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
U••••••••• I•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 1, 2022 · 10 filings
SEC status approved since Mar 31, 2022
RAUM
$303M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$299M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$151M
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
10 filings and snapshots on the tape
RAUM$303M as of Mar 26, 2026
Mar 30, 2023$201M then
HNW client RAUM$274M as of Mar 26, 2026
Mar 30, 2023$180M then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Mar 30, 20232 then
Employees (5.A)2 as of Mar 26, 2026
Mar 30, 20232 then
Private funds: no history
RAUM +13% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $151MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $842,720derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%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
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- High-net-worth individuals$274M90%
- Individuals$25.7M8.5%
- Charitable organizations$3.3M1.1%
- Individual clients
- 37reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 359reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• M•••••• O•••••• | Charlotte, Nc | Mar 31, 2022 | 12 y | 1 |
| P••• P•••••• O•••••• | Portsmouth, Nh | Mar 31, 2022 | 19 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
- O••••••• P•••• P•••••• · Managing Member / Chief Compliance Officercontrolsince 02/2007 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 26, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-03-19, no on the filing of 2026-03-26peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 418 to 359Mar 19, 2025 to Mar 26, 2026
- Financial planning clients · 26-50 to 51-100Mar 19, 2025 to Mar 26, 2026
- Discretionary RAUM · $267M to $303MMar 19, 2025 to Mar 26, 2026
- HNW RAUM · $247M to $274MMar 19, 2025 to Mar 26, 2026
- Individual RAUM · $18.9M to $25.7MMar 19, 2025 to Mar 26, 2026
- RAUM · $267M to $303MMar 19, 2025 to Mar 26, 2026
- Accounts · 384 to 418Dec 23, 2024 to Mar 19, 2025
- HNW clients · 53 to 51Dec 23, 2024 to Mar 19, 2025
- Individual clients · 29 to 37Dec 23, 2024 to Mar 19, 2025
- Financial planning clients · 26-50 to 26-50Dec 23, 2024 to Mar 19, 2025
- HQ city · unset to Dec 23, 2024 to Mar 19, 2025
- HQ state · unset to Dec 23, 2024 to Mar 19, 2025
- Discretionary RAUM · $233M to $267MDec 23, 2024 to Mar 19, 2025
- HNW RAUM · $216M to $247MDec 23, 2024 to Mar 19, 2025
- Individual RAUM · $14.4M to $18.9MDec 23, 2024 to Mar 19, 2025
- RAUM · $233M to $267MDec 23, 2024 to Mar 19, 2025
- Accounts · 409 to 384Nov 3, 2023 to Mar 28, 2024
- HNW clients · 48 to 53Nov 3, 2023 to Mar 28, 2024
- Individual clients · 36 to 29Nov 3, 2023 to Mar 28, 2024
- Discretionary RAUM · $201M to $233MNov 3, 2023 to Mar 28, 2024
- HNW RAUM · $180M to $216MNov 3, 2023 to Mar 28, 2024
- Individual RAUM · $18.9M to $14.4MNov 3, 2023 to Mar 28, 2024
- RAUM · $201M to $233MNov 3, 2023 to Mar 28, 2024
- Accounts · 419 to 409Apr 14, 2022 to Mar 30, 2023
- HNW clients · 52 to 48Apr 14, 2022 to Mar 30, 2023
- Individual clients · 33 to 36Apr 14, 2022 to Mar 30, 2023
- Discretionary RAUM · $246M to $201MApr 14, 2022 to Mar 30, 2023
- HNW RAUM · $226M to $180MApr 14, 2022 to Mar 30, 2023
- Individual RAUM · $17.4M to $18.9MApr 14, 2022 to Mar 30, 2023
- RAUM · $246M to $201MApr 14, 2022 to Mar 30, 2023
- Succession · true to falseMar 1, 2022 to Mar 4, 2022
Signals
2 dated events
- U••••••••• I•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 1, 2022 · Succession (Item 4) · fact
- U••••••••• I•••••••• L•• filed its initial SEC registration (Form ADV)Mar 1, 2022 · 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
- u•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (415) 235-3729reportedpublic record, Form ADV, Mar 26, 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
- $151Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026