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••••••••• P•••••••
Legal name A••••••••• P••••••• L••
Latest filing Jun 16, 2023
First filing on the tape Jan 18, 2023 · 3 filings
RAUM
$44.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$44.6M 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
3 filings and snapshots on the tape
RAUM$44.6M as of Jun 16, 2023
Jan 18, 2023$0 then
HNW client RAUM: $44.5M
State-registered IARs (5.B.3)1 as of Jun 16, 2023
Jan 18, 20231 then
Employees (5.A)1 as of Jun 16, 2023
Jan 18, 20231 then
Private funds: no history
Practice profile
derived from the filing of Jun 16, 2023; every figure names its basis
- RAUM per advisor
- $44.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $756,610derivedRAUM 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$44.5M100%
- Individuals$115,9980.3%
- Individual clients
- 0reported
- HNW clients
- 18reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 59reported
- 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
- M•••••• L••••••• R•••• to C••• S••••• P•••••••Mar 28, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- M•••••• L••••••• R•••• from M••••• P•••••• C•••••• G••••Feb 17, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• M•••••• · Managing Partner And Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- R••••• M•••••• · Managing Membercontrolsince 01/2023 · owns 75% or more of A••••••••• H••••••• L••
Entity owners
- A••••••••• H••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Roslyn, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 59Feb 8, 2023 to Jun 16, 2023
- HNW clients · unset to 18.0Feb 8, 2023 to Jun 16, 2023
- Individual clients · unset to 0.0Feb 8, 2023 to Jun 16, 2023
- Discretionary RAUM · $0 to $44.6MFeb 8, 2023 to Jun 16, 2023
- HNW RAUM · unset to 44523980.0Feb 8, 2023 to Jun 16, 2023
- Individual RAUM · unset to 115998.0Feb 8, 2023 to Jun 16, 2023
- RAUM · $0 to $44.6MFeb 8, 2023 to Jun 16, 2023
Signals
2 dated events
- M•••••• L••••••• R•••• left A••••••••• P••••••• for C••• S••••• P••••••• (registered 2024-06-17)Mar 28, 2024 · Advisor changed firm · fact
- A••••••••• P••••••• filed its initial SEC registration (Form ADV)Jan 18, 2023 · 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