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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Latest filing Aug 5, 2024
First filing on the tape Dec 5, 2023 · 8 filings
RAUM
$26.0M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$26.0M as of Aug 5, 2024
Dec 5, 2023$0 then
HNW client RAUM$0 as of Aug 5, 2024
May 2, 2024$0 then
State-registered IARs (5.B.3)2 as of Aug 5, 2024
Dec 5, 20231 then
Employees (5.A)2 as of Aug 5, 2024
Dec 5, 20232 then
Private funds: no history
Practice profile
derived from the filing of Aug 5, 2024; every figure names its basis
- RAUM per advisor
- $13.0MderivedRAUM 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
- $26.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$26.0M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- E••••••• R•••••• E••••• · Managing Membercontrolsince 10/2023 · owns 75% or more
- M•••••• J••••••• A••• · Chief Compliance Officer, Ceocontrolsince 10/2023 · owns less than 5%
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
- Employees · 3 to 2May 15, 2024 to Aug 5, 2024
- Advisory employees · 1 to 2May 2, 2024 to May 15, 2024
- Employees · 2 to 3May 2, 2024 to May 15, 2024
- State-registered IARs · 1 to 2May 2, 2024 to May 15, 2024
- Accounts · 0 to 1Feb 12, 2024 to May 2, 2024
- Charity clients · unset to 0.0Feb 12, 2024 to May 2, 2024
- Corporate clients · unset to 1.0Feb 12, 2024 to May 2, 2024
- HNW clients · unset to 0.0Feb 12, 2024 to May 2, 2024
- Individual clients · unset to 0.0Feb 12, 2024 to May 2, 2024
- Pension plan clients · unset to 0.0Feb 12, 2024 to May 2, 2024
- Pooled vehicle clients · unset to 0.0Feb 12, 2024 to May 2, 2024
- Discretionary RAUM · $0 to $26.0MFeb 12, 2024 to May 2, 2024
- HNW RAUM · unset to 0.0Feb 12, 2024 to May 2, 2024
- Individual RAUM · unset to 0.0Feb 12, 2024 to May 2, 2024
- Pension RAUM · unset to 0.0Feb 12, 2024 to May 2, 2024
- Pooled vehicle RAUM · unset to 0.0Feb 12, 2024 to May 2, 2024
- RAUM · $0 to $26.0MFeb 12, 2024 to May 2, 2024
Signals
1 dated events
- G•••••••• L•• filed its initial SEC registration (Form ADV)Dec 5, 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