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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Former SEC-registered adviser

E••••••••• F•••••••• S••••••••• L••

Former SEC-registered adviserCRD 334264SEC 801-131952IAPD
Latest filing Apr 9, 2025
First filing on the tape Jan 9, 2025 · 2 filings
SEC status 120-day approval since Feb 10, 2025
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$0 as of Apr 9, 2025
Jan 9, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Apr 9, 2025
Jan 9, 20254 then
Employees (5.A)3 as of Apr 9, 2025
Jan 9, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 9, 2025; every figure names its basis
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
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
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.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Las Vegas, Nv000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 4 to 3
    Jan 9, 2025 to Apr 9, 2025
  • BD registered reps · 4 to 3
    Jan 9, 2025 to Apr 9, 2025
  • Employees · 4 to 3
    Jan 9, 2025 to Apr 9, 2025
  • Insurance-licensed employees · 4 to 3
    Jan 9, 2025 to Apr 9, 2025
  • State-registered IARs · 4 to 3
    Jan 9, 2025 to Apr 9, 2025
Signals
2 dated events
  • E••••••••• F•••••••• S••••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02)
    Dec 20, 2025 · Left the SEC roster · derived
  • D•••• S••• H••• L•• left E••••••••• F•••••••• S••••••••• L•• for L•• W•••••• L•• (registered 2025-03-31)
    Apr 8, 2025 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 15, 2026