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 Mar 29, 2026
First filing on the tape Aug 28, 2024 · 6 filings
SEC status approved since Sep 26, 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
3
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$0 as of Mar 29, 2026
Mar 29, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 29, 2026
Mar 29, 20251 then
Employees (5.A)3 as of Mar 29, 2026
Mar 29, 20253 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 29, 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
- $0derivedRAUM 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
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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
- pension consulting, otherreportedItem 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
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
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 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
- T•••• W••••••• T••••• · Managercontrolsince 01/2024 · owns less than 5%
- W••••••• M••••••• L••••••• · Managercontrolsince 01/2024 · owns less than 5%
- W••••••• N•••• · Manager, Ccocontrolsince 01/2024 · owns less than 5%
- T•••• W••••••• T••••• · Managing Membercontrolsince 01/2024 · owns 75% or more of P•••••• A••••••••• L••
- W••••••• M••••••• L••••••• · Trusteecontrolsince 05/2010 · owns 50% to 75% of W•••••• F••••• 2••• T••••
- W••••••• M••••••• L••••••• · Cfocontrolsince 10/2023 · owns F of B•••• V••••••• C•••
- W••••••• N•••• · Trusteecontrolsince 05/2010 · owns 50% to 75% of W•••••• F••••• 2••• T••••
- W••••••• N•••• · President, Ceocontrolsince 10/2023 · owns F of B•••• V••••••• C•••
Entity owners
- B•••• V••••••• C••• · Memberdirect · owns 50% to 75%
- P•••••• A••••••••• L•• · Memberdirect · owns 50% to 75%
- W•••••• F••••• 2••• T•••• · Shareholderindirect · owns 75% or more of B•••• V••••••• C•••
Related persons
Schedule D 7.A
- M••••••• I••••••••• C••••••• I•••investment advisernRAUM $723M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 29, 2026pension consulting (Item 5.G.6): no on the filing of 2025-11-19, yes on the filing of 2026-03-29peers: other advisers, under $100M (666)
What changed
consecutive filings, newest first
- Advisory activities · 1 to 2Nov 19, 2025 to Mar 29, 2026
- Financial planning clients · 0 to 0Mar 29, 2025 to Nov 19, 2025
- HQ city · unset to Sep 5, 2024 to Mar 29, 2025
- HQ state · unset to Sep 5, 2024 to Mar 29, 2025
- Individual RAUM · unset to 0.0Sep 5, 2024 to Mar 29, 2025
Signals
1 dated events
- N•••• C•••••• L•• filed its initial SEC registration (Form ADV)Aug 28, 2024 · 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
- 970-977-3363reportedpublic record, Form ADV, Mar 29, 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
- No RAUM reportedderiveda 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