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
B••••••••• A••••••• L••
Latest filing May 5, 2026
First filing on the tape Oct 21, 2025 · 3 filings
SEC status approved since Nov 20, 2025
RAUM
$390M
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
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
46
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$390M as of May 5, 2026
Oct 21, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 5, 2026
Oct 21, 20250 then
Employees (5.A)7 as of May 5, 2026
Oct 21, 20252 then
Private funds46 as of May 5, 2026
Mar 19, 202646 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
- 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
- $8.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$390M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 46reported
- 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=1.0 institutional_share=0.0 related_bd=false 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
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
- M••••••• J•••••• Q•••••• · Membercontrolsince 01/2025 · owns less than 5%
- M••••••• M•••••• H•••• · Chief Executive Officercontrolsince 10/2025 · owns less than 5%
- D••••••••• M•••• J••••• · Chief Compliance Officersince 10/2025 · owns less than 5%
- P••••• A••••••••• A• · Chief Financial Officersince 11/2025 · owns less than 5%
Entity owners
- B••••••••• H••••••• L•• · Ownerdirect · 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.
What changed
consecutive filings, newest first
- Accounts · 0 to 46Oct 21, 2025 to Mar 19, 2026
- Advisory employees · 1 to 5Oct 21, 2025 to Mar 19, 2026
- BD registered reps · 0 to 2Oct 21, 2025 to Mar 19, 2026
- Pooled vehicle clients · unset to 46.0Oct 21, 2025 to Mar 19, 2026
- Employees · 2 to 7Oct 21, 2025 to Mar 19, 2026
- Private funds · unset to 46Oct 21, 2025 to Mar 19, 2026
- Discretionary RAUM · $0 to $390MOct 21, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · unset to 390402667.0Oct 21, 2025 to Mar 19, 2026
- RAUM · $0 to $390MOct 21, 2025 to Mar 19, 2026
- Related adviser · true to falseOct 21, 2025 to Mar 19, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- B••••••••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
- B••••••••• A••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 561-462-1200reportedpublic record, Form ADV, May 5, 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