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
M••••••• P•••• C••••• M••••••••• L••
Latest filing Aug 18, 2026
First filing on the tape Apr 12, 2024 · 8 filings
SEC status approved since May 9, 2024
RAUM
$1.2B
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
19
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$1.2B as of Aug 18, 2026
Apr 1, 2025$15.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 18, 2026
Apr 1, 20250 then
Employees (5.A)19 as of Aug 18, 2026
Apr 1, 202510 then
Private funds4 as of Aug 18, 2026
Apr 1, 20251 then
RAUM +7909% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 18, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $305MderivedRAUM 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
- +7909%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.2B, 3 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.2B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••••• P•••• E••••••• S••••• I••••• F••• L• | Hedge Fund | $0 | 0 | Nov 20, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B••••• K••••• T••••• · Chief Executive Officercontrolsince 01/2024 · owns less than 5%
- L•• P•••••• K• · Chief Financial Officercontrolsince 03/2024 · owns less than 5%
- F•••••••• C•••••••• B•••••• · Chief Compliance Officersince 01/2024 · owns less than 5%
Entity owners
- M••• H••••••• L•• · Sole Memberdirect · owns 75% or more
- E•••• P•••• H••••••• L• · Sole Memberindirect · owns 75% or more of M••• H••••••• L••
- T•••••• C•••••• I•• L••• · G•••••• Partnerindirect · owns F of T•••••• I•• P••••••• F•••• L•••
- T•••••• C•••••• I•• L••• · G•••••• Partnerindirect · owns F of T•••••• E• B•••••• A••• L•••
- T•••••• C•••••• I•• L••• · G•••••• Partnerindirect · owns F of T•••••• I•• L•••
- T•••••• E• B•••••• A••• L••• · Memberindirect · owns 75% or more of T•••••• E••• H••••••• L••
- T•••••• E••• H••••••• L•• · Memberindirect · owns 25% to 50% of T•••••• E•••• H••••••• L••
- T•••••• E•••• H••••••• L•• · Shareholderindirect · owns 50% to 75% of E•••• P•••• H••••••• L•
- T•••••• I•• L••• · Limited Partnerindirect · owns 50% to 75% of T•••••• E• B•••••• A••• L•••
- T•••••• I•• L••• · Memberindirect · owns 25% to 50% of T•••••• E•••• H••••••• L••
- T•••••• I•• P••••••• F•••• L••• · Limited Partnerindirect · owns 25% to 50% of T•••••• E• B•••••• A••• L•••
Related persons
Schedule D 7.A
- E•••• P•••• C•• G• I• L••bankpooled vehicle sponsorn
- E•••• P•••• C••••• G• I• L•bankpooled vehicle sponsorn
- E•••• P•••• C••••• M••••••••• L••investment adviserbankpooled vehicle sponsoryRAUM $13B
- E•••• P•••• D•••••••• I••••• M••••••••• L••investment advisernRAUM $184M
- E•••• P•••• D•• G• I• L••bankpooled vehicle sponsorn
- E•••• P•••• D•• G• I• L••bankpooled vehicle sponsorn
- E•••• P•••• D•• G• N• L••bankpooled vehicle sponsorn
- E•••• P•••• D•• G•••••• P•••••• L••bankpooled vehicle sponsorn
- E•••• P•••• E•• G•••••• P•••••• L••bankpooled vehicle sponsorn
- E•••• P•••• E••••••• I••••• M••••••••• L••investment adviserbanknRAUM $124M
- E•••• P•••• I••••• M••••••••• L••investment adviserbanknRAUM $458M
- E•••• P•••• S••••••••• L••broker-dealern
- E• C•• G• I• L••bankpooled vehicle sponsorn
- E• S•• C•••••••• G• I• L••pooled vehicle sponsorn
- S•• C•••••• M•••••• L••broker-dealern
- S•••• P•••• C•••••• L••investment adviserpooled vehicle sponsoryRAUM $68B
- S•••• P•••• C••••• A•••••• L••investment adviserpooled vehicle sponsornRAUM $11B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count surgeChange between filings · filing Mar 30, 2026employees (Item 5.A) moved from 10.0 to 19.0 (+90.0%) between the annual amendments of 2025-04-01 and 2026-03-30; the peer median change was 0.0% (1109 comparable advisers, 100.0th percentile of changes)peers: asset managers, $1B to $5B (1,109) · 100% percentile
What changed
consecutive filings, newest first
- Private funds · 2 to 4Jul 14, 2026 to Aug 18, 2026
- Accounts · 3 to 4Feb 25, 2026 to Mar 30, 2026
- Advisory employees · 4 to 5Feb 25, 2026 to Mar 30, 2026
- Pooled vehicle clients · 3 to 4Feb 25, 2026 to Mar 30, 2026
- Assets in custody · $15.2M to $1.2BFeb 25, 2026 to Mar 30, 2026
- Employees · 10 to 19Feb 25, 2026 to Mar 30, 2026
- Discretionary RAUM · $15.2M to $1.2BFeb 25, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $15.2M to $1.2BFeb 25, 2026 to Mar 30, 2026
- RAUM · $15.2M to $1.2BFeb 25, 2026 to Mar 30, 2026
- Private funds · 1 to 2Apr 1, 2025 to Feb 25, 2026
- Accounts · 0 to 3Nov 20, 2024 to Apr 1, 2025
- Advisory employees · 1 to 4Nov 20, 2024 to Apr 1, 2025
- Pooled vehicle clients · 0 to 3Nov 20, 2024 to Apr 1, 2025
- Assets in custody · unset to 15249000.0Nov 20, 2024 to Apr 1, 2025
- Custody of client assets · false to trueNov 20, 2024 to Apr 1, 2025
- Employees · 4 to 10Nov 20, 2024 to Apr 1, 2025
- Financial planning clients · unset to Nov 20, 2024 to Apr 1, 2025
- Discretionary RAUM · $0 to $15.2MNov 20, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · unset to 15249000.0Nov 20, 2024 to Apr 1, 2025
- RAUM · $0 to $15.2MNov 20, 2024 to Apr 1, 2025
- Private funds · unset to 1Apr 24, 2024 to Nov 20, 2024
Signals
1 dated events
- M••••••• P•••• C••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 12, 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-900-5855reportedpublic record, Form ADV, Aug 18, 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