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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••••••••• I••••••••• M••••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Apr 10, 2025 · 6 filings
SEC status approved since May 13, 2025
RAUM
$1.0B
reported, Item 5.F
Discretionary
0.0%
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
36
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$1.0B as of Aug 5, 2026
Apr 10, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 5, 2026
Apr 10, 20250 then
Employees (5.A)36 as of Aug 5, 2026
Apr 10, 202535 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $524MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 100%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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$1.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=true bd_reps=0.0 bank_owner=false (no Schedule A on the lake)derived
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
No Schedule A on the extract for this adviser.
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
- low discretionary shareStatic outlier · filing Sep 17, 2026discretionary share of RAUM of 0% against a peer median of 99% (121 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: institutional managers, $1B to $5B (121) · 0.0% percentile
What changed
consecutive filings, newest first
- Financial planning clients · to unsetAug 5, 2026 to Sep 17, 2026
- Succession · false to unsetAug 5, 2026 to Sep 17, 2026
- Non-discretionary RAUM · $1.1B to $1.0BMar 23, 2026 to Aug 5, 2026
- RAUM · $1.1B to $1.0BMar 23, 2026 to Aug 5, 2026
- Accounts · 1 to 2Feb 11, 2026 to Mar 23, 2026
- Advisory employees · 20 to 22Feb 11, 2026 to Mar 23, 2026
- Employees · 32 to 36Feb 11, 2026 to Mar 23, 2026
- Non-discretionary RAUM · $684M to $1.1BFeb 11, 2026 to Mar 23, 2026
- RAUM · $684M to $1.1BFeb 11, 2026 to Mar 23, 2026
- Accounts · 0 to 1Apr 10, 2025 to Sep 9, 2025
- Advisory employees · 23 to 20Apr 10, 2025 to Sep 9, 2025
- Employees · 35 to 32Apr 10, 2025 to Sep 9, 2025
- Non-discretionary RAUM · $0 to $684MApr 10, 2025 to Sep 9, 2025
- RAUM · $0 to $684MApr 10, 2025 to Sep 9, 2025
Signals
1 dated events
- C••••••••• I••••••••• M••••••••• L•• reported RAUM $1.1B, up 56% from $684.0M (2026-02-11 to 2026-03-23)Mar 23, 2026 · RAUM change · derived
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
- 855-431-4400reportedpublic record, Form ADV, Sep 17, 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
- Institutional managerderiveda 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