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
A••••• C•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 28, 2024 · 3 filings
SEC status approved since Jul 29, 2024
RAUM
$280M
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
2
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$280M as of Mar 30, 2026
Mar 31, 2025$184M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20250 then
Employees (5.A)3 as of Mar 30, 2026
Mar 31, 20253 then
Private funds2 as of Mar 30, 2026
Mar 31, 20251 then
RAUM +52% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $140MderivedRAUM 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
- +52%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-based, commissions, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $280M, 1 clientsreportedItem 9.A
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$280M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $280M for 1 clientsreported
- Compensation
- % of AUM, performance, commissionsreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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
- C••••••••• R••• · Chief Compliance Officer & Chief Operating Officer & General Counselcontrolsince 01/2021 · owns less than 5%
- H••••••••• T••••• · Presidentcontrolsince 01/2021 · owns 75% or more
- Z••••••••• J•••• · Chief Executive Officercontrolsince 01/2021 · owns less than 5%
- J••••••••• R•••• D••••• · Silent Ownersince 06/2024 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $184,329,108 to $279,640,377 (+52.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +4.0% (1148 comparable advisers, 91.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 91% percentile
What changed
consecutive filings, newest first
- Accounts · 1 to 2Mar 31, 2025 to Mar 30, 2026
- Pooled vehicle clients · 1 to 2Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $6.4M to $280MMar 31, 2025 to Mar 30, 2026
- Private funds · 1 to 2Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $184M to $280MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $184M to $280MMar 31, 2025 to Mar 30, 2026
- RAUM · $184M to $280MMar 31, 2025 to Mar 30, 2026
- Assets in custody · $88,426 to $6.4MJun 28, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Jun 28, 2024 to Mar 31, 2025
- Private funds · unset to 1Jun 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $163M to $184MJun 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $163M to $184MJun 28, 2024 to Mar 31, 2025
- RAUM · $163M to $184MJun 28, 2024 to Mar 31, 2025
Signals
1 dated events
- A••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 28, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206-508-6139reportedpublic record, Form ADV, Mar 30, 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