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
C••••••••• F••• A•••••••
Legal name C••••••••• F••• A•••••••• L••
Latest filing Feb 13, 2026
First filing on the tape Jul 19, 2023 · 9 filings
SEC status approved since Aug 31, 2023
RAUM
$145M
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
11
7 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$145M as of Feb 13, 2026
Mar 21, 2024$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Feb 13, 2026
Mar 21, 20244 then
Employees (5.A)11 as of Feb 13, 2026
Mar 21, 20247 then
Private funds: no history
RAUM +272% over the last fiscal yearIARs 7 to 7offices 1 to 4
Practice profile
derived from the filing of Feb 13, 2026; every figure names its basis
- RAUM per advisor
- $20.7MderivedRAUM 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
- $48.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +272%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- Investment companies$145M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
- S•••••••• G••••••• H•••••••• · Chief Executive Officercontrolsince 06/2023 · owns less than 5%
- V•••••••• B•••••• G•• · Chief Compliance Officercontrolsince 08/2023 · owns less than 5%
- L•••••• B••••••• E••• · Membercontrolsince 03/2007 · owns F of F• F•••• I•• F••
- S•••••••• G••••••• H•••••••• · Membercontrolsince 04/2012 · owns 50% to 75% of B•••••••• F•••••••• H•••••••• L••
- L•••••• B•••••• E•••• · Beneficiarysince 01/2010 · owns 50% to 75% of L••••• F••••• T••••
- L•••••• M•••••• S•••••• · Trusteesince 01/2010 · owns F of L••••• F••••• T••••
- L•••••• S•••••• A•• · Beneficiarysince 01/2010 · owns 50% to 75% of L••••• F••••• T••••
- L•••••• Z••••••• D•••• · Beneficiarysince 01/2010 · owns 50% to 75% of L••••• F••••• T••••
Entity owners
- B•••••••• F•••••••• H•••••••• L•• · Memberdirect · owns 75% or more
- B•••••••• W••••• H•••••••• L•• · Ownerindirect · owns 50% to 75% of B•••••••• F•••••••• H•••••••• L••
- F• F•••• I•• F•• · Ownerindirect · owns 50% to 75% of B•••••••• W••••• H•••••••• L••
- L••••• F••••• T•••• · Ownerindirect · owns 50% to 75% of F• F•••• I•• F••
Related persons
Schedule D 7.A
- B•••••••• A•••• M••••••••• L••investment advisernRAUM $7.6B
- B•••••••• P••• M••••••• L••pooled vehicle sponsorn
- B•••••••• R••• E••••• P•••••••• L••pooled vehicle sponsorn
- B•••••••• S• G•• L••pooled vehicle sponsorn
- B•••••••• S•••••••• I••••••••• L••real estaten
- C••••••••• I•••••••• S•••••••• L••real estaten
- C••••••••• R••••••••• T••••• L••LP sponsorn
- C•••• R••• M••••••••• L••real estaten
- F••• A•••• M•••••••investment adviserpooled vehicle sponsornRAUM $24.8M
- G•••• R••• I••••••••• L••real estaten
- G•••••••• A••••••••• • T•• S•••••••• L••insurancen
- G•••••••• L•••• A••••••••• L••n
- G•••••••• L••••• L••n
- M•••••• I••••••••• P•••••••• L••n
- P•••••••• I••••••••• P•••••••• L••n
Advisers that list C••••••••• F••• A••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Janesville, WI2 employees
What changed
consecutive filings, newest first
- Accounts · 1 to 3Dec 10, 2025 to Feb 13, 2026
- Employees · 9 to 11Dec 10, 2025 to Feb 13, 2026
- Insurance-licensed employees · 7 to 8Dec 10, 2025 to Feb 13, 2026
- Other offices · 3 to 4Dec 10, 2025 to Feb 13, 2026
- Discretionary RAUM · $39.0M to $145MDec 10, 2025 to Feb 13, 2026
- RAUM · $39.0M to $145MDec 10, 2025 to Feb 13, 2026
- Other offices · 1 to 3Mar 30, 2025 to Dec 10, 2025
- Accounts · 0 to 1May 15, 2024 to Mar 30, 2025
- Advisory employees · 3 to 7May 15, 2024 to Mar 30, 2025
- Employees · 7 to 9May 15, 2024 to Mar 30, 2025
- Insurance-licensed employees · 4 to 7May 15, 2024 to Mar 30, 2025
- Financial planning clients · 0 to 0May 15, 2024 to Mar 30, 2025
- State-registered IARs · 4 to 7May 15, 2024 to Mar 30, 2025
- Discretionary RAUM · $0 to $39.0MMay 15, 2024 to Mar 30, 2025
- RAUM · $0 to $39.0MMay 15, 2024 to Mar 30, 2025
- Advisory employees · 2 to 3Aug 28, 2023 to Mar 21, 2024
- Employees · 6 to 7Aug 28, 2023 to Mar 21, 2024
- Financial planning clients · unset to 0Aug 28, 2023 to Mar 21, 2024
Signals
3 dated events
- C••••••••• J••• S•••••• (Chief Compliance Officer) no longer on Schedule A of C••••••••• F••• A••••••• (listed 2023-07-19, absent 2023-08-10)Aug 10, 2023 · Control person left · inference
- Gay Belena Vincetti (Chief Compliance Officer) appeared on Schedule A of C••••••••• F••• A•••••••Aug 10, 2023 · Control person joined · fact
- C••••••••• F••• A••••••• filed its initial SEC registration (Form ADV)Jul 19, 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
- Principal office phone
- 203-629-3300reportedpublic record, Form ADV, Feb 13, 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 manager (funds and pooled vehicles)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