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
P••••••• S•••••••• I••••••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape May 16, 2024 · 5 filings
SEC status approved since Jun 13, 2024
RAUM
$479M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$479M as of Mar 26, 2026
Mar 27, 2025$496M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 27, 20250 then
Employees (5.A)4 as of Mar 26, 2026
Mar 27, 20254 then
Private funds1 as of Mar 26, 2026
Mar 27, 20251 then
RAUM -3.5% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $479MderivedRAUM 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
- -3.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-basedreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$479M100%
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••••• V•••••••• L••• | Venture Capital Fund | $500M | 1 | May 16, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• M••••••• S••••• · Managing Membercontrolsince 04/2024 · owns 50% to 75%
- B•••••• H•••••• J•••• · Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
- M••••••••• J••• S•••••• · Managing Membercontrolsince 04/2024 · owns 50% to 75%
Related persons
Schedule D 7.A
- P••• R• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 26, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-27, no on the filing of 2026-03-26peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Assets in custody · $52.7M to $0Mar 27, 2025 to Mar 26, 2026
- Custody of client assets · true to falseMar 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $496M to $479MMar 27, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $496M to $479MMar 27, 2025 to Mar 26, 2026
- RAUM · $496M to $479MMar 27, 2025 to Mar 26, 2026
- Advisory employees · 2 to 3Jun 28, 2024 to Mar 27, 2025
- Assets in custody · $39.4M to $52.7MJun 28, 2024 to Mar 27, 2025
- Employees · 3 to 4Jun 28, 2024 to Mar 27, 2025
- Financial planning clients · unset to Jun 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $500M to $496MJun 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $500M to $496MJun 28, 2024 to Mar 27, 2025
- RAUM · $500M to $496MJun 28, 2024 to Mar 27, 2025
- Assets in custody · $9.3M to $39.4MJun 4, 2024 to Jun 28, 2024
- Employees · 2 to 3Jun 4, 2024 to Jun 28, 2024
- Discretionary RAUM · $24.9M to $500MJun 4, 2024 to Jun 28, 2024
- Pooled vehicle RAUM · $24.9M to $500MJun 4, 2024 to Jun 28, 2024
- RAUM · $24.9M to $500MJun 4, 2024 to Jun 28, 2024
Signals
1 dated events
- P••••••• S•••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 16, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••• S•••••••• I••••••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-485-0443reportedpublic record, Form ADV, Mar 26, 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