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••••• A•••••••
Legal name A••••• A••••••• I•••
Latest filing Mar 26, 2025
First filing on the tape Sep 18, 2023 · 4 filings
SEC status approved since Oct 20, 2023
RAUM
$2,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM: $2,000
HNW client RAUM$0 as of Feb 16, 2024
Sep 18, 2023$0 then
State-registered IARs (5.B.3)1 as of Mar 26, 2025
Sep 18, 20231 then
Employees (5.A)10 as of Mar 26, 2025
Sep 18, 20231 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 2025; every figure names its basis
- RAUM per advisor
- $2,000derivedRAUM 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
- $2,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.0derivedItem 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$2,000100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- 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
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••••••• B••••• M•••••• · Shareholdercontrolsince 01/2021 · owns 75% or more of A••••• A••••••• C•••••••••
- C••••••• B••••• M•••••• · Ceo, Ccosince 04/2023 · owns less than 5%
Entity owners
- A••••• A••••••• C••••••••• · Memberdirect · 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 · unset to 1.0Feb 16, 2024 to Mar 26, 2025
- Charity clients · 0.0 to unsetFeb 16, 2024 to Mar 26, 2025
- Corporate clients · 0.0 to unsetFeb 16, 2024 to Mar 26, 2025
- HNW clients · 0.0 to unsetFeb 16, 2024 to Mar 26, 2025
- Individual clients · 0.0 to unsetFeb 16, 2024 to Mar 26, 2025
- Pension plan clients · 0.0 to unsetFeb 16, 2024 to Mar 26, 2025
- Pooled vehicle clients · 0.0 to unsetFeb 16, 2024 to Mar 26, 2025
- Assets in custody · 0.0 to unsetFeb 16, 2024 to Mar 26, 2025
- Custody of client assets · true to falseFeb 16, 2024 to Mar 26, 2025
- Employees · 15 to 10Feb 16, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Feb 16, 2024 to Mar 26, 2025
- Legal name · A••••• A••••••• RIA, LLC to A••••• A••••••• I•••Feb 16, 2024 to Mar 26, 2025
- Discretionary RAUM · unset to 2000.0Feb 16, 2024 to Mar 26, 2025
- HNW RAUM · 0.0 to unsetFeb 16, 2024 to Mar 26, 2025
- Individual RAUM · $0 to $2,000Feb 16, 2024 to Mar 26, 2025
- Non-discretionary RAUM · unset to 0.0Feb 16, 2024 to Mar 26, 2025
- Pension RAUM · 0.0 to unsetFeb 16, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · 0.0 to unsetFeb 16, 2024 to Mar 26, 2025
- RAUM · unset to 2000.0Feb 16, 2024 to Mar 26, 2025
- Employees · 1 to 15Oct 16, 2023 to Feb 16, 2024
- Financial planning clients · unset to 0Sep 18, 2023 to Oct 16, 2023
- Legal name · A••••• A••••••• INC to A••••• A••••••• RIA, LLCSep 18, 2023 to Oct 16, 2023
Signals
2 dated events
- A••••• A••••••• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $2,000)Jan 2, 2026 · Left the SEC roster · derived
- A••••• A••••••• filed its initial SEC registration (Form ADV)Sep 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.
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026