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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
M••• P••••••• M••••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Sep 18, 2025 · 3 filings
SEC status approved since Sep 15, 2025
RAUM
$36.3M
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$36.3M as of Mar 6, 2026
Sep 18, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 6, 2026
Sep 18, 20250 then
Employees (5.A)2 as of Mar 6, 2026
Sep 18, 20251 then
Private funds2 as of Mar 6, 2026
Dec 5, 20252 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 6, 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
- $18.2MderivedRAUM 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.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$36.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
- S•••••••• B••••••• P••• · Chief Executive Officer Officercontrolsince 04/2025 · owns 75% or more
- L•••• D••••• C•••••••• · Chief Operating Officersince 09/2025 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 6, 2026bank affiliate (Item 7.A.6): no on the filing of 2025-12-05, yes on the filing of 2026-03-06peers: asset managers, under $100M (330)
What changed
consecutive filings, newest first
- Discretionary RAUM · $36.5M to $36.3MDec 5, 2025 to Mar 6, 2026
- Pooled vehicle RAUM · $36.5M to $36.3MDec 5, 2025 to Mar 6, 2026
- RAUM · $36.5M to $36.3MDec 5, 2025 to Mar 6, 2026
- Related bank · false to trueDec 5, 2025 to Mar 6, 2026
- Accounts · 0 to 2Sep 18, 2025 to Dec 5, 2025
- Advisory employees · 1 to 2Sep 18, 2025 to Dec 5, 2025
- Pooled vehicle clients · unset to 2.0Sep 18, 2025 to Dec 5, 2025
- Employees · 1 to 2Sep 18, 2025 to Dec 5, 2025
- Private funds · unset to 2Sep 18, 2025 to Dec 5, 2025
- Discretionary RAUM · $0 to $36.5MSep 18, 2025 to Dec 5, 2025
- Pooled vehicle RAUM · unset to 36450000.0Sep 18, 2025 to Dec 5, 2025
- RAUM · $0 to $36.5MSep 18, 2025 to Dec 5, 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
- 646-450-5521reportedpublic record, Form ADV, Mar 6, 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