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
V•••••••• C•••••• M••••••••• L•
Latest filing Mar 28, 2026
First filing on the tape Dec 15, 2023 · 5 filings
SEC status approved since Jan 12, 2024
RAUM
$216M
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$216M as of Mar 28, 2026
Mar 24, 2025$274M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2026
Mar 24, 20250 then
Employees (5.A)3 as of Mar 28, 2026
Mar 24, 20253 then
Private funds: no history
RAUM -21% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 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
- $216MderivedRAUM 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
- -21%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$216M100%
- 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
- noreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false 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
- G•••••••• I•••• •••• · Chief Compliance Officer, Founder, Managing Partnercontrolsince 10/2023 · owns 75% or more
- G•••••••• I•••• •••• · Membercontrolsince 10/2023 · owns 75% or more of V•••••••• C•••••• G•• L••
Entity owners
- V•••••••• C•••••• G•• L•• · General Partnerdirect · 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
- Discretionary RAUM · $274M to $216MMar 24, 2025 to Mar 28, 2026
- Pooled vehicle RAUM · $274M to $216MMar 24, 2025 to Mar 28, 2026
- RAUM · $274M to $216MMar 24, 2025 to Mar 28, 2026
- Financial planning clients · unset to May 13, 2024 to Mar 24, 2025
- HQ city · unset to May 13, 2024 to Mar 24, 2025
- HQ state · unset to May 13, 2024 to Mar 24, 2025
- Discretionary RAUM · $104M to $274MMay 13, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $104M to $274MMay 13, 2024 to Mar 24, 2025
- RAUM · $104M to $274MMay 13, 2024 to Mar 24, 2025
- Accounts · unset to 1.0Dec 15, 2023 to May 13, 2024
- Advisory employees · 2 to 3Dec 15, 2023 to May 13, 2024
- Pooled vehicle clients · unset to 1.0Dec 15, 2023 to May 13, 2024
- Employees · 2 to 3Dec 15, 2023 to May 13, 2024
- Discretionary RAUM · unset to 104267599.0Dec 15, 2023 to May 13, 2024
- Non-discretionary RAUM · unset to 0.0Dec 15, 2023 to May 13, 2024
- Pooled vehicle RAUM · unset to 104267599.0Dec 15, 2023 to May 13, 2024
- RAUM · unset to 104267599.0Dec 15, 2023 to May 13, 2024
Signals
2 dated events
- V•••••••• C•••••• M••••••••• L• reported RAUM $274.1M, up 163% from $104.3M (2024-05-13 to 2025-03-24)Mar 24, 2025 · RAUM change · derived
- V•••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Dec 15, 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
- 203-935-3203reportedpublic record, Form ADV, Mar 28, 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