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
S••••••••• S•••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Mar 31, 2023 · 11 filings
SEC status approved since Apr 28, 2023
RAUM
$133M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
60%
$80.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$133M as of Apr 1, 2026
Apr 3, 2024$118M then
HNW client RAUM$80.0M as of Apr 1, 2026
Apr 3, 2024$52.5M then
State-registered IARs (5.B.3)0 as of Apr 1, 2026
Apr 3, 20240 then
Employees (5.A)3 as of Apr 1, 2026
Apr 3, 20241 then
Private funds3 as of Apr 1, 2026
Apr 3, 20244 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $16.0MderivedHNW RAUM over HNW clients
- Average account
- $16.6MderivedRAUM 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
- 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
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $133M, 8 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
- 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)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$80.0M60%
- Pooled investment vehicles$53.0M40%
- Individual clients
- n/areported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $133M for 8 clientsreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.6 fund_share=0.4 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• I•••••••• F••• L•• | Other Private Fund | $13.6M | 2 | Feb 23, 2022 |
| C••••••• F•••• P••••••• L•• | Private Equity Fund | $13.6M | 4 | Mar 31, 2023 |
| K••• E•••• P••••••• L•• | Private Equity Fund | $13.6M | 4 | Feb 23, 2022 |
| U••••• S••••• G••••• P••••••• L•• | Private Equity Fund | $10.0M | 5 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- H••••••••• J•••• D•••• · Managing Member, Ccocontrolsince 09/2005 · 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
- Accounts · 10 to 8Feb 19, 2026 to Apr 1, 2026
- Charity clients · 1.0 to unsetFeb 19, 2026 to Apr 1, 2026
- Pooled vehicle clients · 4 to 3Feb 19, 2026 to Apr 1, 2026
- Assets in custody · $99.0M to $133MFeb 19, 2026 to Apr 1, 2026
- Private funds · 4 to 3Feb 19, 2026 to Apr 1, 2026
- Discretionary RAUM · $118M to $133MFeb 19, 2026 to Apr 1, 2026
- HNW RAUM · $52.5M to $80.0MFeb 19, 2026 to Apr 1, 2026
- Pooled vehicle RAUM · $46.5M to $53.0MFeb 19, 2026 to Apr 1, 2026
- RAUM · $118M to $133MFeb 19, 2026 to Apr 1, 2026
- Other offices · 1 to 0Jul 3, 2025 to Feb 19, 2026
- Advisory employees · 1 to 2Apr 3, 2024 to Jul 3, 2025
- Employees · 1 to 3Apr 3, 2024 to Jul 3, 2025
- Financial planning clients · 1-10 to 1-10Apr 3, 2024 to Jul 3, 2025
- HQ city · unset to CHAPEL HILLApr 3, 2024 to Jul 3, 2025
- HQ state · unset to NCApr 3, 2024 to Jul 3, 2025
- Other offices · 0 to 1Apr 3, 2024 to Jul 3, 2025
- Discretionary RAUM · $99.0M to $118MApr 3, 2024 to Jul 3, 2025
- Non-discretionary RAUM · $19.2M to $0Apr 3, 2024 to Jul 3, 2025
- Accounts · 6 to 10Aug 18, 2023 to Apr 3, 2024
- Advisory activities · 4 to 5Aug 18, 2023 to Apr 3, 2024
- Charity clients · unset to 1.0Aug 18, 2023 to Apr 3, 2024
- HNW clients · 2 to 5Aug 18, 2023 to Apr 3, 2024
- Assets in custody · unset to 98995640.0Aug 18, 2023 to Apr 3, 2024
- Custody of client assets · false to trueAug 18, 2023 to Apr 3, 2024
- Employees · 2 to 1Aug 18, 2023 to Apr 3, 2024
- Discretionary RAUM · $106M to $99.0MAug 18, 2023 to Apr 3, 2024
- HNW RAUM · $40.0M to $52.5MAug 18, 2023 to Apr 3, 2024
- Non-discretionary RAUM · $0 to $19.2MAug 18, 2023 to Apr 3, 2024
- Pooled vehicle RAUM · $66.5M to $46.5MAug 18, 2023 to Apr 3, 2024
- RAUM · $106M to $118MAug 18, 2023 to Apr 3, 2024
- Private funds · 8 to 4Mar 31, 2023 to Mar 31, 2023
Signals
1 dated events
- S••••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••••• S•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••••••• S•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 917-836-0339reportedpublic record, Form ADV, Apr 1, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026