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
A••••••• A•••• • W••••• M••••••••• L••
Latest filing Nov 26, 2024
First filing on the tape Oct 23, 2022 · 10 filings
RAUM
n/a
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
3
1 advisory (5.B.1)
Offices
14
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Feb 29, 2024
Feb 13, 2023$0 then
State-registered IARs (5.B.3)1 as of Feb 29, 2024
Feb 13, 20231 then
Employees (5.A)3 as of Feb 29, 2024
Feb 13, 20233 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Nov 26, 2024; 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
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.1derived15 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- 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
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
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- 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
- B••••• J•••• T••••• · Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- F••••• R•••• G••••• · Executive Vice President, Chief Legal Officer, & Secretarycontrolsince 07/2022 · owns less than 5%
- K••••••• C•••••••• L•••• · Vice President Of Licensingcontrolsince 07/2022 · owns less than 5%
- M•••••• A•••• · Chief Financial Officer And Executive Vice Presidentcontrolsince 11/2024 · owns less than 5%
- T•••••• J••• · Presidentcontrolsince 11/2024 · owns less than 5%
Entity owners
- A•••••••• L•• · Memberdirect · owns 75% or more
- A••••••• H•••••••• I••• · 100% Owner Of Single Class Of Common Stockindirect · owns 75% or more of A••••••• I••••••••• I•••
- A••••••• I••••••••• I••• · 100% Owner Of Single Class Of Membership Interestindirect · owns 75% or more of A•••••••• L••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL
- Evans, GA
- Fairfield, NJ
- Hilton Head, SC
- Honolulu, HI
- King Of Prussia, PA
- Las Vegas, NV
- New York, NY
- Overland Park, KS
- Pelham, AL
- Sherman Oaks, CA
- Springfield, OR
- Woodbridge, VA
- Worcester, MA
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
5 dated events
- J••• T••••• (President) appeared on Schedule A of A••••••• A•••• • W••••• M••••••••• L••Nov 26, 2024 · Control person joined · fact
- A•••• M••••• (Chief Financial Officer And Executive Vice President) appeared on Schedule A of A••••••• A•••• • W••••• M••••••••• L••Nov 26, 2024 · Control person joined · fact
- Henry Gregory Weibley (President) no longer on Schedule A of A••••••• A•••• • W••••• M••••••••• L•• (listed 2023-02-13, absent 2023-03-06)Mar 6, 2023 · Control person left · inference
- Jay Lowell Singer (Executive Vice President, Treasurer, & Chief Financial Officer) no longer on Schedule A of A••••••• A•••• • W••••• M••••••••• L•• (listed 2022-11-14, absent 2023-01-20)Jan 20, 2023 · Control person left · inference
- A••••••• A•••• • W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 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