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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
U•••••
Legal name U••••• I••••••••• L•
Latest filing Aug 17, 2026
First filing on the tape Apr 24, 2025 · 5 filings
SEC status approved since May 28, 2025
RAUM
$1.1B
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
17
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$1.1B as of Aug 17, 2026
Apr 24, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 17, 2026
Apr 24, 20250 then
Employees (5.A)17 as of Aug 17, 2026
Apr 24, 20255 then
Private funds6 as of Aug 17, 2026
Sep 25, 20252 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 17, 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
- $181MderivedRAUM 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
- $1.1B, 6 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 6 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=0.0derived
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
- H•••••••• W••••••• N•• · Managing Partnercontrolsince 04/2025 · owns 25% to 50%
- J••••••• L•••••• M•••• · Chief Compliance Officer & Chief Financial Officercontrolsince 07/2026 · owns less than 5%
- R••••••••• D••••••• J•••• · Managing Partnercontrolsince 04/2025 · owns 10% to 25%
- S•••• B••••••• S•••••• · Managing Partnercontrolsince 04/2025 · owns 10% to 25%
Entity owners
- U••••• I••••••••• L•• · General Partner Of U••••• I••••••••• L•direct · 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
- Accounts · 2 to 6Mar 31, 2026 to Aug 17, 2026
- Advisory employees · 8 to 16Mar 31, 2026 to Aug 17, 2026
- Pooled vehicle clients · 2 to 6Mar 31, 2026 to Aug 17, 2026
- Assets in custody · $231M to $1.1BMar 31, 2026 to Aug 17, 2026
- Employees · 8 to 17Mar 31, 2026 to Aug 17, 2026
- Private funds · 2 to 6Mar 31, 2026 to Aug 17, 2026
- Discretionary RAUM · $231M to $1.1BMar 31, 2026 to Aug 17, 2026
- Pooled vehicle RAUM · $231M to $1.1BMar 31, 2026 to Aug 17, 2026
- RAUM · $231M to $1.1BMar 31, 2026 to Aug 17, 2026
- Assets in custody · $211M to $231MSep 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $211M to $231MSep 25, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $211M to $231MSep 25, 2025 to Mar 31, 2026
- RAUM · $211M to $231MSep 25, 2025 to Mar 31, 2026
- Accounts · 0 to 2Jun 23, 2025 to Sep 25, 2025
- Advisory employees · 5 to 8Jun 23, 2025 to Sep 25, 2025
- Pooled vehicle clients · unset to 2.0Jun 23, 2025 to Sep 25, 2025
- Assets in custody · unset to 211000000.0Jun 23, 2025 to Sep 25, 2025
- Custody of client assets · false to trueJun 23, 2025 to Sep 25, 2025
- Employees · 5 to 8Jun 23, 2025 to Sep 25, 2025
- Private funds · unset to 2Jun 23, 2025 to Sep 25, 2025
- Discretionary RAUM · $0 to $211MJun 23, 2025 to Sep 25, 2025
- Pooled vehicle RAUM · unset to 211000000.0Jun 23, 2025 to Sep 25, 2025
- RAUM · $0 to $211MJun 23, 2025 to Sep 25, 2025
- Financial planning clients · unset to Apr 24, 2025 to Jun 23, 2025
Signals
1 dated events
- Uplift reported RAUM $1.1B, up 370% from $230.5M (2026-03-31 to 2026-08-17)Aug 17, 2026 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
- Website
- U•••••INVESTORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 908-256-4073reportedpublic record, Form ADV, Aug 17, 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