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

N•••••• A•••••••• L••

Independent wealth managerCRD 338837SEC 801-134724websiteIAPD
Latest filing May 7, 2026
First filing on the tape Dec 2, 2025 · 4 filings
SEC status approved since Dec 16, 2025
RAUM
$2.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$2.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$2.6M as of May 7, 2026
Dec 2, 2025$0 then
HNW client RAUM$2.4M as of May 7, 2026
Dec 2, 2025$0 then
State-registered IARs (5.B.3)0 as of May 7, 2026
Dec 2, 20250 then
Employees (5.A)1 as of May 7, 2026
Dec 2, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 7, 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
$239,464derivedHNW RAUM over HNW clients
Average account
$184,081derivedRAUM 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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$2.4M93%
  • Individuals$151,6425.9%
  • Corporations and businesses$30,8551.2%
Individual clients
2reported
HNW clients
10reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
14reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.99 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• R••••••• L••••• · Chief Compliance Officercontrol
        since 01/2026 · owns less than 5%
      • C••••••••• S•••••••• S•••••• · Chief Executive Officercontrol
        since 05/2025 · owns less than 5%
      Entity owners
      • N•••••• I••• · Manager
        direct · 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
      • Accounts · 0 to 14
        Dec 2, 2025 to Feb 2, 2026
      • Corporate clients · 0 to 2
        Dec 2, 2025 to Feb 2, 2026
      • HNW clients · 2 to 10
        Dec 2, 2025 to Feb 2, 2026
      • Individual clients · 0 to 2
        Dec 2, 2025 to Feb 2, 2026
      • Financial planning clients · 1-10 to 0
        Dec 2, 2025 to Feb 2, 2026
      • Discretionary RAUM · $0 to $2.6M
        Dec 2, 2025 to Feb 2, 2026
      • HNW RAUM · $0 to $2.4M
        Dec 2, 2025 to Feb 2, 2026
      • Individual RAUM · $0 to $151,642
        Dec 2, 2025 to Feb 2, 2026
      • RAUM · $0 to $2.6M
        Dec 2, 2025 to Feb 2, 2026
      Signals
      1 dated events
      • R•••••• L••••• C•••, registered through V•••• W••••• P•••••••• L•• (New York, NY), is a direct owner of N•••••• A•••••••• L••, an adviser first registered 2025-12-02; 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 filing
        Dec 2, 2025 · Owner of a newly registered adviser · fact
      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
      Website
      r••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      425-736-6508reportedpublic record, Form ADV, May 7, 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
      Independent wealth managerderiveda 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