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
A• I••••••••• M•••••••••
Legal name A••••••••• L••
Latest filing May 15, 2025
First filing on the tape Feb 27, 2025 · 3 filings
SEC status 120-day approval since Feb 25, 2025
RAUM
$27.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$27.9M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$14.0M
derived; firm RAUM over IAPD count
Employees
1
1 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$27.9M as of May 15, 2025
Feb 27, 2025$0 then
HNW client RAUM$15.5M as of May 15, 2025
Apr 7, 2025$15.5M then
State-registered IARs (5.B.3)1 as of May 15, 2025
Feb 27, 20251 then
Employees (5.A)1 as of May 15, 2025
Feb 27, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 15, 2025; every figure names its basis
- RAUM per advisor
- $14.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $219,768derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $27.9M, 54 clientsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$15.5M56%
- Individuals$12.4M44%
- Individual clients
- 40reported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 127reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $27.9M for 54 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• N•••••••••Certified Financial Planner | Mountain View, Ca | Feb 27, 2025 | 12 y | 3 |
| R••• P•••••• K•••••• | Mountain View, Ca | Jun 15, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A•••••• N••••••••• from L•• F•••••••• L••Feb 27, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mountain View, Ca · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 2 to 1Apr 7, 2025 to May 15, 2025
- Accounts · 0 to 127Feb 27, 2025 to Apr 7, 2025
- HNW clients · unset to 14.0Feb 27, 2025 to Apr 7, 2025
- Individual clients · unset to 40.0Feb 27, 2025 to Apr 7, 2025
- Assets in custody · unset to 27910514.0Feb 27, 2025 to Apr 7, 2025
- Custody of client assets · false to trueFeb 27, 2025 to Apr 7, 2025
- Discretionary RAUM · $0 to $27.9MFeb 27, 2025 to Apr 7, 2025
- HNW RAUM · unset to 15545663.0Feb 27, 2025 to Apr 7, 2025
- Individual RAUM · unset to 12364850.0Feb 27, 2025 to Apr 7, 2025
- RAUM · $0 to $27.9MFeb 27, 2025 to Apr 7, 2025
Signals
1 dated events
- A• I••••••••• M••••••••• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $27.9M)Jul 1, 2025 · Left the SEC roster · derived
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
- APINVESTMENTMANAGEMENT.COMreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $14.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026