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
R•• A•••••••• L••
Latest filing Aug 12, 2026
First filing on the tape Jun 18, 2023 · 14 filings
SEC status approved since Jul 21, 2023
RAUM
$1.6B
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
12
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.6B as of Aug 12, 2026
Mar 21, 2024$119M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 12, 2026
Mar 21, 20241 then
Employees (5.A)12 as of Aug 12, 2026
Mar 21, 20242 then
Private funds: no history
RAUM +104% over the last fiscal yearIARs 0 to 0offices 0 to 2
Practice profile
derived from the filing of Aug 12, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $68.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +104%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 pooled vehicles, 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.5B97%
- Pooled investment vehicles$46.0M2.9%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 23reported
- 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=4.0derived
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
- D••••••••• M•••• J••••• · Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
- R•••••• R•••••• J••••• · President & Chief Financial Officercontrolsince 06/2023 · owns less than 5%
- K•••• G••••••• D••••• · Elected Managercontrolsince 01/2024 · owns 50% to 75% of R•• F••••••••• L••
Entity owners
- R•• F••••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- O••••• F••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $774,910,500 to $1,577,785,808 (+104.0%) between the annual amendments of 2025-03-24 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 94.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 94% percentile
What changed
consecutive filings, newest first
- Other offices · 0 to 2Feb 19, 2026 to Mar 31, 2026
- Organization form · Corporation to Limited Liability CompanyFeb 19, 2026 to Mar 31, 2026
- Accounts · 12 to 23Oct 13, 2025 to Feb 19, 2026
- Advisory employees · 3 to 5Oct 13, 2025 to Feb 19, 2026
- Advisory activities · 1 to 2Oct 13, 2025 to Feb 19, 2026
- BD registered reps · 1 to 4Oct 13, 2025 to Feb 19, 2026
- Employees · 6 to 12Oct 13, 2025 to Feb 19, 2026
- Insurance-licensed employees · 0 to 1Oct 13, 2025 to Feb 19, 2026
- Organization form · Limited Liability Company to CorporationOct 13, 2025 to Feb 19, 2026
- Discretionary RAUM · $1.2B to $1.6BOct 13, 2025 to Feb 19, 2026
- Pooled vehicle RAUM · $28.2M to $46.0MOct 13, 2025 to Feb 19, 2026
- RAUM · $1.2B to $1.6BOct 13, 2025 to Feb 19, 2026
- Accounts · 4 to 12Mar 24, 2025 to Oct 13, 2025
- Advisory employees · 2 to 3Mar 24, 2025 to Oct 13, 2025
- BD registered reps · 0 to 1Mar 24, 2025 to Oct 13, 2025
- Pooled vehicle clients · unset to 3.0Mar 24, 2025 to Oct 13, 2025
- Employees · 4 to 6Mar 24, 2025 to Oct 13, 2025
- Financial planning clients · 0 to 0Mar 24, 2025 to Oct 13, 2025
- Discretionary RAUM · $775M to $1.2BMar 24, 2025 to Oct 13, 2025
- Pooled vehicle RAUM · unset to 28218443.0Mar 24, 2025 to Oct 13, 2025
- RAUM · $775M to $1.2BMar 24, 2025 to Oct 13, 2025
- Accounts · 1 to 4Jun 28, 2024 to Mar 24, 2025
- Advisory employees · 1 to 2Jun 28, 2024 to Mar 24, 2025
- BD registered reps · 1 to 0Jun 28, 2024 to Mar 24, 2025
- Employees · 2 to 4Jun 28, 2024 to Mar 24, 2025
- Insurance-licensed employees · 1 to 0Jun 28, 2024 to Mar 24, 2025
- State-registered IARs · 1 to 0Jun 28, 2024 to Mar 24, 2025
- Discretionary RAUM · $119M to $775MJun 28, 2024 to Mar 24, 2025
- RAUM · $119M to $775MJun 28, 2024 to Mar 24, 2025
- Advisory employees · 2 to 1Oct 31, 2023 to Mar 21, 2024
- BD registered reps · 3 to 1Oct 31, 2023 to Mar 21, 2024
- Employees · 5 to 2Oct 31, 2023 to Mar 21, 2024
- Insurance-licensed employees · 0 to 1Oct 31, 2023 to Mar 21, 2024
- State-registered IARs · 0 to 1Oct 31, 2023 to Mar 21, 2024
- Discretionary RAUM · $3.7M to $119MOct 31, 2023 to Mar 21, 2024
- RAUM · $3.7M to $119MOct 31, 2023 to Mar 21, 2024
- Accounts · 0 to 1Jul 6, 2023 to Oct 31, 2023
- Discretionary RAUM · $0 to $3.7MJul 6, 2023 to Oct 31, 2023
- RAUM · $0 to $3.7MJul 6, 2023 to Oct 31, 2023
Signals
5 dated events
- R•• A•••••••• L•• reported RAUM $1.6B, up 28% from $1.2B (2025-10-13 to 2026-02-19)Feb 19, 2026 · RAUM change · derived
- R•• A•••••••• L•• reported RAUM $1.2B, up 59% from $774.9M (2025-03-24 to 2025-10-13)Oct 13, 2025 · RAUM change · derived
- R•• A•••••••• L•• reported RAUM $774.9M, up 550% from $119.3M (2024-06-28 to 2025-03-24)Mar 24, 2025 · RAUM change · derived
- J••• Drogin (General Counsel) no longer on Schedule A of R•• A•••••••• L•• (listed 2023-10-31, absent 2024-03-21)Mar 21, 2024 · Control person left · inference
- R•• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 305-742-0151reportedpublic record, Form ADV, Aug 12, 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