DFX Intelligence
RIA Intelligence
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SEC-registered adviser
T•••• F•••• E•••• I••••••••• G••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 13, 2025 · 3 filings
SEC status approved since Mar 7, 2025
RAUM
$25B
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$25B as of Mar 31, 2026
Feb 13, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Feb 13, 20250 then
Employees (5.A)5 as of Mar 31, 2026
Feb 13, 20254 then
Private funds1 as of Mar 31, 2026
Jun 4, 20251 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $25BderivedRAUM 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
- Custody
- $25B, 1 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)
- 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
- Pooled investment vehicles$25B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $25B for 1 clientsreported
- 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=1.0derived
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
- A•••••• R••••• · Member, Chief Executive Officer, Co-Chief Investment Officer Officercontrolsince 01/2025 · owns 25% to 50%
- F•••••••• J•••• T••••• · Member, President, Chief Compliance Officercontrolsince 01/2025 · owns 10% to 25%
- L••••• E•••• M•••••• · Member, Chief Revenue Officercontrolsince 01/2026 · owns 10% to 25%
Entity owners
- S•••••• C•••••• G••••• L•• · Managing Memberdirect · owns less than 5%
- T•••• F•••• E•••• G•••••• L••• · Memberdirect · owns 25% to 50%
- U••• F••• I• G•• L• · General Partnerdirect · 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.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Jun 4, 2025 to Mar 31, 2026
- Employees · 4 to 5Jun 4, 2025 to Mar 31, 2026
- Accounts · 0 to 1Feb 13, 2025 to Jun 4, 2025
- Advisory employees · 2 to 3Feb 13, 2025 to Jun 4, 2025
- BD registered reps · 0 to 1Feb 13, 2025 to Jun 4, 2025
- Pooled vehicle clients · unset to 1.0Feb 13, 2025 to Jun 4, 2025
- Assets in custody · unset to 25000100000.0Feb 13, 2025 to Jun 4, 2025
- Custody of client assets · false to trueFeb 13, 2025 to Jun 4, 2025
- Financial planning clients · unset to Feb 13, 2025 to Jun 4, 2025
- Private funds · unset to 1Feb 13, 2025 to Jun 4, 2025
- Discretionary RAUM · $0 to $25BFeb 13, 2025 to Jun 4, 2025
- Pooled vehicle RAUM · unset to 25000100000.0Feb 13, 2025 to Jun 4, 2025
- RAUM · $0 to $25BFeb 13, 2025 to Jun 4, 2025
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- T•••• F•••• E•••• I••••••••• G••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- 3•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (203) 722-0526reportedpublic record, Form ADV, Mar 31, 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