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
L••• A••••• C•• M••••••••• L•
Latest filing Dec 24, 2025
First filing on the tape Nov 21, 2024 · 3 filings
SEC status approved since Dec 20, 2024
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
821
191 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$0 as of Dec 24, 2025
Mar 26, 2025$0 then
HNW client RAUM$0 as of Dec 24, 2025
Mar 26, 2025$0 then
State-registered IARs (5.B.3)214 as of Dec 24, 2025
Mar 26, 2025187 then
Employees (5.A)821 as of Dec 24, 2025
Mar 26, 2025748 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 24, 2025; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $0derivedRAUM 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
- 3.8derivedItem 5.A over advisors
- Advisors per office
- 214.0derived1 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
- percentage of assets, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
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
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=286.0derived
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
- S•••• D••••••• B•••• · Chief Executive Officercontrolsince 11/2024 · owns less than 5%
- F•••••• A•••••• L• · Chief Financial Officersince 11/2024 · owns less than 5%
- P••••••••• M•••• A•• · Global Chief Compliance Officersince 11/2024 · owns less than 5%
- S•••••• R•••••••• A••••• · Chief Legal Officersince 11/2024 · owns less than 5%
Entity owners
- L••• A••••• C•• C••••••••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
- L•••• A••••• • C•• L•• · Ownerdirect · owns 75% or more
- L•••• A••••• • C•• L•• · Memberindirect · owns 75% or more of L••• A••••• C•• C••••••••• M••••••••• G• L••
Related persons
Schedule D 7.A
- L••• A••••• •••••••• L••••••investment advisern
- L••• A••••• ••• L•••investment advisern
- L••• A••••• D••••••••• L••broker-dealern
- L••• A••••• F•• A•••••• L••investment adviserbanknRAUM $190M
- L••• A••••• P•••••• C••••• A•••••• L••investment adviserbanknRAUM $1.3B
- L•••• A••••• • C•• L••investment adviserbankyRAUM $270B
- L•••• A••••• A••• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 264 to 191Mar 26, 2025 to Dec 24, 2025
- BD registered reps · 292 to 286Mar 26, 2025 to Dec 24, 2025
- Employees · 748 to 821Mar 26, 2025 to Dec 24, 2025
- Insurance-licensed employees · 187 to 214Mar 26, 2025 to Dec 24, 2025
- State-registered IARs · 187 to 214Mar 26, 2025 to Dec 24, 2025
- Accounts · unset to 0.0Nov 21, 2024 to Mar 26, 2025
- Insurance-licensed employees · 0 to 187Nov 21, 2024 to Mar 26, 2025
- Financial planning clients · unset to Nov 21, 2024 to Mar 26, 2025
- Discretionary RAUM · unset to 0.0Nov 21, 2024 to Mar 26, 2025
- Non-discretionary RAUM · unset to 0.0Nov 21, 2024 to Mar 26, 2025
- RAUM · unset to 0.0Nov 21, 2024 to Mar 26, 2025
Signals
1 dated events
- L••• A••••• C•• M••••••••• L• filed its initial SEC registration (Form ADV)Nov 21, 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
- 201-827-2000reportedpublic record, Form ADV, Dec 24, 2025
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