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•••• R••• I••••••••• L••
Latest filing Jul 14, 2025
First filing on the tape Apr 7, 2025 · 4 filings
SEC status 120-day approval since Apr 7, 2025
RAUM
$16.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$16.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$16.5M
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
4 filings and snapshots on the tape
RAUM$16.5M as of Jul 14, 2025
Apr 7, 2025$0 then
HNW client RAUM$10.9M as of Jul 14, 2025
Jun 26, 2025$10.9M then
State-registered IARs (5.B.3)1 as of Jul 14, 2025
Apr 7, 20251 then
Employees (5.A)1 as of Jul 14, 2025
Apr 7, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 14, 2025; every figure names its basis
- RAUM per advisor
- $16.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $726,667derivedHNW RAUM over HNW clients
- Average account
- $250,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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 assetsreportedItem 5.E
- Advisory activities
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$10.9M66%
- Individuals$5.6M34%
- Individual clients
- 41reported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 66reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• A••••• S•••••••• | Malvern, Pa | Apr 7, 2025 | 25 y | 2 |
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
- B•••• A••••• S•••••••• from C•• C•••••• M••••••••• G••••• I•••Apr 7, 2025 · RIA 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.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · unset to Jun 26, 2025 to Jul 14, 2025
- State-registered IARs · 0 to 1Jun 26, 2025 to Jul 14, 2025
- Accounts · 0 to 66May 7, 2025 to Jun 26, 2025
- Advisory activities · 2 to 1May 7, 2025 to Jun 26, 2025
- BD registered reps · 1 to 0May 7, 2025 to Jun 26, 2025
- HNW clients · unset to 15.0May 7, 2025 to Jun 26, 2025
- Individual clients · unset to 41.0May 7, 2025 to Jun 26, 2025
- State-registered IARs · 1 to 0May 7, 2025 to Jun 26, 2025
- Discretionary RAUM · $0 to $16.5MMay 7, 2025 to Jun 26, 2025
- HNW RAUM · unset to 10900000.0May 7, 2025 to Jun 26, 2025
- Individual RAUM · unset to 5600000.0May 7, 2025 to Jun 26, 2025
- RAUM · $0 to $16.5MMay 7, 2025 to Jun 26, 2025
Signals
1 dated events
- A•••• R••• I••••••••• L•• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $16.5M)Sep 2, 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
- A••••R•••INVESTMENTS.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
- $16.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026