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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
D••••• I• I••••••••• L••
Latest filing Jan 24, 2024
First filing on the tape Jul 15, 2021 · 8 filings
SEC status approved since Sep 15, 2021
RAUM
$50,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$50,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$50,000 as of Jan 24, 2024
Mar 31, 2022$0 then
HNW client RAUM$0 as of Jan 24, 2024
Mar 31, 2022$0 then
State-registered IARs (5.B.3)1 as of Jan 24, 2024
Mar 31, 20221 then
Employees (5.A)3 as of Jan 24, 2024
Mar 31, 20223 then
Private funds: no history
RAUM +9900% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 24, 2024; every figure names its basis
- RAUM per advisor
- $50,000derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 4derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $12,500derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9900%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +100%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$50,000100%
- Individual clients
- 4reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $50,000 managedreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• J•••• P•••• · Member & Presidentcontrolsince 07/2020 · owns 50% to 75%
- M•••••••• R••••••• A•• · Member & Chief Compliance Officersince 07/2020 · owns 10% to 25%
- S•••••• J•••••• G•••• · Member & Cfosince 07/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
- J••• H•••••••insurancey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2 to 4Nov 10, 2023 to Jan 24, 2024
- Individual clients · 2 to 4Nov 10, 2023 to Jan 24, 2024
- Discretionary RAUM · $500 to $50,000Nov 10, 2023 to Jan 24, 2024
- Individual RAUM · $500 to $50,000Nov 10, 2023 to Jan 24, 2024
- RAUM · $500 to $50,000Nov 10, 2023 to Jan 24, 2024
- Wrap assets (manager) · $100 to $50,000Nov 10, 2023 to Jan 24, 2024
- Accounts · 0 to 2Mar 31, 2022 to Mar 15, 2023
- Individual clients · 0 to 2Mar 31, 2022 to Mar 15, 2023
- Discretionary RAUM · $0 to $500Mar 31, 2022 to Mar 15, 2023
- Individual RAUM · $0 to $500Mar 31, 2022 to Mar 15, 2023
- RAUM · $0 to $500Mar 31, 2022 to Mar 15, 2023
- Wrap assets (manager) · $0 to $100Mar 31, 2022 to Mar 15, 2023
- Charity clients · unset to 0.0Aug 17, 2021 to Mar 31, 2022
- Corporate clients · unset to 0.0Aug 17, 2021 to Mar 31, 2022
- HNW clients · unset to 0.0Aug 17, 2021 to Mar 31, 2022
- Individual clients · unset to 0.0Aug 17, 2021 to Mar 31, 2022
- Pension plan clients · unset to 0.0Aug 17, 2021 to Mar 31, 2022
- Pooled vehicle clients · unset to 0.0Aug 17, 2021 to Mar 31, 2022
- HNW RAUM · unset to 0.0Aug 17, 2021 to Mar 31, 2022
- Individual RAUM · unset to 0.0Aug 17, 2021 to Mar 31, 2022
- Pension RAUM · unset to 0.0Aug 17, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · unset to 0.0Aug 17, 2021 to Mar 31, 2022
Signals
2 dated events
- D••••• I• I••••••••• L•• no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $50,000)Aug 3, 2026 · Left the SEC roster · derived
- D••••• I• I••••••••• L•• filed its initial SEC registration (Form ADV)Jul 15, 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