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
M••••••• M•••••• L••
Latest filing May 21, 2026
First filing on the tape Jun 26, 2024 · 4 filings
SEC status approved since Jul 26, 2024
RAUM
$284M
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
30
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$284M as of May 21, 2026
Mar 28, 2025$281M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 21, 2026
Mar 28, 20250 then
Employees (5.A)30 as of May 21, 2026
Mar 28, 202530 then
Private funds3 as of May 21, 2026
Mar 28, 20253 then
RAUM +1.2% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 21, 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
- $94.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.2%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 assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $284M, 3 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$284M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $284M for 3 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••••• P••••••••• F••• I• L• | Private Equity Fund | $105M | 15 | Dec 9, 2022 |
| I••••• 5•• F••• L•• | Private Equity Fund | $50.0M | 3 | Mar 28, 2024 |
| M• S••••••• F••• L•• | Private Equity Fund | $19.6M | 2 | Dec 9, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C•••• E••••• B•••••• · President And Ceo Of C•••••• I••••• P•••••••, Indirect Sole Membercontrolsince 10/2023 · owns less than 5%
- D••••• D•••••• B••••••• · Chief Compliance Officersince 06/2024 · owns less than 5%
Entity owners
- A••••••• S••••••••• M•••••• L•• · Sole Memberdirect · owns 75% or more
- C•••••• I••••• P••••••• · Sole Memberindirect · owns 75% or more of A••••••• S••••••••• M•••••• L••
Related persons
Schedule D 7.A
- E•••••••• P••••••••• F••• I• G•pooled vehicle sponsorn
- Rps S••••••••• LLCbroker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Business name · E•••••••• P••••••••• M•••••• L•• to M••••••• M•••••• L••Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $262M to $284MMar 28, 2025 to Mar 30, 2026
- Legal name · E•••••••• P••••••••• M•••••• L•• to M••••••• M•••••• L••Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $281M to $284MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $281M to $284MMar 28, 2025 to Mar 30, 2026
- RAUM · $281M to $284MMar 28, 2025 to Mar 30, 2026
- Assets in custody · $154M to $262MJun 26, 2024 to Mar 28, 2025
- Financial planning clients · unset to Jun 26, 2024 to Mar 28, 2025
- Private funds · 6 to 3Jun 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $174M to $281MJun 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $174M to $281MJun 26, 2024 to Mar 28, 2025
- RAUM · $174M to $281MJun 26, 2024 to Mar 28, 2025
Signals
2 dated events
- M••••••• M•••••• L•• reported RAUM $281.0M, up 62% from $173.5M (2024-06-26 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- E•••••••• P••••••••• M•••••• L•• filed its initial SEC registration (Form ADV)Jun 26, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M••••••• M•••••• L•• · Independent Sponsorsshared crd · capital_provider
- E•••••••• P••••••••• M•••••• L•• · Private Equityshared crd · organization
- E•••••••• P••••••••• M•••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 703-647-2300reportedpublic record, Form ADV, May 21, 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 M••••••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