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•••••• B•••• V••••••• L••

Former SEC-registered adviserJackson, WyomingCRD 323257SEC 801-126758IAPD
Latest filing Feb 27, 2024
First filing on the tape Sep 19, 2022 · 11 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
4
1 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM: $5.0M
HNW client RAUM$0 as of Feb 2, 2024
Feb 3, 2023$2.0M then
State-registered IARs (5.B.3)1 as of Feb 2, 2024
Feb 3, 20231 then
Employees (5.A)4 as of Feb 2, 2024
Feb 3, 20234 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1offices 1 to 3
Practice profile
derived from the filing of Feb 27, 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
4.0derivedItem 5.A over advisors
Advisors per office
0.3derived4 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
-100%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
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
n/areported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E•••• P•••••• C••••• L••••• · Ccocontrol
        since 08/2022 · owns 10% to 25%
      • P•••••• E••••• J•••• L••••• · Managing Directorcontrol
        since 08/2022 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Chicago, Il000
      Offices
      Schedule D 1.F, the 25 largest
      • Jackson, WY1 employees
      • ,
      What changed
      consecutive filings, newest first
      • Other offices · 2 to 3
        Sep 18, 2023 to Feb 2, 2024
      • Other offices · 1 to 2
        Aug 14, 2023 to Sep 18, 2023
      • Accounts · 96.0 to unset
        Feb 3, 2023 to Feb 7, 2023
      • HNW clients · 20 to 0
        Feb 3, 2023 to Feb 7, 2023
      • Individual clients · 74 to 0
        Feb 3, 2023 to Feb 7, 2023
      • Discretionary RAUM · 5000000.0 to unset
        Feb 3, 2023 to Feb 7, 2023
      • HNW RAUM · $2.0M to $0
        Feb 3, 2023 to Feb 7, 2023
      • Individual RAUM · $3.0M to $0
        Feb 3, 2023 to Feb 7, 2023
      • Non-discretionary RAUM · 0.0 to unset
        Feb 3, 2023 to Feb 7, 2023
      • RAUM · 5000000.0 to unset
        Feb 3, 2023 to Feb 7, 2023
      • Related adviser · false to true
        Sep 19, 2022 to Sep 27, 2022
      Signals
      2 dated events
      • Eliseo Jojo Lucero P••••• no longer registered at A•••••• B•••• V••••••• L••; no later IA registration on IAPD
        Mar 25, 2024 · Advisor departure · fact
      • A•••••• B•••• V••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 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