DFX Intelligence
RIA Intelligence
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Latest filing Mar 30, 2026
First filing on the tape May 30, 2023 · 6 filings
SEC status approved since Jun 30, 2023
RAUM
$407,969
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
9.0%
$36,737 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$407,969
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$407,969 as of Mar 30, 2026
Mar 20, 2024$15,576 then
HNW client RAUM$0 as of Mar 30, 2026
Mar 20, 2024$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 20, 20240 then
Employees (5.A)2 as of Mar 30, 2026
Mar 20, 20242 then
Private funds: no history
RAUM +115% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $407,969derivedRAUM 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
- $31,382derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 91%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +115%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $407,969reportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$371,23291%
- Individuals$36,7379.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 13reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $407,969 sponsored, $407,969 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.09 fund_share=0.0 institutional_share=0.91 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| O••• B•• Y•••• | Peoria, Il | Mar 14, 2026 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
- G••••• D••••• · Ctocontrolsince 03/2023 · owns 50% to 75%
- Y••••• O•••• B•• · Ceo, Ccocontrolsince 03/2023 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Peoria, IL
What changed
consecutive filings, newest first
- Accounts · 14 to 13Feb 6, 2026 to Mar 30, 2026
- Charity clients · 2 to 10Feb 6, 2026 to Mar 30, 2026
- Discretionary RAUM · $189,654 to $407,969Feb 6, 2026 to Mar 30, 2026
- Individual RAUM · $25,860 to $36,737Feb 6, 2026 to Mar 30, 2026
- RAUM · $189,654 to $407,969Feb 6, 2026 to Mar 30, 2026
- Wrap assets (manager) · $15,576 to $407,969Feb 6, 2026 to Mar 30, 2026
- Wrap assets (sponsor) · $15,576 to $407,969Feb 6, 2026 to Mar 30, 2026
- Accounts · 2 to 14Mar 20, 2024 to Feb 25, 2025
- Financial planning clients · 0 to 0Mar 20, 2024 to Feb 25, 2025
- HQ city · unset to Mar 20, 2024 to Feb 25, 2025
- HQ state · unset to Mar 20, 2024 to Feb 25, 2025
- Discretionary RAUM · $15,576 to $189,654Mar 20, 2024 to Feb 25, 2025
- Individual RAUM · $0 to $25,860Mar 20, 2024 to Feb 25, 2025
- RAUM · $15,576 to $189,654Mar 20, 2024 to Feb 25, 2025
- Accounts · 0 to 2Jun 26, 2023 to Mar 20, 2024
- Charity clients · unset to 2.0Jun 26, 2023 to Mar 20, 2024
- Discretionary RAUM · $0 to $15,576Jun 26, 2023 to Mar 20, 2024
- RAUM · $0 to $15,576Jun 26, 2023 to Mar 20, 2024
- Wrap assets (manager) · $0 to $15,576Jun 26, 2023 to Mar 20, 2024
- Wrap assets (sponsor) · $0 to $15,576Jun 26, 2023 to Mar 20, 2024
Signals
1 dated events
- F••••••••• L•• filed its initial SEC registration (Form ADV)May 30, 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.
How to reach
public business contact points only, each with its source
- Website
- f•••••••••.coreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 646-580-1448reportedpublic record, Form ADV, Mar 30, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $407,969derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026