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
D•••• I••••••••• L••
Legal name D•• A••••••• L••
Latest filing Jun 11, 2026
First filing on the tape Oct 21, 2021 · 20 filings
SEC status approved since Nov 23, 2021
RAUM
$81.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$81.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$81.8M as of Jun 11, 2026
Mar 18, 2022$0 then
HNW client RAUM$20.1M as of Jun 11, 2026
Mar 18, 2022$0 then
State-registered IARs (5.B.3)1 as of Jun 11, 2026
Mar 18, 20220 then
Employees (5.A)8 as of Jun 11, 2026
Mar 18, 20225 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Jun 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $81.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27,037derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9,047derivedHNW RAUM over HNW clients
- Average account
- $3,025derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- publications, otherreportedItem 5.G
- Financial planning clients
- 11,000reportedItem 5.H
- 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
- Individuals$61.6M75%
- High-net-worth individuals$20.1M25%
- Individual clients
- 24,811reported
- HNW clients
- 2,226reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 27,037reported
- Financial planning clients
- 11,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• J•••••• M•••••• · Chief Compliance Officer And Chief Executive Officercontrolsince 10/2021 · owns less than 5%
- W•••• S•••••• Y•••• · Membercontrolsince 06/2021 · owns less than 5%
Entity owners
- D•••• I••••••••• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- D•••• F••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 10,925 to 27,037Jan 20, 2026 to Feb 23, 2026
- BD registered reps · 1 to 2Jan 20, 2026 to Feb 23, 2026
- HNW clients · 582 to 2,226Jan 20, 2026 to Feb 23, 2026
- Individual clients · 10,343 to 24,811Jan 20, 2026 to Feb 23, 2026
- Employees · 7 to 8Jan 20, 2026 to Feb 23, 2026
- Discretionary RAUM · $13.8M to $81.8MJan 20, 2026 to Feb 23, 2026
- HNW RAUM · $3.4M to $20.1MJan 20, 2026 to Feb 23, 2026
- Individual RAUM · $10.4M to $61.6MJan 20, 2026 to Feb 23, 2026
- RAUM · $13.8M to $81.8MJan 20, 2026 to Feb 23, 2026
- Advisory employees · 1 to 2May 1, 2025 to Aug 15, 2025
- Accounts · 0 to 10,925Jan 16, 2025 to May 1, 2025
- Advisory employees · 0 to 1Jan 16, 2025 to May 1, 2025
- HNW clients · 0 to 582Jan 16, 2025 to May 1, 2025
- Individual clients · 0 to 10,343Jan 16, 2025 to May 1, 2025
- Employees · 4 to 7Jan 16, 2025 to May 1, 2025
- Financial planning clients · unset to More than 500Jan 16, 2025 to May 1, 2025
- State-registered IARs · 0 to 1Jan 16, 2025 to May 1, 2025
- Legal name · D•••• I••••••••• L•• to D•• A••••••• L••Jan 16, 2025 to May 1, 2025
- Discretionary RAUM · $0 to $13.8MJan 16, 2025 to May 1, 2025
- HNW RAUM · $0 to $3.4MJan 16, 2025 to May 1, 2025
- Individual RAUM · $0 to $10.4MJan 16, 2025 to May 1, 2025
- RAUM · $0 to $13.8MJan 16, 2025 to May 1, 2025
- Accounts · unset to 0.0Nov 29, 2024 to Jan 16, 2025
- Discretionary RAUM · unset to 0.0Nov 29, 2024 to Jan 16, 2025
- Non-discretionary RAUM · unset to 0.0Nov 29, 2024 to Jan 16, 2025
- RAUM · unset to 0.0Nov 29, 2024 to Jan 16, 2025
- Advisory activities · 1 to 2Jul 8, 2024 to Nov 29, 2024
- Employees · 3 to 4Jul 8, 2024 to Nov 29, 2024
- Accounts · 0.0 to unsetAug 25, 2023 to Mar 13, 2024
- Employees · 4 to 3Aug 25, 2023 to Mar 13, 2024
- Discretionary RAUM · 0.0 to unsetAug 25, 2023 to Mar 13, 2024
- Non-discretionary RAUM · 0.0 to unsetAug 25, 2023 to Mar 13, 2024
- RAUM · 0.0 to unsetAug 25, 2023 to Mar 13, 2024
- BD registered reps · 0 to 1Mar 18, 2022 to Jan 9, 2023
- Employees · 5 to 4Mar 18, 2022 to Jan 9, 2023
- Accounts · unset to 0.0Nov 22, 2021 to Mar 18, 2022
- Discretionary RAUM · unset to 0.0Nov 22, 2021 to Mar 18, 2022
- Non-discretionary RAUM · unset to 0.0Nov 22, 2021 to Mar 18, 2022
- RAUM · unset to 0.0Nov 22, 2021 to Mar 18, 2022
- Related broker-dealer · false to trueNov 22, 2021 to Mar 18, 2022
Signals
2 dated events
- Y•••• S••••• W••• (Member) appeared on Schedule A of D•••• I••••••••• L••Nov 5, 2021 · Control person joined · fact
- Echofi filed its initial SEC registration (Form ADV)Oct 21, 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
- Website
- dubadvisors.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 732-910-5781reportedpublic record, Form ADV, Jun 11, 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
- Independent wealth managerderiveda 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