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
P•••• C•••••• P••••••• L••
Latest filing Jun 9, 2026
First filing on the tape Apr 4, 2025 · 6 filings
SEC status approved since May 6, 2025
RAUM
$1.4B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.4B
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$1.4B as of Jun 9, 2026
Apr 4, 2025$0 then
HNW client RAUM$139M as of Jan 27, 2026
Sep 5, 2025$139M then
State-registered IARs (5.B.3)1 as of Jun 9, 2026
Apr 4, 20251 then
Employees (5.A)2 as of Jun 9, 2026
Apr 4, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jun 9, 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
- $1.4BderivedRAUM 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
- $700MderivedRAUM 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
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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, pension consulting, otherreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$1.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 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
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• B•••• P••• | Atlanta, Ga | May 7, 2025 | 14 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Left, latest
- J••• M• H••••• to L•• F•••••••• L••Jan 27, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••• M• H••••• from R•••••• J•••• • A••••••••• I•••Jul 17, 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 |
|---|---|---|---|---|---|
| Chicago, Il · principal | 1 | 0 | 1 |
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 Jun 9, 2026discretionary share of RAUM of 0% against a peer median of 100% (247 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $1B to $5B (247) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 6 to 2Jan 27, 2026 to Mar 31, 2026
- Advisory employees · 2 to 1Jan 27, 2026 to Mar 31, 2026
- BD registered reps · 1 to 0Jan 27, 2026 to Mar 31, 2026
- HNW clients · 4.0 to unsetJan 27, 2026 to Mar 31, 2026
- Employees · 3 to 2Jan 27, 2026 to Mar 31, 2026
- State-registered IARs · 2 to 1Jan 27, 2026 to Mar 31, 2026
- Discretionary RAUM · $139M to $0Jan 27, 2026 to Mar 31, 2026
- HNW RAUM · 139000000.0 to unsetJan 27, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $1.4BJan 27, 2026 to Mar 31, 2026
- RAUM · $139M to $1.4BJan 27, 2026 to Mar 31, 2026
- Other offices · 2 to 1Sep 5, 2025 to Jan 27, 2026
- Accounts · 0 to 6Jul 17, 2025 to Sep 5, 2025
- HNW clients · unset to 4.0Jul 17, 2025 to Sep 5, 2025
- Financial planning clients · 0 to 0Jul 17, 2025 to Sep 5, 2025
- Discretionary RAUM · $0 to $139MJul 17, 2025 to Sep 5, 2025
- HNW RAUM · unset to 139000000.0Jul 17, 2025 to Sep 5, 2025
- RAUM · $0 to $139MJul 17, 2025 to Sep 5, 2025
- Advisory employees · 1 to 2Apr 4, 2025 to Jul 17, 2025
- Employees · 2 to 3Apr 4, 2025 to Jul 17, 2025
- State-registered IARs · 1 to 2Apr 4, 2025 to Jul 17, 2025
- Other offices · 1 to 2Apr 4, 2025 to Jul 17, 2025
Signals
2 dated events
- P•••• C•••••• P••••••• L•• reported RAUM $1.4B, up 907% from $139.0M (2026-01-27 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- J••• M• H••••• left P•••• C•••••• P••••••• L•• for L•• F•••••••• L•• (registered 2026-04-14)Jan 27, 2026 · Advisor changed firm · fact
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
- p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 888-585-9981reportedpublic record, Form ADV, Jun 9, 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
- $1.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026