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
I•••••• A•••• M••••••••• L••
Latest filing May 3, 2024
First filing on the tape Jan 19, 2022 · 6 filings
RAUM
$1.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.8M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$1.8M as of May 3, 2024
Mar 24, 2023$346M then
HNW client RAUM$1.8M as of May 3, 2024
Mar 24, 2023$311M then
State-registered IARs (5.B.3)1 as of May 3, 2024
Mar 24, 20232 then
Employees (5.A)1 as of May 3, 2024
Mar 24, 20235 then
Private funds: no history
RAUM -99% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of May 3, 2024; every figure names its basis
- RAUM per advisor
- $1.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -99%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -99%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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$1.8M100%
- Individual clients
- 0reported
- HNW clients
- 1reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- C••• T••••• W••••••• to S••••• S••••• A••••••• L••Jul 9, 2024 · RIA to RIA
- A•••••••• J• S•• to S••••• S••••• A••••••• L••Mar 5, 2024 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••••• C•••• T••••• · President, Membercontrolsince 01/2022 · owns 75% or more
- S••••••••• G•••• J••••• · Chief Compliance Officersince 08/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list I•••••• A•••• M••••••••• L•• as a related person
- 328151 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 284 to 1Mar 29, 2023 to May 3, 2024
- Advisory employees · 2 to 1Mar 29, 2023 to May 3, 2024
- Charity clients · 6 to 0Mar 29, 2023 to May 3, 2024
- Corporate clients · 6 to 0Mar 29, 2023 to May 3, 2024
- HNW clients · 73 to 1Mar 29, 2023 to May 3, 2024
- Pension plan clients · 4 to 0Mar 29, 2023 to May 3, 2024
- Employees · 5 to 1Mar 29, 2023 to May 3, 2024
- State-registered IARs · 2 to 1Mar 29, 2023 to May 3, 2024
- Discretionary RAUM · $346M to $1.8MMar 29, 2023 to May 3, 2024
- HNW RAUM · $311M to $1.8MMar 29, 2023 to May 3, 2024
- Pension RAUM · $9.5M to $0Mar 29, 2023 to May 3, 2024
- RAUM · $346M to $1.8MMar 29, 2023 to May 3, 2024
- Accounts · 199 to 284May 2, 2022 to Mar 24, 2023
- Advisory employees · 5 to 2May 2, 2022 to Mar 24, 2023
- Advisory activities · 4 to 3May 2, 2022 to Mar 24, 2023
- Charity clients · 4 to 6May 2, 2022 to Mar 24, 2023
- Corporate clients · 4 to 6May 2, 2022 to Mar 24, 2023
- HNW clients · 57 to 73May 2, 2022 to Mar 24, 2023
- Pension plan clients · 5 to 4May 2, 2022 to Mar 24, 2023
- State-registered IARs · 1 to 2May 2, 2022 to Mar 24, 2023
- Discretionary RAUM · $287M to $346MMay 2, 2022 to Mar 24, 2023
- HNW RAUM · $257M to $311MMay 2, 2022 to Mar 24, 2023
- Pension RAUM · $12.0M to $9.5MMay 2, 2022 to Mar 24, 2023
- RAUM · $287M to $346MMay 2, 2022 to Mar 24, 2023
- Accounts · 0 to 199Jan 31, 2022 to May 2, 2022
- Charity clients · 0 to 4Jan 31, 2022 to May 2, 2022
- Corporate clients · 0 to 4Jan 31, 2022 to May 2, 2022
- HNW clients · 0 to 57Jan 31, 2022 to May 2, 2022
- Pension plan clients · 0 to 5Jan 31, 2022 to May 2, 2022
- State-registered IARs · 0 to 1Jan 31, 2022 to May 2, 2022
- Discretionary RAUM · $0 to $287MJan 31, 2022 to May 2, 2022
- HNW RAUM · $0 to $257MJan 31, 2022 to May 2, 2022
- Pension RAUM · $0 to $12.0MJan 31, 2022 to May 2, 2022
- RAUM · $0 to $287MJan 31, 2022 to May 2, 2022
Signals
4 dated events
- C••• T••••• W••••••• left I•••••• A•••• M••••••••• L•• for S••••• S••••• A••••••• L•• (registered 2024-03-05)Jul 9, 2024 · Advisor changed firm · fact
- I•••••• A•••• M••••••••• L•• reported RAUM $1.8M, down 99% from $345.8M (2023-03-29 to 2024-05-03)May 3, 2024 · RAUM change · derived
- A•••••••• J• S•• left I•••••• A•••• M••••••••• L•• for S••••• S••••• A••••••• L•• (registered 2024-03-05)Mar 5, 2024 · Advisor changed firm · fact
- I•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 19, 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