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
N••••••• C••••••
Legal name N••••••• L•••••••• I••
Latest filing Aug 25, 2026
First filing on the tape May 23, 2023 · 10 filings
SEC status approved since Aug 9, 2023
RAUM
$14.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$14.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$14.4M as of Aug 25, 2026
Mar 15, 2024$348,594 then
HNW client RAUM$0 as of Aug 25, 2026
Mar 15, 2024$0 then
State-registered IARs (5.B.3)1 as of Aug 25, 2026
Mar 15, 20241 then
Employees (5.A)2 as of Aug 25, 2026
Mar 15, 20242 then
Private funds: no history
RAUM +291% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Aug 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $14.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 220derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $65,273derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +291%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +315%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$14.4M100%
- Individual clients
- 220reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 220reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• M•••• R••••••• M••••• · Ceocontrolsince 11/2019 · owns 50% to 75%
- S••• R••••• G••••••• O•••••• · Ccocontrolsince 11/2019 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 53 to 220Aug 14, 2025 to Jan 8, 2026
- Individual clients · 53 to 220Aug 14, 2025 to Jan 8, 2026
- Financial planning clients · 0 to 1-10Aug 14, 2025 to Jan 8, 2026
- Discretionary RAUM · $3.7M to $14.4MAug 14, 2025 to Jan 8, 2026
- Individual RAUM · $3.7M to $14.4MAug 14, 2025 to Jan 8, 2026
- RAUM · $3.7M to $14.4MAug 14, 2025 to Jan 8, 2026
- Financial planning clients · 0 to 0May 9, 2025 to Aug 14, 2025
- Accounts · 11 to 53Mar 15, 2024 to Jan 30, 2025
- Individual clients · 11 to 53Mar 15, 2024 to Jan 30, 2025
- HQ state · unset to Mar 15, 2024 to Jan 30, 2025
- Discretionary RAUM · $348,594 to $3.7MMar 15, 2024 to Jan 30, 2025
- Individual RAUM · $348,594 to $3.7MMar 15, 2024 to Jan 30, 2025
- RAUM · $348,594 to $3.7MMar 15, 2024 to Jan 30, 2025
- Accounts · 0 to 11Aug 16, 2023 to Mar 15, 2024
- Charity clients · unset to 0.0Aug 16, 2023 to Mar 15, 2024
- Corporate clients · unset to 0.0Aug 16, 2023 to Mar 15, 2024
- HNW clients · unset to 0.0Aug 16, 2023 to Mar 15, 2024
- Individual clients · unset to 11.0Aug 16, 2023 to Mar 15, 2024
- Pension plan clients · unset to 0.0Aug 16, 2023 to Mar 15, 2024
- Pooled vehicle clients · unset to 0.0Aug 16, 2023 to Mar 15, 2024
- Discretionary RAUM · $0 to $348,594Aug 16, 2023 to Mar 15, 2024
- HNW RAUM · unset to 0.0Aug 16, 2023 to Mar 15, 2024
- Individual RAUM · unset to 348594.0Aug 16, 2023 to Mar 15, 2024
- Pension RAUM · unset to 0.0Aug 16, 2023 to Mar 15, 2024
- Pooled vehicle RAUM · unset to 0.0Aug 16, 2023 to Mar 15, 2024
- RAUM · $0 to $348,594Aug 16, 2023 to Mar 15, 2024
- Financial planning clients · unset to 0May 23, 2023 to Jun 5, 2023
Signals
1 dated events
- N••••••• C•••••• filed its initial SEC registration (Form ADV)May 23, 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
- Principal office phone
- +525515008812reportedpublic record, Form ADV, Aug 25, 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
- Independent wealth managerderiveda 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