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
O••••••• V••••••• L••
Latest filing May 28, 2026
First filing on the tape Sep 5, 2025 · 4 filings
SEC status approved since Sep 24, 2025
RAUM
$311M
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
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$311M as of May 28, 2026
Sep 5, 2025$227M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 28, 2026
Sep 5, 20250 then
Employees (5.A)3 as of May 28, 2026
Sep 5, 20252 then
Private funds2 as of May 28, 2026
Sep 5, 20252 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 28, 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
- $156MderivedRAUM 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 assetsreportedItem 5.E
- Advisory activities
- 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
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$311M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false 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••••• M••••••• E• · Chief Operating Officer And Chief Compliance Officercontrolsince 01/2026 · owns less than 5%
- H•••••• T••• · Founder, Managing Partnercontrolsince 05/2019 · owns 75% or more
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
- BD registered reps · 1 to 2Mar 5, 2026 to May 28, 2026
- Employees · 2 to 3Mar 5, 2026 to May 28, 2026
- Discretionary RAUM · $319M to $311MMar 5, 2026 to May 28, 2026
- Pooled vehicle RAUM · $319M to $311MMar 5, 2026 to May 28, 2026
- RAUM · $319M to $311MMar 5, 2026 to May 28, 2026
- Assets in custody · unset to 0.0Jan 16, 2026 to Mar 5, 2026
- Discretionary RAUM · $227M to $319MJan 16, 2026 to Mar 5, 2026
- Pooled vehicle RAUM · $227M to $319MJan 16, 2026 to Mar 5, 2026
- RAUM · $227M to $319MJan 16, 2026 to Mar 5, 2026
- Advisory employees · 2 to 1Sep 5, 2025 to Jan 16, 2026
- BD registered reps · 0 to 1Sep 5, 2025 to Jan 16, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- O••••••• V••••••• L•• · Independent Sponsorsshared crd · capital_provider
- O••••••• V••••••• L•• · Private Equityshared crd · organization
- O••••••• V••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- optimist.vcreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 516 510 4882reportedpublic record, Form ADV, May 28, 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