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
N•••••• E•••• L••
Latest filing Apr 6, 2022
First filing on the tape Aug 18, 2021 · 3 filings
RAUM
$1.7M
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
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$1.7M as of Apr 6, 2022
Aug 18, 2021$500,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Apr 6, 2022
Aug 18, 20212 then
Employees (5.A)2 as of Apr 6, 2022
Aug 18, 20212 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 6, 2022; every figure names its basis
- RAUM per advisor
- $860,700derivedRAUM 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
- $1.7MderivedRAUM 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
- 1.0derived2 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.7M100%
- 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•••••• E•••• B••••• to F••••••• W••••• A•••••••• L••Dec 9, 2022 · Other
Joined, latest
- C•••••• E•••• B••••• from C•••• S••••• A•••••••• I•••••••••Feb 25, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• C••••••• E•••• · Co-Chief Investment Officer & Presidentcontrolsince 08/2021 · owns 50% to 75%
- P••••••• S•••• T••••• · Co-Chief Investment Officer & Chief Executive Officercontrolsince 08/2021 · owns 50% to 75%
Related persons
Schedule D 7.A
- B•••••• C••••••• E••••investment advisern
- N•••••• I•••••••• G•••• L••real estaten
- N•••••• P•••••• W•••••investment advisernRAUM $3.2M
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $500,000 to $1.7MDec 3, 2021 to Apr 6, 2022
- RAUM · $500,000 to $1.7MDec 3, 2021 to Apr 6, 2022
Signals
2 dated events
- C•••••• E•••• B••••• left N•••••• E•••• L•• for F••••••• W••••• A•••••••• L•• (registered 2023-10-16)Dec 9, 2022 · Advisor changed firm · fact
- N•••••• E•••• L•• filed its initial SEC registration (Form ADV)Aug 18, 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