DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
C••••••••• I••••••••• A•••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Jun 19, 2024 · 6 filings
SEC status approved since Jul 17, 2024
RAUM
$496M
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
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$496M as of Mar 19, 2026
Mar 19, 2025$319M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 19, 20250 then
Employees (5.A)4 as of Mar 19, 2026
Mar 19, 20254 then
Private funds1 as of Mar 19, 2026
Mar 19, 20251 then
RAUM +55% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 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
- $248MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +55%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 pooled vehiclesreportedItem 5.G
- Custody
- $18.1M, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$496M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $18.1M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
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 |
|---|---|---|---|---|
| E••••• S••••••• F•••• L• | Hedge Fund | $11.6M | 13 | Jun 19, 2024 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• M•••• E• · Chief Compliance Officer, Managing Member And Ceocontrolsince 07/2022 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Assets in custody · $20.6M to $18.1MJun 23, 2025 to Mar 19, 2026
- Discretionary RAUM · $319M to $496MJun 23, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $319M to $496MJun 23, 2025 to Mar 19, 2026
- RAUM · $319M to $496MJun 23, 2025 to Mar 19, 2026
- Financial planning clients · unset to Mar 19, 2025 to Jun 23, 2025
- Assets in custody · unset to 20574277.0Dec 12, 2024 to Mar 19, 2025
- Custody of client assets · false to trueDec 12, 2024 to Mar 19, 2025
- Other offices · 2 to 1Dec 12, 2024 to Mar 19, 2025
- Discretionary RAUM · $462M to $319MDec 12, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $462M to $319MDec 12, 2024 to Mar 19, 2025
- RAUM · $462M to $319MDec 12, 2024 to Mar 19, 2025
- Accounts · 1 to 2Jun 19, 2024 to Oct 24, 2024
- Advisory employees · 2 to 4Jun 19, 2024 to Oct 24, 2024
- Pooled vehicle clients · 1 to 2Jun 19, 2024 to Oct 24, 2024
- Assets in custody · 11657454.0 to unsetJun 19, 2024 to Oct 24, 2024
- Custody of client assets · true to falseJun 19, 2024 to Oct 24, 2024
- Employees · 2 to 4Jun 19, 2024 to Oct 24, 2024
- HQ city · unset to RALEIGHJun 19, 2024 to Oct 24, 2024
- HQ state · unset to NCJun 19, 2024 to Oct 24, 2024
- Other offices · 1 to 2Jun 19, 2024 to Oct 24, 2024
- Discretionary RAUM · $11.7M to $462MJun 19, 2024 to Oct 24, 2024
- Pooled vehicle RAUM · $11.7M to $462MJun 19, 2024 to Oct 24, 2024
- RAUM · $11.7M to $462MJun 19, 2024 to Oct 24, 2024
Signals
4 dated events
- C••••••••• I••••••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $495.5M)Jul 1, 2026 · Left the SEC roster · derived
- C••••••••• I••••••••• A•••••••• L•• reported RAUM $495.5M, up 55% from $318.9M (2025-06-23 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- C••••••••• I••••••••• A•••••••• L•• reported RAUM $318.9M, down 31% from $461.6M (2024-12-12 to 2025-03-19)Mar 19, 2025 · RAUM change · derived
- C••••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 19, 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.
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
- Former SEC-registered adviserderiveda 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