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
C•• R••••••••• C••••• M••••••
Legal name C•• R••••••••• C••••• M••••••• L••
Latest filing Jun 15, 2026
First filing on the tape Apr 28, 2025 · 4 filings
SEC status approved since May 9, 2025
RAUM
$48.0M
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
3 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$48.0M as of Jun 15, 2026
Apr 28, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jun 15, 2026
Apr 28, 20252 then
Employees (5.A)5 as of Jun 15, 2026
Apr 28, 20255 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jun 15, 2026; every figure names its basis
- RAUM per advisor
- $24.0MderivedRAUM 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
- $48.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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, performance-basedreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Custody
- $48.0M, 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$48.0M100%
- 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
- $48.0M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
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
- B••••••• C•••••• J••••••••• · Chief Executive Officercontrolsince 03/2025 · owns less than 5%
- E••••• J••••• L••• · Chief Compliance Officer Votingcontrolsince 03/2025 · owns less than 5%
- T•••••• T••••• J• · Chief Financial Officercontrolsince 03/2025 · owns less than 5%
- Y•••••• B••••••• S•••• · Secretarycontrolsince 03/2025 · 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
- Assets in custody · $23.5M to $48.0MMar 30, 2026 to Jun 15, 2026
- Discretionary RAUM · $23.5M to $48.0MMar 30, 2026 to Jun 15, 2026
- Pooled vehicle RAUM · $23.5M to $48.0MMar 30, 2026 to Jun 15, 2026
- RAUM · $23.5M to $48.0MMar 30, 2026 to Jun 15, 2026
- Assets in custody · $200,000 to $23.5MJul 22, 2025 to Mar 30, 2026
- Discretionary RAUM · $200,000 to $23.5MJul 22, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $200,000 to $23.5MJul 22, 2025 to Mar 30, 2026
- RAUM · $200,000 to $23.5MJul 22, 2025 to Mar 30, 2026
- Accounts · 0 to 1Apr 28, 2025 to Jul 22, 2025
- Pooled vehicle clients · unset to 1.0Apr 28, 2025 to Jul 22, 2025
- Assets in custody · $0 to $200,000Apr 28, 2025 to Jul 22, 2025
- Financial planning clients · unset to Apr 28, 2025 to Jul 22, 2025
- Discretionary RAUM · $0 to $200,000Apr 28, 2025 to Jul 22, 2025
- Pooled vehicle RAUM · unset to 200000.0Apr 28, 2025 to Jul 22, 2025
- RAUM · $0 to $200,000Apr 28, 2025 to Jul 22, 2025
Signals
No event on the tape.
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
- 407-650-1000reportedpublic record, Form ADV, Jun 15, 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 M••••••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