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
F•••••••• C•••••• M••••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Jul 18, 2024 · 4 filings
SEC status approved since Jan 21, 2025
RAUM
$713M
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
14
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$713M as of Mar 6, 2026
Feb 25, 2025$699M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 6, 2026
Feb 25, 20250 then
Employees (5.A)14 as of Mar 6, 2026
Feb 25, 202512 then
Private funds: no history
RAUM +1.9% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 6, 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
- $178MderivedRAUM 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
- +1.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, 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
- 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
- Pooled investment vehicles$713M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••••• B•••••• S••••• · Chief Investment Officer And Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
- J•••••••• B•••••• S••••• · Sole Ownercontrolsince 05/2024 · owns 75% or more of E• H•••••••• I•••
Entity owners
- E• H•••••••• I••• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 4Feb 25, 2025 to Mar 6, 2026
- Pooled vehicle clients · 3 to 4Feb 25, 2025 to Mar 6, 2026
- Employees · 12 to 14Feb 25, 2025 to Mar 6, 2026
- Discretionary RAUM · $699M to $713MFeb 25, 2025 to Mar 6, 2026
- Pooled vehicle RAUM · $699M to $713MFeb 25, 2025 to Mar 6, 2026
- RAUM · $699M to $713MFeb 25, 2025 to Mar 6, 2026
- Financial planning clients · unset to Dec 12, 2024 to Feb 25, 2025
- Discretionary RAUM · $671M to $699MDec 12, 2024 to Feb 25, 2025
- Pooled vehicle RAUM · $671M to $699MDec 12, 2024 to Feb 25, 2025
- RAUM · $671M to $699MDec 12, 2024 to Feb 25, 2025
- Accounts · unset to 3.0Jul 18, 2024 to Dec 12, 2024
- Advisory employees · 12 to 8Jul 18, 2024 to Dec 12, 2024
- Pooled vehicle clients · unset to 3.0Jul 18, 2024 to Dec 12, 2024
- Employees · 13 to 12Jul 18, 2024 to Dec 12, 2024
- Discretionary RAUM · unset to 671306581.0Jul 18, 2024 to Dec 12, 2024
- Non-discretionary RAUM · unset to 0.0Jul 18, 2024 to Dec 12, 2024
- Pooled vehicle RAUM · unset to 671306581.0Jul 18, 2024 to Dec 12, 2024
- RAUM · unset to 671306581.0Jul 18, 2024 to Dec 12, 2024
Signals
1 dated events
- F•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 18, 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
- 269-479-1493reportedpublic record, Form ADV, Mar 6, 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