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
A••••••• V••••••• I• L••
Latest filing Sep 4, 2026
First filing on the tape Aug 12, 2026 · 2 filings
SEC status approved since Aug 6, 2026
RAUM
$839M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$839M as of Sep 4, 2026
Aug 12, 2026$835M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Sep 4, 2026
Aug 12, 20261 then
Employees (5.A)3 as of Sep 4, 2026
Aug 12, 20263 then
Private funds: 26
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $839MderivedRAUM 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
- $31.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 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
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$839M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 27reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
- H••••• A••••••• C• · Chief Legal Officercontrolsince 10/2025 · owns less than 5%
- M••••••• J•••• · Chief Compliance Officercontrolsince 06/2025 · owns less than 5%
- N•••••• E••• · Managercontrolsince 06/2025 · owns less than 5%
Entity owners
- S•••••••• R••• F•••••• C••••• L•• · Class B Memberdirect · owns 10% to 25%
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 · 26 to 27Aug 12, 2026 to Sep 4, 2026
- Pooled vehicle clients · 26 to 27Aug 12, 2026 to Sep 4, 2026
- Financial planning clients · to unsetAug 12, 2026 to Sep 4, 2026
- Private funds · 26 to unsetAug 12, 2026 to Sep 4, 2026
- Discretionary RAUM · $835M to $839MAug 12, 2026 to Sep 4, 2026
- Pooled vehicle RAUM · $835M to $839MAug 12, 2026 to Sep 4, 2026
- RAUM · $835M to $839MAug 12, 2026 to Sep 4, 2026
- Succession · false to unsetAug 12, 2026 to Sep 4, 2026
Signals
1 dated events
- Eric Newman, registered through D••••••• S••••••••• L•• (New York, NY), is a direct owner of A••••••• V••••••• I• L••, an adviser first registered 2026-08-12; in 2023-2025, 164 of 330 such owners registered at this class of firm moved to the new adviser within a year, median 92 days after the filingAug 12, 2026 · Owner of a newly registered adviser · fact
Across DFX
shared identifiers only, never a name match
- A••••••• V••••••• I• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- 917-608-7234reportedpublic record, Form ADV, Sep 4, 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