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
A••••• I••••••••• S••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Dec 17, 2024 · 8 filings
SEC status approved since Feb 10, 2025
RAUM
$518M
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
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$518M as of Mar 30, 2026
Feb 19, 2025$0 then
HNW client RAUM$0 as of Mar 30, 2026
Feb 19, 2025$0 then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Feb 19, 20252 then
Employees (5.A)8 as of Mar 30, 2026
Feb 19, 20255 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 4
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $129MderivedRAUM 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
- $259MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 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
- 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$518M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=4.0derived
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
- G•••••• K••••••••• · Ownercontrolsince 12/2024 · owns 25% to 50%
- H•••••• P••••••• E••••• · Chief Compliance Officercontrolsince 12/2024 · owns less than 5%
- L••••• R•••••• V••••••• · Ownercontrolsince 12/2024 · owns 25% to 50%
- M•••••• E••••• D•••• · Chief Financial Officercontrolsince 12/2024 · owns less than 5%
- O••••••• P•••• J•••• · Ownercontrolsince 12/2024 · owns 25% to 50%
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 · 1 to 2Dec 1, 2025 to Mar 30, 2026
- Advisory employees · 1 to 4Dec 1, 2025 to Mar 30, 2026
- BD registered reps · 1 to 4Dec 1, 2025 to Mar 30, 2026
- Employees · 5 to 8Dec 1, 2025 to Mar 30, 2026
- State-registered IARs · 2 to 4Dec 1, 2025 to Mar 30, 2026
- Discretionary RAUM · $185M to $518MDec 1, 2025 to Mar 30, 2026
- RAUM · $185M to $518MDec 1, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Aug 25, 2025 to Sep 29, 2025
- Accounts · 117 to 1Jun 6, 2025 to Aug 25, 2025
- Discretionary RAUM · $113M to $185MJun 6, 2025 to Aug 25, 2025
- RAUM · $113M to $185MJun 6, 2025 to Aug 25, 2025
- Accounts · 0 to 117Apr 10, 2025 to Jun 6, 2025
- Discretionary RAUM · $0 to $113MApr 10, 2025 to Jun 6, 2025
- RAUM · $0 to $113MApr 10, 2025 to Jun 6, 2025
Signals
2 dated events
- A••••• I••••••••• S••••••••• L•• reported RAUM $517.7M, up 180% from $184.8M (2025-12-01 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- A••••• I••••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Dec 17, 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
- 813-215-7783reportedpublic record, Form ADV, Mar 30, 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