DFX Intelligence
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SEC-registered adviser
A••••• E•••
Legal name A••••• E•• A••••••• L••
Latest filing Aug 4, 2026
First filing on the tape Dec 16, 2021 · 14 filings
SEC status approved since Jan 20, 2022
RAUM
$10.2M
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
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$10.2M as of Aug 4, 2026
Mar 31, 2022$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 4, 2026
Mar 31, 20220 then
Employees (5.A)1 as of Aug 4, 2026
Mar 31, 20223 then
Private funds: no history
RAUM -8.4% over the last fiscal year+39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 4, 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
- $5.1MderivedRAUM 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
- -8.4%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 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$10.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
- B••• P•••• S•••••• · Chief Executive Officercontrolsince 08/2022 · owns less than 5%
- G•••••••• J•••••• I•••• · Member & General Managercontrolsince 12/2021 · owns 50% to 75%
- M•••••••• J•••• T••••• · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- G•••••••• J•••••• I•••• · Sole Member & Trusteecontrolsince 03/2022 · owns F of C••••• S••••• T•••• H••••••• L••
Entity owners
- C••••• S••••• T•••• H••••••• L•• · Memberdirect · owns 50% to 75%
- J••••• G••••••• 2••• I••••••••• T•••• · Trustindirect · owns 75% or more of C••••• S••••• T•••• H••••••• L••
Related persons
Schedule D 7.A
- N••••••• C•••••• M••••••••• L••investment companyy
- N••••••• P••••••• M••••••••• L••investment companyy
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 1Apr 4, 2025 to Mar 24, 2026
- Employees · 2 to 1Apr 4, 2025 to Mar 24, 2026
- Discretionary RAUM · $11.1M to $10.2MApr 4, 2025 to Mar 24, 2026
- RAUM · $11.1M to $10.2MApr 4, 2025 to Mar 24, 2026
- BD registered reps · 1 to 0May 6, 2024 to Apr 4, 2025
- Financial planning clients · unset to May 6, 2024 to Apr 4, 2025
- HQ city · SHELTON to NOVIMay 6, 2024 to Apr 4, 2025
- HQ state · CT to MIMay 6, 2024 to Apr 4, 2025
- Other offices · 0 to 1May 6, 2024 to Apr 4, 2025
- Discretionary RAUM · $5.5M to $11.1MMay 6, 2024 to Apr 4, 2025
- RAUM · $5.5M to $11.1MMay 6, 2024 to Apr 4, 2025
- Accounts · 1 to 2Jan 3, 2024 to Mar 21, 2024
- Advisory employees · 3 to 2Jan 3, 2024 to Mar 21, 2024
- Employees · 3 to 2Jan 3, 2024 to Mar 21, 2024
- Discretionary RAUM · $3.8M to $5.5MJan 3, 2024 to Mar 21, 2024
- RAUM · $3.8M to $5.5MJan 3, 2024 to Mar 21, 2024
- Accounts · 0 to 1Nov 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $0 to $3.8MNov 30, 2022 to Mar 29, 2023
- RAUM · $0 to $3.8MNov 30, 2022 to Mar 29, 2023
- Employees · 4 to 3Feb 28, 2022 to Mar 31, 2022
- Legal name · A••••• E••• LLC to A••••• E•• A••••••• L••Dec 16, 2021 to Feb 28, 2022
Signals
9 dated events
- Thomas John Mcdevitt (Chief Compliance Officer) appeared on Schedule A of A••••• E•••May 6, 2024 · Control person joined · fact
- Howard Daniel Carlson (Chief Compliance Officer) no longer on Schedule A of A••••• E••• (listed 2024-03-21, absent 2024-05-06)May 6, 2024 · Control person left · inference
- Howard Daniel Carlson (Chief Compliance Officer) appeared on Schedule A of A••••• E•••Jan 3, 2024 · Control person joined · fact
- Warren David Auerbach (Executive & Managing Director) no longer on Schedule A of A••••• E••• (listed 2023-03-29, absent 2023-12-13)Dec 13, 2023 · Control person left · inference
- Sheldon Phil Bak (Chief Executive Officer) appeared on Schedule A of A••••• E•••Sep 21, 2022 · Control person joined · fact
- Warren David Auerbach (Executive & Managing Director) appeared on Schedule A of A••••• E•••Mar 31, 2022 · Control person joined · fact
- A••••• Eli L•••• (Chief Operating Officer) no longer on Schedule A of A••••• E••• (listed 2021-12-16, absent 2022-02-28)Feb 28, 2022 · Control person left · inference
- Nmn Michael Vanbemmelen (Chief Compliance Officer) no longer on Schedule A of A••••• E••• (listed 2021-12-16, absent 2022-02-28)Feb 28, 2022 · Control person left · inference
- A••••• E••• filed its initial SEC registration (Form ADV)Dec 16, 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
- Firm profile
- linkedin.com/company/armada-etf-advisorsreportedpublic record, Form ADV, Sep 21, 2026
- Website
- armadaetfs.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-220-6681reportedpublic record, Form ADV, Aug 4, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026