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
C•••••••
Legal name C••••••• W••••• A•••••••• I•••
Latest filing Mar 27, 2024
First filing on the tape Aug 2, 2021 · 9 filings
RAUM
$1.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$1.8M as of Mar 27, 2024
Mar 7, 2022$385,405 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 27, 2024
Mar 7, 20221 then
Employees (5.A)1 as of Mar 27, 2024
Mar 7, 20221 then
Private funds: no history
RAUM +30% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
- RAUM per advisor
- $1.8MderivedRAUM 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
- $146,805derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $1.8MreportedItem 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$1.8M100%
- Individual clients
- 12reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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
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
- L•••• Z•••••• J••• M••••• · Chief Compliance Officercontrolsince 07/2021 · owns less than 5%
- L•••• Z•••••• J••• M••••• · Managing Membercontrolsince 09/2018 · owns 75% or more of U••••• G•••• L••
Entity owners
- U••••• G•••• L•• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 11 to 12Nov 8, 2023 to Mar 27, 2024
- Individual clients · 11 to 12Nov 8, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.4M to $1.8MNov 8, 2023 to Mar 27, 2024
- Individual RAUM · $1.4M to $1.8MNov 8, 2023 to Mar 27, 2024
- RAUM · $1.4M to $1.8MNov 8, 2023 to Mar 27, 2024
- Accounts · 2 to 11Mar 7, 2022 to Mar 14, 2023
- Individual clients · 2 to 11Mar 7, 2022 to Mar 14, 2023
- Financial planning clients · unset to 1-10Mar 7, 2022 to Mar 14, 2023
- Other offices · 1 to 0Mar 7, 2022 to Mar 14, 2023
- Discretionary RAUM · $385,405 to $1.4MMar 7, 2022 to Mar 14, 2023
- Individual RAUM · $385,405 to $1.4MMar 7, 2022 to Mar 14, 2023
- RAUM · $385,405 to $1.4MMar 7, 2022 to Mar 14, 2023
- Accounts · 0 to 2Oct 1, 2021 to Mar 7, 2022
- Individual clients · unset to 2.0Oct 1, 2021 to Mar 7, 2022
- Other offices · 0 to 1Oct 1, 2021 to Mar 7, 2022
- Discretionary RAUM · $0 to $385,405Oct 1, 2021 to Mar 7, 2022
- Individual RAUM · unset to 385405.0Oct 1, 2021 to Mar 7, 2022
- RAUM · $0 to $385,405Oct 1, 2021 to Mar 7, 2022
Signals
1 dated events
- Circular filed its initial SEC registration (Form ADV)Aug 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