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

T•••••• L••

Asset manager (funds and pooled vehicles)CRD 335272SEC 801-134932IAPD
Latest filing Mar 30, 2026
First filing on the tape Dec 18, 2025 · 2 filings
SEC status approved since Dec 11, 2025
RAUM
$124M
reported, Item 5.F
Discretionary
1.5%
of RAUM
Private clients
1.5%
$1.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$124M
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
2 filings and snapshots on the tape
RAUM$124M as of Mar 30, 2026
Dec 18, 2025$418M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Dec 18, 20251 then
Employees (5.A)1 as of Mar 30, 2026
Dec 18, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$124MderivedRAUM 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
$9.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
1.5%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$122M99%
  • Individuals$1.8M1.5%
Individual clients
9reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
13reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.01 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R•••• A•••••• T•••• V•••••Dorado, PrJun 4, 202511 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • T•••• V•••••• R••••• A•••••• · Managing Member And Chief Compliance Officercontrol
      since 02/2025 · 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 · 10 to 13
      Dec 18, 2025 to Mar 30, 2026
    • Financial planning clients · 0 to 1-10
      Dec 18, 2025 to Mar 30, 2026
    • Discretionary RAUM · $0 to $1.8M
      Dec 18, 2025 to Mar 30, 2026
    • Individual RAUM · $3.0M to $1.8M
      Dec 18, 2025 to Mar 30, 2026
    • Non-discretionary RAUM · $418M to $122M
      Dec 18, 2025 to Mar 30, 2026
    • Pooled vehicle RAUM · $415M to $122M
      Dec 18, 2025 to Mar 30, 2026
    • RAUM · $418M to $124M
      Dec 18, 2025 to Mar 30, 2026
    Signals
    1 dated events
    • T•••••• L•• reported RAUM $123.5M, down 70% from $418.0M (2025-12-18 to 2026-03-30)
      Mar 30, 2026 · RAUM change · 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
    Principal office phone
    787-585-8095reportedpublic record, Form ADV, Mar 30, 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
    $124Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026