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
C• C•••••• I•••••••• A••••••• L••
Latest filing Jun 2, 2026
First filing on the tape Jan 30, 2025 · 4 filings
SEC status approved since Feb 25, 2025
RAUM
$937M
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
6
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$937M as of Jun 2, 2026
Jan 30, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 2, 2026
Jan 30, 20250 then
Employees (5.A)6 as of Jun 2, 2026
Jan 30, 20256 then
Private funds1 as of Jun 2, 2026
Mar 30, 20261 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 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
- $469MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 36%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$600M64%
- Insurance companies$338M36%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.64 institutional_share=0.36 related_bd=true related_bank=false 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
- B••••••• T•••••• J••• · Chief Financial Officer And Chief Compliance Officercontrolsince 01/2025 · owns less than 5%
- C••• C••••• P•• · Founder And Senior Managing Directorcontrolsince 10/2024 · owns less than 5%
Entity owners
- C• C•••••• H•••••••• L• · Sole Memberdirect · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Jun 2, 2026institutional share of RAUM of 36% against a peer median of 0% (784 comparable advisers, 100.0th percentile, 12.2 robust deviations)peers: asset managers, $500M to $1B (784) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 1 to 2Jun 25, 2025 to Mar 30, 2026
- Advisory activities · 1 to 2Jun 25, 2025 to Mar 30, 2026
- BD registered reps · 2 to 0Jun 25, 2025 to Mar 30, 2026
- Corporate clients · 1.0 to unsetJun 25, 2025 to Mar 30, 2026
- Pooled vehicle clients · unset to 1.0Jun 25, 2025 to Mar 30, 2026
- Assets in custody · unset to 0.0Jun 25, 2025 to Mar 30, 2026
- Custody of client assets · false to trueJun 25, 2025 to Mar 30, 2026
- Private funds · unset to 1Jun 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $320M to $937MJun 25, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · unset to 599547962.0Jun 25, 2025 to Mar 30, 2026
- RAUM · $320M to $937MJun 25, 2025 to Mar 30, 2026
- Accounts · 0 to 1Jan 30, 2025 to Jun 25, 2025
- Corporate clients · unset to 1.0Jan 30, 2025 to Jun 25, 2025
- Financial planning clients · unset to Jan 30, 2025 to Jun 25, 2025
- Discretionary RAUM · $0 to $320MJan 30, 2025 to Jun 25, 2025
- RAUM · $0 to $320MJan 30, 2025 to Jun 25, 2025
Signals
1 dated events
- C• C•••••• I•••••••• A••••••• L•• reported RAUM $937.4M, up 193% from $320.0M (2025-06-25 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- C• C•••••• I•••••••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C• C•••••• I•••••••• A••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- c•.capitalreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-355-5515reportedpublic record, Form ADV, Jun 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
- 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