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
R••• H•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Oct 4, 2021 · 10 filings
SEC status approved since Nov 8, 2021
RAUM
$18.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.3%
$626,130 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$18.8M as of Mar 27, 2026
Jan 30, 2023$7.4M then
HNW client RAUM$0 as of Mar 27, 2026
Mar 2, 2022$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 2, 20220 then
Employees (5.A)7 as of Mar 27, 2026
Mar 2, 20227 then
Private funds: no history
RAUM -27% over the last fiscal year+37% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; 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
- $3.1MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -27%derivedbetween 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 individuals, 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
- 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
- Investment companies$9.9M94%
- Individuals$626,1306.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.03 fund_share=0.52 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
- D••••• A•••••• •••• · Partnercontrolsince 02/2022 · owns 50% to 75%
- G••••••••• P••••••• F••••••• · Partnercontrolsince 02/2022 · owns 50% to 75%
- D••••••• S••••••••• L•••• · Chief Compliance Officersince 10/2021 · owns less than 5%
Related persons
Schedule D 7.A
- B•••••• I••••••••• L••investment advisernRAUM $561M
- S•••••••• D••••••n
Advisers that list R••• H•••••••• L•• as a related person
- 151585 n
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 5 to 6Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $25.6M to $18.8MMar 28, 2025 to Mar 27, 2026
- Individual RAUM · $586,116 to $626,130Mar 28, 2025 to Mar 27, 2026
- RAUM · $25.6M to $18.8MMar 28, 2025 to Mar 27, 2026
- Accounts · 1 to 5Apr 2, 2024 to Mar 28, 2025
- Financial planning clients · unset to Apr 2, 2024 to Mar 28, 2025
- Discretionary RAUM · $16.7M to $25.6MApr 2, 2024 to Mar 28, 2025
- Individual RAUM · $0 to $586,116Apr 2, 2024 to Mar 28, 2025
- RAUM · $16.7M to $25.6MApr 2, 2024 to Mar 28, 2025
- Advisory activities · 1 to 2Jan 30, 2023 to Jan 29, 2024
- Discretionary RAUM · $7.4M to $16.7MJan 30, 2023 to Jan 29, 2024
- RAUM · $7.4M to $16.7MJan 30, 2023 to Jan 29, 2024
- Accounts · unset to 1.0Nov 27, 2022 to Jan 30, 2023
- Insurance-licensed employees · 4 to 3Nov 27, 2022 to Jan 30, 2023
- Discretionary RAUM · unset to 7367058.0Nov 27, 2022 to Jan 30, 2023
- Non-discretionary RAUM · unset to 0.0Nov 27, 2022 to Jan 30, 2023
- RAUM · unset to 7367058.0Nov 27, 2022 to Jan 30, 2023
- Business name · R••• H•••••••• L•• to R••• H•••••••• L••Mar 2, 2022 to Nov 27, 2022
- Legal name · R••• H•••••••• L•• to R••• H•••••••• L••Mar 2, 2022 to Nov 27, 2022
- Succession · true to falseMar 2, 2022 to Nov 27, 2022
- Organization form · Limited Liability Company to Limited Liability PartnershipOct 4, 2021 to Mar 2, 2022
- Succession · false to trueOct 4, 2021 to Mar 2, 2022
Signals
2 dated events
- R••• H•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 2, 2022 · Succession (Item 4) · fact
- R••• H•••••••• L•• filed its initial SEC registration (Form ADV)Oct 4, 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
- Principal office phone
- 201-556-0092reportedpublic record, Form ADV, Mar 27, 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
- Other 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