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
I•••••••• C••••••
Legal name I•••••••• C•••••• L••
Latest filing Sep 16, 2026
First filing on the tape Sep 15, 2025 · 4 filings
SEC status 120-day approval since Nov 21, 2025
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 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$0 as of Mar 8, 2026
Sep 15, 2025$0 then
HNW client RAUM$0 as of Mar 8, 2026
Sep 15, 2025$0 then
State-registered IARs (5.B.3)1 as of Mar 8, 2026
Sep 15, 20251 then
Employees (5.A)2 as of Mar 8, 2026
Sep 15, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- selection of other advisers, otherreportedItem 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 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, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R•••• S••• from Z•••Nov 23, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••• R•••• · Chief Compliance Officercontrolsince 04/2025 · owns less than 5%
- W•••• R••••••• A••••• · Presidentcontrolsince 04/2025 · owns less than 5%
Entity owners
- R•• H•••••• C•••••• L•• · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Sep 16, 2026portfolio management for pooled vehicles (Item 5.G.4): yes on the filing of 2026-03-08, no on the filing of 2026-09-16peers: other advisers, under $100M (671)
What changed
consecutive filings, newest first
- Accounts · 0.0 to unsetMar 8, 2026 to Sep 16, 2026
- Advisory activities · 4 to 2Mar 8, 2026 to Sep 16, 2026
- BD registered reps · 1 to 2Mar 8, 2026 to Sep 16, 2026
- Financial planning clients · to unsetMar 8, 2026 to Sep 16, 2026
- Discretionary RAUM · 0.0 to unsetMar 8, 2026 to Sep 16, 2026
- Non-discretionary RAUM · 0.0 to unsetMar 8, 2026 to Sep 16, 2026
- RAUM · 0.0 to unsetMar 8, 2026 to Sep 16, 2026
- Succession · false to unsetMar 8, 2026 to Sep 16, 2026
Signals
No event on the tape.
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
- 508-345-7707reportedpublic record, Form ADV, Sep 16, 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
- No RAUM reportedderiveda 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