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
V•••••• C•••••• M••••••••• I•••
Latest filing Sep 4, 2026
First filing on the tape Jul 23, 2025 · 3 filings
SEC status approved since Aug 4, 2025
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
48%
$718M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
39
18 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$693M as of Mar 31, 2026
Jul 23, 2025$687M then
HNW client RAUM$76.1M as of Mar 31, 2026
Jul 23, 2025$11.2M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jul 23, 20250 then
Employees (5.A)39 as of Mar 31, 2026
Jul 23, 202539 then
Private funds: 2
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 4, 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
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $526,364derivedRAUM 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
- unknownderived8 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 individuals, portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$769M52%
- Individuals$505M34%
- High-net-worth individuals$212M14%
- Charitable organizations$564,0640.0%
- Individual clients
- 2,545reported
- HNW clients
- 167reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 2,826reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.48 fund_share=0.0 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
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
- Accounts · 5,885 to 2,826Mar 31, 2026 to Sep 4, 2026
- Charity clients · unset to 4.0Mar 31, 2026 to Sep 4, 2026
- Corporate clients · unset to 106.0Mar 31, 2026 to Sep 4, 2026
- HNW clients · 33 to 167Mar 31, 2026 to Sep 4, 2026
- Individual clients · 3,091 to 2,545Mar 31, 2026 to Sep 4, 2026
- Financial planning clients · 0 to 0Mar 31, 2026 to Sep 4, 2026
- HQ state · to unsetMar 31, 2026 to Sep 4, 2026
- Private funds · 2 to unsetMar 31, 2026 to Sep 4, 2026
- Discretionary RAUM · $693M to $1.5BMar 31, 2026 to Sep 4, 2026
- HNW RAUM · $76.1M to $212MMar 31, 2026 to Sep 4, 2026
- Individual RAUM · $617M to $505MMar 31, 2026 to Sep 4, 2026
- RAUM · $693M to $1.5BMar 31, 2026 to Sep 4, 2026
- Succession · false to unsetMar 31, 2026 to Sep 4, 2026
- Accounts · 2,656 to 5,885Jul 23, 2025 to Mar 31, 2026
- Charity clients · 2.0 to unsetJul 23, 2025 to Mar 31, 2026
- Corporate clients · 95.0 to unsetJul 23, 2025 to Mar 31, 2026
- HNW clients · 179 to 33Jul 23, 2025 to Mar 31, 2026
- Individual clients · 2,378 to 3,091Jul 23, 2025 to Mar 31, 2026
- Financial planning clients · to 0Jul 23, 2025 to Mar 31, 2026
- Private funds · unset to 2Jul 23, 2025 to Mar 31, 2026
- Discretionary RAUM · $687M to $693MJul 23, 2025 to Mar 31, 2026
- HNW RAUM · $11.2M to $76.1MJul 23, 2025 to Mar 31, 2026
- Individual RAUM · $99.6M to $617MJul 23, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $575M to $0Jul 23, 2025 to Mar 31, 2026
- RAUM · $687M to $693MJul 23, 2025 to Mar 31, 2026
Signals
1 dated events
- V•••••• C•••••• M••••••••• I••• reported RAUM $1.5B, up 115% from $692.7M (2026-03-31 to 2026-09-04)Sep 4, 2026 · RAUM change · 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
- Business email
- t•••••••@v••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- j•••••••••@v••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- j•••••••••@v••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- j•••••••••@v••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- m•••••••••@v••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- s•••••••••@v••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- s•••••••••@v••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- a•••••••••@v••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- a•••••••••@v••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- c•••••••••@v••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- c•••••••••@v••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- c•••••••••@v••••••.comreportedpublished by the firm, firm site, Sep 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
- Wealth manager with institutional or fund businessderiveda 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