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
I••••••• F••• A•••• M••••••••• L••
Latest filing Sep 3, 2026
First filing on the tape Dec 16, 2021 · 17 filings
SEC status approved since Feb 1, 2022
RAUM
$6.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.2%
$16.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$6.8B
derived; firm RAUM over IAPD count
Employees
12
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$6.8B as of Jun 26, 2026
Mar 30, 2023$3.9B then
HNW client RAUM$15.9M as of Jun 26, 2026
Mar 30, 2023$10,000 then
State-registered IARs (5.B.3)2 as of Jun 26, 2026
Mar 30, 20231 then
Employees (5.A)12 as of Jun 26, 2026
Mar 30, 20237 then
Private funds4 as of Jun 26, 2026
Mar 30, 20232 then
RAUM -9.1% over the last fiscal year+21% a year over threeIARs 4 to 2offices 1 to 0
Practice profile
derived from the filing of Sep 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $6.8BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $454,705derivedHNW RAUM over HNW clients
- Average account
- $76.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 12.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +123%derived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- $22.4MreportedItem 5.I
- Custody
- $6.8B, 89 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.5B66%
- Corporations and businesses$2.3B34%
- High-net-worth individuals$15.9M0.2%
- Individuals$976,3650.0%
- Individual clients
- 32reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 89reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $6.8B for 89 clientsreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.66 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I•••• N•••••• | Fort Lauderdale, Fl | Jul 31, 2024 | 19 y | 0 |
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 headcount1 left over 36 months
Left, latest
- J••• C••••• J•••• D•••••• to C••••••• • C••Apr 8, 2025 · Other
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••••••• F••• I•• L•• | Securitized Asset Fund | $3.2B | 28 | Dec 16, 2021 |
| A•••• A•• O••••••••• F••• I•• L•• | Securitized Asset Fund | $421M | 0 | Oct 11, 2024 |
| I••••••• F••• I• L•• | Securitized Asset Fund | $277M | 24 | Dec 16, 2021 |
Owners and control persons
Schedule A and B, latest filing
- K••••••••• V••••• · Owner/Ccocontrolsince 06/2019 · owns 50% to 75%
- S••••••••• M••••• · Ownercontrolsince 06/2019 · owns 50% to 75%
Related persons
Schedule D 7.A
- I• S••••••••• L••broker-dealern
- I••••••• M•••••• I• L••pooled vehicle sponsorn
- I••••••• M•••••• I•• L••pooled vehicle sponsorn
- I••••••• M•••••• I••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Lauderdale, Fl · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Jun 26, 2026 to Sep 3, 2026
- Private funds · 4 to unsetJun 26, 2026 to Sep 3, 2026
- Succession · false to unsetJun 26, 2026 to Sep 3, 2026
- Accounts · 42 to 89Jan 2, 2026 to Mar 26, 2026
- Corporate clients · 9 to 20Jan 2, 2026 to Mar 26, 2026
- HNW clients · 13 to 35Jan 2, 2026 to Mar 26, 2026
- Individual clients · 17 to 32Jan 2, 2026 to Mar 26, 2026
- Assets in custody · $7.5B to $6.8BJan 2, 2026 to Mar 26, 2026
- Employees · 10 to 12Jan 2, 2026 to Mar 26, 2026
- Discretionary RAUM · $7.5B to $6.8BJan 2, 2026 to Mar 26, 2026
- HNW RAUM · $8.6M to $15.9MJan 2, 2026 to Mar 26, 2026
- Individual RAUM · $8.4M to $976,365Jan 2, 2026 to Mar 26, 2026
- Non-discretionary RAUM · $7.6M to $9.7MJan 2, 2026 to Mar 26, 2026
- Pooled vehicle RAUM · $4.7B to $4.5BJan 2, 2026 to Mar 26, 2026
- RAUM · $7.5B to $6.8BJan 2, 2026 to Mar 26, 2026
- Advisory employees · 4 to 2Mar 30, 2025 to Jan 2, 2026
- BD registered reps · 1 to 0Mar 30, 2025 to Jan 2, 2026
- Employees · 8 to 10Mar 30, 2025 to Jan 2, 2026
- State-registered IARs · 4 to 2Mar 30, 2025 to Jan 2, 2026
- Other offices · 1 to 0Mar 30, 2025 to Jan 2, 2026
- Accounts · 25 to 42Oct 11, 2024 to Mar 30, 2025
- BD registered reps · 2 to 1Oct 11, 2024 to Mar 30, 2025
- Business name · I••••••• C•••••• P••••••• to I••••••• F••• A•••• M••••••••• L••Oct 11, 2024 to Mar 30, 2025
- Corporate clients · unset to 9.0Oct 11, 2024 to Mar 30, 2025
- HNW clients · 11 to 13Oct 11, 2024 to Mar 30, 2025
- Individual clients · 9 to 17Oct 11, 2024 to Mar 30, 2025
- Pooled vehicle clients · 3 to 4Oct 11, 2024 to Mar 30, 2025
- Assets in custody · $7.0B to $7.5BOct 11, 2024 to Mar 30, 2025
- Financial planning clients · 0 to 0Oct 11, 2024 to Mar 30, 2025
- Legal name · I••••••• F••• C•••••• P•••••••• L•• to I••••••• F••• A•••• M••••••••• L••Oct 11, 2024 to Mar 30, 2025
- Private funds · 3 to 4Oct 11, 2024 to Mar 30, 2025
- Discretionary RAUM · $7.0B to $7.5BOct 11, 2024 to Mar 30, 2025
- HNW RAUM · $2.3M to $8.6MOct 11, 2024 to Mar 30, 2025
- Individual RAUM · $7.8M to $8.4MOct 11, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $0 to $7.6MOct 11, 2024 to Mar 30, 2025
- Pooled vehicle RAUM · $3.9B to $4.7BOct 11, 2024 to Mar 30, 2025
- RAUM · $7.0B to $7.5BOct 11, 2024 to Mar 30, 2025
- Accounts · 11 to 25Jul 5, 2024 to Oct 11, 2024
- Advisory employees · 3 to 4Jul 5, 2024 to Oct 11, 2024
- BD registered reps · 1 to 2Jul 5, 2024 to Oct 11, 2024
Signals
8 dated events
- J••• C••••• J•••• D•••••• left I••••••• F••• A•••• M••••••••• L•• for C••••••• • C•• (registered 2025-05-14)Apr 8, 2025 · Advisor changed firm · fact
- I••••••• F••• A•••• M••••••••• L•• reported RAUM $7.0B, up 31% from $5.3B (2024-07-05 to 2024-10-11)Oct 11, 2024 · RAUM change · derived
- H••••• M••• P•••••• (Chief Compliance Officer) no longer on Schedule A of I••••••• F••• A•••• M••••••••• L•• (listed 2024-07-05, absent 2024-10-11)Oct 11, 2024 · Control person left · inference
- I••••••• F••• A•••• M••••••••• L•• reported RAUM $5.3B, up 38% from $3.9B (2023-04-19 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- I••••••• F••• A•••• M••••••••• L•• reported RAUM $3.9B, up 1123% from $316.5M (2022-07-01 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- H••••• M••• P•••••• (Chief Compliance Officer And Chief Operations Officer) appeared on Schedule A of I••••••• F••• A•••• M••••••••• L••Jul 1, 2022 · Control person joined · fact
- Powell James Morrison (Chief Compliance Officer) no longer on Schedule A of I••••••• F••• A•••• M••••••••• L•• (listed 2022-04-25, absent 2022-07-01)Jul 1, 2022 · Control person left · inference
- I••••••• F••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Dec 16, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- I••••••• C•••••• P••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/49028665/admin/dashboardreportedpublic record, Form ADV, Sep 18, 2026
- Website
- imperialfund.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (855) 226-5200reportedpublic record, Form ADV, Sep 3, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $6.8Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026