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••••••••• C•••••• L••
Latest filing Sep 2, 2026
First filing on the tape Feb 24, 2025 · 4 filings
SEC status approved since Feb 25, 2025
RAUM
$81.4M
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
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$81.4M as of Jun 18, 2026
Feb 24, 2025$75.0M then
HNW client RAUM$81.4M as of Jun 18, 2026
Feb 24, 2025$75.0M then
State-registered IARs (5.B.3)0 as of Jun 18, 2026
Feb 24, 20250 then
Employees (5.A)4 as of Jun 18, 2026
Feb 24, 20252 then
Private funds: no history
RAUM +8.6% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 2, 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
- $81.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- +8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, selection of other advisers, publications, educational seminarsreportedItem 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
- 1reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
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
- R•••••• S••••• N•••• · Chief Executive Officercontrolsince 04/2024 · owns 75% or more
- L••• J•••••••• D•••• · Chief Compliance Officersince 04/2024 · owns less than 5%
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 2, 2026discretionary share of RAUM of 0% against a peer median of 100% (34 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, under $100M (34) · 0.0% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Jun 18, 2026 to Sep 2, 2026
- HNW RAUM · 81423847.0 to unsetJun 18, 2026 to Sep 2, 2026
- Related adviser · false to unsetJun 18, 2026 to Sep 2, 2026
- Related bank · false to unsetJun 18, 2026 to Sep 2, 2026
- Related broker-dealer · false to unsetJun 18, 2026 to Sep 2, 2026
- Related insurance company · false to unsetJun 18, 2026 to Sep 2, 2026
- Succession · false to unsetJun 18, 2026 to Sep 2, 2026
- Employees · 2 to 4Feb 24, 2025 to Mar 31, 2026
- HNW RAUM · $75.0M to $81.4MFeb 24, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $75.0M to $81.4MFeb 24, 2025 to Mar 31, 2026
- RAUM · $75.0M to $81.4MFeb 24, 2025 to Mar 31, 2026
Signals
No event on the tape.
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
- Website
- Betteredge.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-249-8405reportedpublic record, Form ADV, Sep 2, 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
- Other 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 14, 2026