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
A•••• I••••••••• I••••••••• A•••••• L••
Latest filing Apr 9, 2026
First filing on the tape Sep 10, 2023 · 9 filings
SEC status approved since Oct 27, 2023
RAUM
$186M
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
33
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$186M as of Apr 9, 2026
Mar 28, 2024$258M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 9, 2026
Mar 28, 20240 then
Employees (5.A)33 as of Apr 9, 2026
Mar 28, 202413 then
Private funds: no history
RAUM -19% over the last fiscal yearIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Apr 9, 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
- $186MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%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 vehiclesreportedItem 5.G
- Custody
- $186M, 1 clientsreportedItem 9.A
- 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)
- 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
- Pooled investment vehicles$186M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $186M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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
- H••••••• M••••••• S••••• · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- H•••••• C•••• · Member Of The Board Of Managerscontrolsince 09/2023 · owns less than 5%
- M•••••••• S•••• · Member Of The Board Of Managerscontrolsince 09/2023 · owns less than 5%
- O••••••••• T•••••• B•••••• · Member Of The Board Of Managerscontrolsince 09/2023 · owns less than 5%
- W••••• A•••••• E•••••••• · Member Of The Board Of Managerscontrolsince 09/2023 · owns less than 5%
- E••••••• S••••• H••• · Trusteecontrolsince 11/2013 · owns F of W•• D•••••• T••••
- H•••• J••••• M•••••• · Trusteecontrolsince 11/2013 · owns F of W•• D•••••• T••••
- H•••• J•••••• W•••••• · Trusteecontrolsince 11/2013 · owns F of W•• D•••••• T••••
- H•••• M••••••• D••••• · Trusteecontrolsince 11/2013 · owns F of W•• D•••••• T••••
Entity owners
- A•••• I••••••••• L•• · Memberdirect · owns 75% or more
- A•••• A•••• M••••••••• H••••••• L•••••• · Memberindirect · owns 75% or more of A•••• I••••••••• L••
- A•••• I••••••••• A••••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of A•••• I••••••••• G•••• H••••••• L••••••
- A•••• I••••••••• G•••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of A•••• I••••••••• H••••••• T•• L••••••
- A•••• I••••••••• G•••• L•••••• · Shareholderindirect · owns 75% or more of A•••• A•••• M••••••••• H••••••• L••••••
- A•••• I••••••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of A•••• I••••••••• G•••• L••••••
- A•••• I••••••••• H••••••• T•• L•••••• · Shareholderindirect · owns 75% or more of A•••• I••••••••• H••••••• L••••••
- B••• W•••••••• L•• · Shareholderindirect · owns 75% or more of A•••• I••••••••• A••••••• H••••••• L••••••
- B••••••••• H••••••• L•• · Shareholderindirect · owns 75% or more of B• N•••• H••••• I••
- B• N•••• H••••• I•• · Memberindirect · owns 50% to 75% of B••• W•••••••• L••
- H••• A•••• D••••••••• U•• L•• · Shareholderindirect · owns 25% to 50% of H••• A•••• L••••• 1• L••••••
- H••• A•••• H••••••• U•• L•• · Shareholderindirect · owns 50% to 75% of H••• A•••• L••••• 1• L••••••
- H••• A•••• L••••• 1• L•••••• · Memberindirect · owns 25% to 50% of B••• W•••••••• L••
- H••• A•••• O••••••••• L•• · Memberindirect · owns 75% or more of H••• A•••• D••••••••• U•• L••
- H••• A•••• O••••••••• L•• · Memberindirect · owns 75% or more of H••• A•••• H••••••• U•• L••
- H••• C••••••••• I••• · Memberindirect · owns 75% or more of H••• C••••••• L••
- H••• C••••••• L•• · Memberindirect · owns 75% or more of H••• F• H••••••• L••
- H••• F• H••••••• L•• · Memberindirect · owns 75% or more of H••• A•••• O••••••••• L••
- W•• D•••••• T•••• · Shareholderindirect · owns 50% to 75% of H••• C••••••••• I•••
Related persons
Schedule D 7.A
- A•••• F••• M••••••••• L••••••investment advisern
- B•••• C••••••• L••broker-dealern
- H••• C•••••• M••••••••• L••investment advisernRAUM $102M
- H••• C•••••• P••••••• L••pooled vehicle sponsorn
- H••• I••••••••• M••••••••• L••investment advisernRAUM $118M
- I••••••••• H•••••• S•••••••• S••••••investment advisern
- S•• F•••••••• L••broker-dealern
Advisers that list A•••• I••••••••• I••••••••• A•••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- L•••••, United Kingdom4 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count surgeChange between filings · filing Apr 9, 2026employees (Item 5.A) moved from 14.0 to 33.0 (+136.0%) between the annual amendments of 2025-03-26 and 2026-04-09; the peer median change was 0.0% (393 comparable advisers, 99.0th percentile of changes)peers: asset managers, $100M to $500M (393) · 99% percentile
What changed
consecutive filings, newest first
- Advisory employees · 9 to 7May 5, 2025 to Mar 31, 2026
- Assets in custody · $194M to $186MMay 5, 2025 to Mar 31, 2026
- Employees · 14 to 33May 5, 2025 to Mar 31, 2026
- Other offices · 1 to 0May 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $194M to $186MMay 5, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $194M to $186MMay 5, 2025 to Mar 31, 2026
- RAUM · $194M to $186MMay 5, 2025 to Mar 31, 2026
- Assets in custody · $231M to $194MMar 26, 2025 to May 5, 2025
- Financial planning clients · unset to Mar 26, 2025 to May 5, 2025
- Discretionary RAUM · $231M to $194MMar 26, 2025 to May 5, 2025
- Pooled vehicle RAUM · $231M to $194MMar 26, 2025 to May 5, 2025
- RAUM · $231M to $194MMar 26, 2025 to May 5, 2025
- Advisory employees · 7 to 9Sep 13, 2024 to Mar 26, 2025
- Assets in custody · $258M to $231MSep 13, 2024 to Mar 26, 2025
- Employees · 13 to 14Sep 13, 2024 to Mar 26, 2025
- Discretionary RAUM · $258M to $231MSep 13, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $258M to $231MSep 13, 2024 to Mar 26, 2025
- RAUM · $258M to $231MSep 13, 2024 to Mar 26, 2025
- Advisory employees · 11 to 7Feb 20, 2024 to Mar 28, 2024
- Assets in custody · $284M to $258MFeb 20, 2024 to Mar 28, 2024
- Employees · 11 to 13Feb 20, 2024 to Mar 28, 2024
- Discretionary RAUM · $284M to $258MFeb 20, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $284M to $258MFeb 20, 2024 to Mar 28, 2024
- RAUM · $284M to $258MFeb 20, 2024 to Mar 28, 2024
- Accounts · unset to 1.0Sep 28, 2023 to Feb 20, 2024
- Pooled vehicle clients · unset to 1.0Sep 28, 2023 to Feb 20, 2024
- Assets in custody · unset to 284184208.0Sep 28, 2023 to Feb 20, 2024
- Custody of client assets · false to trueSep 28, 2023 to Feb 20, 2024
- Other offices · 4 to 1Sep 28, 2023 to Feb 20, 2024
- Discretionary RAUM · unset to 284184208.0Sep 28, 2023 to Feb 20, 2024
- Non-discretionary RAUM · unset to 0.0Sep 28, 2023 to Feb 20, 2024
- Pooled vehicle RAUM · unset to 284184208.0Sep 28, 2023 to Feb 20, 2024
- RAUM · unset to 284184208.0Sep 28, 2023 to Feb 20, 2024
Signals
1 dated events
- A•••• I••••••••• I••••••••• A•••••• L•• filed its initial SEC registration (Form ADV)Sep 10, 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
- 216-771-3450reportedpublic record, Form ADV, Apr 9, 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