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
N•••••••• E•••
Legal name N••• E•• E•••• L••
Latest filing Mar 23, 2026
First filing on the tape Sep 18, 2024 · 10 filings
SEC status approved since Oct 18, 2024
RAUM
$517M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$259M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$517M as of Mar 23, 2026
Feb 21, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Feb 21, 20253 then
Employees (5.A)3 as of Mar 23, 2026
Feb 21, 20253 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
- RAUM per advisor
- $259MderivedRAUM 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
- $170,562derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 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
- Other investment advisers$332M64%
- Investment companies$185M36%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3,033reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, commissionsreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- I••• J••••• to J•••••• E••••• W••••• M••••••••• L••Jun 2, 2025 · Other
Joined, latest
- I••• J••••• from C•••••••• F••••••••• I•••Nov 22, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• M••••• · Managing Membercontrolsince 09/2024 · owns 75% or more
- J•••••• I••• · Chief Compliance Officersince 11/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Downey, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 23, 2026commissions (Item 5.E.5): no on the filing of 2026-01-22, yes on the filing of 2026-03-23peers: asset managers, $500M to $1B (784)
What changed
consecutive filings, newest first
- Accounts · 2,892 to 3,033Jan 22, 2026 to Mar 23, 2026
- Commission compensation · false to trueJan 22, 2026 to Mar 23, 2026
- Discretionary RAUM · $519M to $517MJan 22, 2026 to Mar 23, 2026
- RAUM · $519M to $517MJan 22, 2026 to Mar 23, 2026
- Accounts · 0 to 2,892May 30, 2025 to Dec 2, 2025
- Advisory employees · 3 to 2May 30, 2025 to Dec 2, 2025
- Advisory activities · 1 to 2May 30, 2025 to Dec 2, 2025
- BD registered reps · 0 to 2May 30, 2025 to Dec 2, 2025
- Insurance-licensed employees · 3 to 2May 30, 2025 to Dec 2, 2025
- State-registered IARs · 3 to 2May 30, 2025 to Dec 2, 2025
- Discretionary RAUM · $0 to $519MMay 30, 2025 to Dec 2, 2025
- RAUM · $0 to $519MMay 30, 2025 to Dec 2, 2025
- Financial planning clients · unset to Feb 21, 2025 to May 30, 2025
- BD registered reps · 3 to 0Nov 26, 2024 to Feb 21, 2025
- Related adviser · false to trueNov 26, 2024 to Feb 21, 2025
- Related broker-dealer · false to trueNov 26, 2024 to Feb 21, 2025
- Advisory employees · 5 to 3Sep 25, 2024 to Oct 18, 2024
- Advisory activities · 3 to 1Sep 25, 2024 to Oct 18, 2024
- BD registered reps · 5 to 3Sep 25, 2024 to Oct 18, 2024
- Employees · 10 to 3Sep 25, 2024 to Oct 18, 2024
- Insurance-licensed employees · 5 to 3Sep 25, 2024 to Oct 18, 2024
- Financial planning clients · 0 to unsetSep 25, 2024 to Oct 18, 2024
- State-registered IARs · 5 to 3Sep 25, 2024 to Oct 18, 2024
- Related adviser · true to falseSep 25, 2024 to Oct 18, 2024
- Related broker-dealer · true to falseSep 25, 2024 to Oct 18, 2024
- Business name · N••• Y•••• E•• to N•••••••• E•••Sep 18, 2024 to Sep 25, 2024
Signals
2 dated events
- I••• J••••• left N•••••••• E••• for J•••••• E••••• W••••• M••••••••• L•• (registered 2025-05-19)Jun 2, 2025 · Advisor changed firm · fact
- N••• Y•••• E•• filed its initial SEC registration (Form ADV)Sep 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
- Website
- N••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 866-475-5050reportedpublic record, Form ADV, Mar 23, 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
- $259Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026