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
E••••• S•••• U••
Latest filing Mar 30, 2025
First filing on the tape Mar 23, 2022 · 10 filings
SEC status approved since Jun 10, 2022
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2025
Mar 16, 2023$0 then
HNW client RAUM$0 as of Mar 30, 2025
Mar 16, 2023$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2025
Mar 16, 20230 then
Employees (5.A)2 as of Mar 30, 2025
Mar 16, 20232 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2025; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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
- subscriptionreportedItem 5.E
- Advisory activities
- publications, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
- C••••••• R•••••• W•••••• A••••• · Chief Executive Officercontrolsince 02/2024 · owns less than 5%
- G•••• M•••• M••••••• G••••• · Manager And Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- T••••••••• D••••• J••• M•••••• · Head Technical Analystcontrolsince 11/2021 · 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
- Financial planning clients · unset to Jan 21, 2025 to Mar 30, 2025
- HQ city · MANLY, NSW to SYDNEY NSWJan 21, 2025 to Mar 30, 2025
- Advisory employees · 3 to 2Mar 29, 2024 to Jan 21, 2025
- Employees · 3 to 2Mar 29, 2024 to Jan 21, 2025
- HQ state · unset to Mar 29, 2024 to Jan 21, 2025
- Advisory employees · 2 to 3Jul 16, 2023 to Mar 29, 2024
- Employees · 2 to 3Jul 16, 2023 to Mar 29, 2024
- HQ city · SYDNEY to MANLY, NSWJul 16, 2023 to Mar 29, 2024
- Accounts · unset to 0.0Jun 7, 2022 to Mar 16, 2023
- HQ city · BALGOWLAH, SYDNEY to SYDNEYJun 7, 2022 to Mar 16, 2023
- Discretionary RAUM · unset to 0.0Jun 7, 2022 to Mar 16, 2023
- Non-discretionary RAUM · unset to 0.0Jun 7, 2022 to Mar 16, 2023
- RAUM · unset to 0.0Jun 7, 2022 to Mar 16, 2023
Signals
5 dated events
- E••••• S•••• U•• no longer on the SEC adviser roster (last listed 2026-04-01)May 1, 2026 · Left the SEC roster · derived
- W•••••• A••••• R••••• C•••••• (Chief Executive Officer) appeared on Schedule A of E••••• S•••• U••Mar 29, 2024 · Control person joined · fact
- M••••••• G••••• M••• G••• (Manager And Chief Compliance Officer) appeared on Schedule A of E••••• S•••• U••Mar 16, 2023 · Control person joined · fact
- Nmi T•••• Mcgraw (Manager And Chief Compliance Officer) no longer on Schedule A of E••••• S•••• U•• (listed 2022-06-07, absent 2023-03-16)Mar 16, 2023 · Control person left · inference
- E••••• S•••• U•• filed its initial SEC registration (Form ADV)Mar 23, 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.
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