advisory employees · 1 to 0May 13, 2022 to Mar 30, 2023
- Advisory activities · 2 to 1May 13, 2022 to Mar 30, 2023
- BD registered reps · 1 to 2May 13, 2022 to Mar 30, 2023
- Custody of client assets · true to falseMay 13, 2022 to Mar 30, 2023
- Employees · 1 to 5May 13, 2022 to Mar 30, 2023
- Financial planning clients · 0 to unsetMay 13, 2022 to Mar 30, 2023
- HQ city · NEW YORK to JERSEY CITYMay 13, 2022 to Mar 30, 2023
- HQ state · NY to NJMay 13, 2022 to Mar 30, 2023
- State-registered IARs · 0 to 2May 13, 2022 to Mar 30, 2023
- HQ city · CHATHAM to NEW YORKApr 18, 2022 to May 13, 2022
- HQ state · NJ to NYApr 18, 2022 to May 13, 2022
- Accounts · unset to 0.0Dec 15, 2021 to Apr 4, 2022
- Discretionary RAUM · unset to 0.0Dec 15, 2021 to Apr 4, 2022
- Non-discretionary RAUM · unset to 0.0Dec 15, 2021 to Apr 4, 2022
- RAUM · unset to 0.0Dec 15, 2021 to Apr 4, 2022
- Advisory activities · 3 to 2Oct 18, 2021 to Nov 28, 2021
- Assets in custody · unset to 0.0Oct 18, 2021 to Nov 28, 2021
- Custody of client assets · false to trueOct 18, 2021 to Nov 28, 2021
- Related broker-dealer · false to trueJul 29, 2021 to Aug 29, 2021
Signals
5 dated events
- Driveadvisory, Llc no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $750,659)May 2, 2025 · Left the SEC roster · derived
- Lowell Thomas Harter (Chief Compliance Officer) appeared on Schedule A of Driveadvisory, LlcNov 14, 2023 · Control person joined · fact
- Kristen Voigtsberger left Driveadvisory, Llc for Certior Financial Group, Llc (registered 2023-10-04)Apr 25, 2023 · Advisor changed firm · fact
- Elizabeth Kristen Voigtsberger (Cco) no longer on Schedule A of Driveadvisory, Llc (listed 2022-05-13, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Driveadvisory, Llc filed its initial SEC registration (Form ADV)Jul 29, 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