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
L•••••• I••••••••• A••••••• L••
Latest filing Jan 31, 2025
First filing on the tape Nov 20, 2023 · 4 filings
SEC status approved since Jan 2, 2024
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 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: $0
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 31, 2025
Mar 28, 20240 then
Employees (5.A)6 as of Jan 31, 2025
Mar 28, 20246 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 31, 2025; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
- B••••••••• S••••• M••••• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- S•••••••• M••••• L••• · Presidentcontrolsince 07/2023 · owns less than 5%
- C••••• J••••• D••••• · Sole Membercontrolsince 03/2005 · owns 75% or more of J• T•••••• G•• L••
- D••••• C••••••• A••••• · Sole Membercontrolsince 07/2013 · owns 75% or more of C• T•••••• V•• L••
- F•••••••• S••••••• N•• · Sole Membercontrolsince 12/2013 · owns 75% or more of S• T•••••• V•• L••
- W••••••• D••••• J•• · Sole Membercontrolsince 03/2005 · owns 75% or more of D• T•••••• G•• L••
- Z•••••• N••••••• D•••• · Sole Membercontrolsince 11/2006 · owns 75% or more of N• T•••••• G•• L••
Entity owners
- R•••• P••••••• C•••••• B••••••• L•• · Sole Memberdirect · owns 75% or more
- C• T•••••• V•• L•• · General Partnerindirect · owns F of T•••••• C•••••• I• L•
- D• T•••••• G•• L•• · General Partnerindirect · owns F of T•••••• C•••••• I• L•
- J• T•••••• G•• L•• · General Partnerindirect · owns F of T•••••• C•••••• I• L•
- N• T•••••• G•• L•• · General Partnerindirect · owns F of T•••••• C•••••• I• L•
- R•••• P••••••• C•••••• H••••••• L• · Ownerindirect · owns 75% or more of R•••• P••••••• C•••••• I••••••••• L••
- R•••• P••••••• C•••••• I••••••••• L•• · Ownerindirect · owns 75% or more of R•••• P••••••• C•••••• B••••••• L••
- R•••• P••••••• H••••••• G• L•• · General Partnerindirect · owns F of R•••• P••••••• C•••••• H••••••• L•
- S• T•••••• V•• L•• · General Partnerindirect · owns F of T•••••• C•••••• I• L•
- T•••••• C•••••• I• L• · General Partnerindirect · owns F of T•••••• R•••• H••••••• L•
- T•••••• C•••••• I• L• · General Partnerindirect · owns F of T••• P••••••• R•• C••••• L•
- T•••••• R•••• H••••••• L•• · Limited Partnerindirect · owns 75% or more of R•••• P••••••• C•••••• H••••••• L•
- T•••••• R•••• H••••••• L• · Memberindirect · owns 75% or more of T•••••• R•••• H••••••• L••
- T••• P••••••• R•• C••••• L• · Limited Partnerindirect · owns 25% to 50% of T•••••• R•••• H••••••• L•
- T•••••• C•••••• I• L• · General Partnerindirect · owns F of T•••••• I• L•
- T•••••• I• L• · Limited Partnerindirect · owns 25% to 50% of T•••••• R•••• H••••••• L•
Related persons
Schedule D 7.A
- L•••••• A••••••• G••••• L••investment advisernRAUM $3.2B
- L•••••• I••••••••• M••••••• L••pooled vehicle sponsorn
- L•••••• P••••••• C•••••• C••••••••• S•••••• E••••••••• L••investment companyn
- L•••••• P••••••• C•••••• C••••••••• L••investment companyn
- L•••••• P••••••• C•••••• O• F••••••• L••investment companyn
- L•• C••••••••• S•••••••• L••investment companyn
- L•• R••••• A••••••• I• L••investment advisern
- L•• W•••• L••investment companyn
Advisers that list L•••••• I••••••••• A••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Mar 28, 2024 to Jan 31, 2025
- Discretionary RAUM · unset to 0.0Mar 28, 2024 to Jan 31, 2025
- Non-discretionary RAUM · unset to 0.0Mar 28, 2024 to Jan 31, 2025
- RAUM · unset to 0.0Mar 28, 2024 to Jan 31, 2025
- Advisory employees · 3 to 6Nov 27, 2023 to Mar 28, 2024
- Employees · 5 to 6Nov 27, 2023 to Mar 28, 2024
Signals
2 dated events
- L•••••• I••••••••• A••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06)May 2, 2025 · Left the SEC roster · derived
- L•••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Nov 20, 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