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
M••• C•••••• M••••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Jul 8, 2025 · 3 filings
SEC status approved since Jul 18, 2025
RAUM
$8.8M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$8.8M as of Mar 11, 2026
Jul 8, 2025$7.3M then
HNW client RAUM$0 as of Mar 11, 2026
Aug 8, 2025$0 then
State-registered IARs (5.B.3)2 as of Mar 11, 2026
Jul 8, 20253 then
Employees (5.A)2 as of Mar 11, 2026
Jul 8, 20253 then
Private funds2 as of Mar 11, 2026
Jul 8, 20252 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
- RAUM per advisor
- $4.4MderivedRAUM 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
- $4.4MderivedRAUM 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
- 2.0derived1 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$8.8M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months2 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- J•••• T•••• H•••••• to C••••••Aug 7, 2026 · Other
- L•••• J••• D•••• to C••••••Aug 7, 2026 · Other
- B•••••• T••••• O••••• to T•• B••••• C••••••Feb 18, 2026 · Other
Joined, latest
- B•••••• T••••• O••••• from M•••• R•• W••••• M•••••••••Aug 21, 2025 · Other
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 |
|---|---|---|---|---|---|
| Nashville, Tn · principal | 0 | 0 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Aug 8, 2025 to Mar 11, 2026
- Employees · 3 to 2Aug 8, 2025 to Mar 11, 2026
- Insurance-licensed employees · 3 to 2Aug 8, 2025 to Mar 11, 2026
- State-registered IARs · 3 to 2Aug 8, 2025 to Mar 11, 2026
- Discretionary RAUM · $7.3M to $8.8MAug 8, 2025 to Mar 11, 2026
- Pooled vehicle RAUM · $7.3M to $8.8MAug 8, 2025 to Mar 11, 2026
- RAUM · $7.3M to $8.8MAug 8, 2025 to Mar 11, 2026
- Charity clients · unset to 0.0Jul 8, 2025 to Aug 8, 2025
- Corporate clients · unset to 0.0Jul 8, 2025 to Aug 8, 2025
- HNW clients · unset to 0.0Jul 8, 2025 to Aug 8, 2025
- Individual clients · unset to 0.0Jul 8, 2025 to Aug 8, 2025
- Pension plan clients · unset to 0.0Jul 8, 2025 to Aug 8, 2025
- HNW RAUM · unset to 0.0Jul 8, 2025 to Aug 8, 2025
- Individual RAUM · unset to 0.0Jul 8, 2025 to Aug 8, 2025
- Pension RAUM · unset to 0.0Jul 8, 2025 to Aug 8, 2025
Signals
5 dated events
- M••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $8.8M)Sep 1, 2026 · Left the SEC roster · derived
- J•••• T•••• H•••••• left M••• C•••••• M••••••••• L•• for C•••••• (registered 2026-07-20)Aug 7, 2026 · Advisor changed firm · fact
- 2 advisors left M••• C•••••• M••••••••• L•• (Nashville, TN) for C•••••• on the same dayAug 7, 2026 · Team lift-out · derived
- L•••• J••• D•••• left M••• C•••••• M••••••••• L•• for C•••••• (registered 2026-07-13)Aug 7, 2026 · Advisor changed firm · fact
- B•••••• T••••• O••••• left M••• C•••••• M••••••••• L•• for T•• B••••• C•••••• (registered 2026-02-18)Feb 18, 2026 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- M••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026