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
U••••••••• R••
Legal name U••••••••• R•• Q•••• L••
Latest filing Apr 22, 2026
First filing on the tape Oct 19, 2023 · 6 filings
SEC status approved since Nov 20, 2023
RAUM
$314,000
reported, Item 5.F
Discretionary
36%
of RAUM
Private clients
100%
$314,000 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$314,000
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$314,000 as of Apr 22, 2026
Mar 29, 2024$50,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 22, 2026
Mar 29, 20241 then
Employees (5.A)5 as of Apr 22, 2026
Mar 29, 20245 then
Private funds: no history
RAUM +261% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $314,000derivedRAUM 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
- $678derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 36%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +261%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 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)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$314,000100%
- Individual clients
- 460reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 463reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• L•••• R••• | Austin, Tx | Feb 25, 2026 | 12 y | 5 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••••• L•••• R••• from K•••• A•••••••• L••Mar 5, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• B•••••••• J•••• J••••• · Ceocontrolsince 09/2023 · owns less than 5%
- W•••• M••••• R••••• · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- P•••••• B••••••• C••• · Managing Membercontrolsince 09/2023 · owns 75% or more of P••• Q•• 2••• L••
- S••••••• B•••••••• J•••• J••••• · Managing Membercontrolsince 04/2020 · owns 25% to 50% of U••••••••• I••
Entity owners
- P••• Q•• 2••• L•• · Memberdirect · owns 75% or more
- U••••••••• I•• · Memberdirect · owns 10% to 25%
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 · 156 to 463Feb 20, 2026 to Apr 22, 2026
- Individual clients · 156 to 460Feb 20, 2026 to Apr 22, 2026
- Insurance-licensed employees · 1 to 0Feb 20, 2026 to Apr 22, 2026
- Discretionary RAUM · $20,000 to $112,000Feb 20, 2026 to Apr 22, 2026
- Individual RAUM · $87,000 to $314,000Feb 20, 2026 to Apr 22, 2026
- Non-discretionary RAUM · $67,000 to $202,000Feb 20, 2026 to Apr 22, 2026
- RAUM · $87,000 to $314,000Feb 20, 2026 to Apr 22, 2026
- HQ city · SOMERVILLE to AUSTINMar 31, 2025 to Feb 20, 2026
- HQ state · MA to TXMar 31, 2025 to Feb 20, 2026
- Accounts · 94 to 156Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 2 to 1Mar 29, 2024 to Mar 31, 2025
- Individual clients · 94 to 156Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $12,500 to $20,000Mar 29, 2024 to Mar 31, 2025
- Individual RAUM · $50,000 to $87,000Mar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $37,500 to $67,000Mar 29, 2024 to Mar 31, 2025
- RAUM · $50,000 to $87,000Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 1 to 2Nov 10, 2023 to Mar 29, 2024
- Individual clients · unset to 94.0Nov 10, 2023 to Mar 29, 2024
- Employees · 3 to 5Nov 10, 2023 to Mar 29, 2024
- Discretionary RAUM · $0 to $12,500Nov 10, 2023 to Mar 29, 2024
- Individual RAUM · unset to 50000.0Nov 10, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $0 to $37,500Nov 10, 2023 to Mar 29, 2024
- RAUM · $0 to $50,000Nov 10, 2023 to Mar 29, 2024
- Accounts · 0 to 94Nov 10, 2023 to Mar 29, 2024
- Succession · true to falseOct 19, 2023 to Nov 10, 2023
Signals
2 dated events
- U••••••••• R•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 19, 2023 · Succession (Item 4) · fact
- U••••••••• R•• filed its initial SEC registration (Form ADV)Oct 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
- unifimoney.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-964-5877reportedpublic record, Form ADV, Apr 22, 2026
- Contact form
- unifimoney.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $314,000derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026