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••••• C••••••• L••
Latest filing Mar 12, 2026
First filing on the tape May 25, 2023 · 5 filings
SEC status approved since Apr 13, 2026
RAUM
$106M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
97%
$103M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$106M
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
5 filings and snapshots on the tape
RAUM$106M as of Mar 12, 2026
Jan 23, 2024$34.7M then
HNW client RAUM$100M as of Mar 12, 2026
Jan 23, 2024$34.2M then
State-registered IARs (5.B.3)1 as of Mar 12, 2026
Jan 23, 20241 then
Employees (5.A)2 as of Mar 12, 2026
Jan 23, 20241 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
- RAUM per advisor
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $910,756derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%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
- 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 assets, hourly, fixed feesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$100M95%
- Corporations and businesses$3.0M2.8%
- Individuals$2.6M2.5%
- Individual clients
- 18reported
- HNW clients
- 21reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 116reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
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
- S••• R•••••• S•••••• from I•• A••••••• S•••••••• I•••Jun 30, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• S•••• R•••••• · Managing Principal / Ccocontrolsince 06/2023 · owns 75% or more
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 · 78 to 116Jul 12, 2024 to Mar 12, 2026
- HNW clients · 20 to 21Jul 12, 2024 to Mar 12, 2026
- Individual clients · 7 to 18Jul 12, 2024 to Mar 12, 2026
- Employees · 1 to 2Jul 12, 2024 to Mar 12, 2026
- Financial planning clients · 0 to 26-50Jul 12, 2024 to Mar 12, 2026
- Discretionary RAUM · $68.1M to $102MJul 12, 2024 to Mar 12, 2026
- HNW RAUM · $69.5M to $100MJul 12, 2024 to Mar 12, 2026
- Individual RAUM · $997,600 to $2.6MJul 12, 2024 to Mar 12, 2026
- Non-discretionary RAUM · $2.4M to $4.1MJul 12, 2024 to Mar 12, 2026
- RAUM · $70.5M to $106MJul 12, 2024 to Mar 12, 2026
- Accounts · 45 to 78May 10, 2024 to Jul 12, 2024
- HNW clients · 14 to 20May 10, 2024 to Jul 12, 2024
- Individual clients · unset to 7.0May 10, 2024 to Jul 12, 2024
- Discretionary RAUM · $32.8M to $68.1MMay 10, 2024 to Jul 12, 2024
- HNW RAUM · $34.2M to $69.5MMay 10, 2024 to Jul 12, 2024
- Individual RAUM · $444,969 to $997,600May 10, 2024 to Jul 12, 2024
- Non-discretionary RAUM · $1.9M to $2.4MMay 10, 2024 to Jul 12, 2024
- RAUM · $34.7M to $70.5MMay 10, 2024 to Jul 12, 2024
- Accounts · 0 to 45May 25, 2023 to Jan 23, 2024
- HNW clients · unset to 14.0May 25, 2023 to Jan 23, 2024
- HQ city · unset to WICHITAMay 25, 2023 to Jan 23, 2024
- HQ state · unset to KSMay 25, 2023 to Jan 23, 2024
- Discretionary RAUM · $0 to $32.8MMay 25, 2023 to Jan 23, 2024
- HNW RAUM · unset to 34244071.0May 25, 2023 to Jan 23, 2024
- Individual RAUM · unset to 444969.0May 25, 2023 to Jan 23, 2024
- Non-discretionary RAUM · $0 to $1.9MMay 25, 2023 to Jan 23, 2024
- RAUM · $0 to $34.7MMay 25, 2023 to Jan 23, 2024
Signals
3 dated events
- A••••• C••••••• L•• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $105.6M)Sep 1, 2026 · Left the SEC roster · derived
- A••••• C••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $70.5M)May 2, 2025 · Left the SEC roster · derived
- A••••• C••••••• L•• filed its initial SEC registration (Form ADV)May 25, 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
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026