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
L•••••• P••• C•••••• L••
Latest filing Apr 1, 2026
First filing on the tape Mar 21, 2024 · 10 filings
SEC status approved since Apr 19, 2024
RAUM
$45.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$45.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$45.1M
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
10 filings and snapshots on the tape
RAUM$45.1M as of Apr 1, 2026
Mar 31, 2025$22.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2026
Mar 31, 20250 then
Employees (5.A)3 as of Apr 1, 2026
Mar 31, 20253 then
Private funds: no history
RAUM +104% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 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
- $45.1MderivedRAUM 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
- $693,727derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, 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
- +104%derivedbetween 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, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$45.1M100%
- Individual clients
- 65reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 65reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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 |
|---|---|---|---|---|
| D••• L•••• C••••••Certified Financial Planner | Denver, Co | May 1, 2026 | 20 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount2 left over 36 months
Left, latest
- L•••• A••• B••••• to C••••• I••••••••• A••••••• L••Dec 17, 2025 · RIA to affiliated broker-dealer or bank
- M•••••• J••••• C••••• to T•• A•••••••• I•••Aug 11, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- D••• L•••• C•••••• from O•• P•••••••May 1, 2026 · RIA to RIA
- M•••••• J••••• C••••• from E••• B••••• A•••••••• L••Nov 12, 2024 · RIA to a newly registered adviser
- L•••• A••• B••••• from O•••• F•• I•••Jul 1, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• D•••• L•••• · Chief Executive Officer / Chief Compliance Officercontrolsince 01/2024 · owns 75% or more
- J••••••• M•••••• E•••••••• · Chief Operating Officersince 05/2024 · owns less than 5%
Related persons
Schedule D 7.A
- C•••••• C•••••• H••••••• L••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Olean, Ny · principal | 1 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 143 to 65Mar 31, 2025 to Apr 1, 2026
- Individual clients · 143 to 65Mar 31, 2025 to Apr 1, 2026
- Discretionary RAUM · $22.1M to $45.1MMar 31, 2025 to Apr 1, 2026
- Individual RAUM · $22.1M to $45.1MMar 31, 2025 to Apr 1, 2026
- RAUM · $22.1M to $45.1MMar 31, 2025 to Apr 1, 2026
- Accounts · 0 to 143Nov 12, 2024 to Mar 31, 2025
- Advisory activities · 5 to 4Nov 12, 2024 to Mar 31, 2025
- Individual clients · unset to 143.0Nov 12, 2024 to Mar 31, 2025
- Employees · 2 to 3Nov 12, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Nov 12, 2024 to Mar 31, 2025
- Discretionary RAUM · $0 to $22.1MNov 12, 2024 to Mar 31, 2025
- Individual RAUM · unset to 22050340.0Nov 12, 2024 to Mar 31, 2025
- RAUM · $0 to $22.1MNov 12, 2024 to Mar 31, 2025
Signals
3 dated events
- L•••• A••• B••••• left L•••••• P••• C•••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2025-12-11)Dec 17, 2025 · Advisor changed firm · fact
- M•••••• J••••• C••••• left L•••••• P••• C•••••• L•• for T•• A•••••••• I••• (registered 2025-11-10)Aug 11, 2025 · Advisor changed firm · fact
- L•••••• P••• C•••••• L•• filed its initial SEC registration (Form ADV)Mar 21, 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
- 866-938-6540reportedpublic record, Form ADV, Apr 1, 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
- $45.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026