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
C•••• S••••••••• L••
Latest filing Aug 29, 2026
First filing on the tape Aug 21, 2025 · 5 filings
SEC status approved since Aug 26, 2025
RAUM
$825M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$413M
derived; firm RAUM over IAPD count
Employees
18
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$825M as of Aug 29, 2026
Aug 21, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 29, 2026
Aug 21, 20251 then
Employees (5.A)18 as of Aug 29, 2026
Aug 21, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 29, 2026; every figure names its basis
- RAUM per advisor
- $413MderivedRAUM 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
- $4.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 9.0derivedItem 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$825M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 197reported
- 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=true related_bank=false bd_reps=7.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H•••• B•••••• M•••••••• | Chicago, Il | Aug 26, 2025 | 11 y | 1 |
| V••••••• P••••••••• | San Francisco, Ca | Oct 21, 2025 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- H•••• B•••••• M•••••••• from B••• S••••••••• L••Aug 26, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••••• J••••••• · Chief Operating Officercontrolsince 08/2026 · owns less than 5%
- H••••••• I••••• W•••••• · Chief Executive Officercontrolsince 08/2026 · owns less than 5%
- K•••••• D•••••• M•••••• · Chief Compliance Officersince 07/2026 · owns less than 5%
Entity owners
- C•••• I•••••••• S•••••••• I••• · Parent Companydirect · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Aug 29, 2026broker-dealer affiliate (Item 7.A.1): no on the filing of 2026-03-31, yes on the filing of 2026-08-29peers: asset managers, $500M to $1B (784)
What changed
consecutive filings, newest first
- Accounts · 1 to 197Mar 31, 2026 to Aug 29, 2026
- Advisory employees · 1 to 5Mar 31, 2026 to Aug 29, 2026
- BD registered reps · 0 to 7Mar 31, 2026 to Aug 29, 2026
- Employees · 1 to 18Mar 31, 2026 to Aug 29, 2026
- Insurance-licensed employees · 1 to 0Mar 31, 2026 to Aug 29, 2026
- HQ city · SAN FRANCISCO to CHICAGOMar 31, 2026 to Aug 29, 2026
- HQ state · CA to ILMar 31, 2026 to Aug 29, 2026
- State-registered IARs · 1 to 0Mar 31, 2026 to Aug 29, 2026
- Discretionary RAUM · $10.0M to $825MMar 31, 2026 to Aug 29, 2026
- RAUM · $10.0M to $825MMar 31, 2026 to Aug 29, 2026
- Related broker-dealer · false to trueMar 31, 2026 to Aug 29, 2026
- Discretionary RAUM · $10.0M to $10.0MJan 15, 2026 to Mar 31, 2026
- RAUM · $10.0M to $10.0MJan 15, 2026 to Mar 31, 2026
- Accounts · 0 to 1Nov 19, 2025 to Jan 15, 2026
- Discretionary RAUM · $0 to $10.0MNov 19, 2025 to Jan 15, 2026
- RAUM · $0 to $10.0MNov 19, 2025 to Jan 15, 2026
- Financial planning clients · 0 to 0Aug 21, 2025 to Nov 19, 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
- Firm profile
- linkedin.com/company/corgiassetmanagementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- corgiinvest.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 855-552-6744reportedpublic record, Form ADV, Aug 29, 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
- $413Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026