DFX Intelligence

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SEC-registered adviser

A• J• P•••• • C••

Independent wealth managerTowson, MarylandCRD 107041SEC 801-134868IAPD
Legal name A• J• P•••• • C••••••• I•••
Latest filing Feb 18, 2026
First filing on the tape Dec 16, 2011 · 10 filings
SEC status approved since Jan 8, 2026
RAUM
$109M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
96%
$104M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$109M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$109M as of Feb 18, 2026
Apr 4, 2012$57.8M then
HNW client RAUM$89.9M as of Feb 18, 2026
Dec 8, 2025$90.6M then
State-registered IARs (5.B.3)1 as of Feb 18, 2026
Apr 4, 20120 then
Employees (5.A)2 as of Feb 18, 2026
Dec 8, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 18, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$109MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
95derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 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
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$204,731, 44 clientsreportedItem 9.A
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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$89.9M83%
  • Individuals$14.4M13%
  • Pension and profit-sharing plans$3.5M3.2%
  • Corporations and businesses$915,4080.8%
Individual clients
57reported
HNW clients
38reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
97reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$204,731 for 44 clientsreported
Compensation
% of AUMreported
Class basis
private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
P••• F•••••• N••••••Towson, MdJan 1, 202639 y2
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • N••••••• P•••• F•••••• · President / Ownercontrol
        since 09/2010 · owns 25% to 50%
      • P••••• W••••••• A••••• · Portfolio Manager / Ownercontrol
        since 09/2010 · owns 50% to 75%
      • S••••• W•••••• C••••• · Chief Compliance Officercontrol
        since 12/2005 · 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.
      What changed
      consecutive filings, newest first
      • Accounts · 91 to 97
        Dec 8, 2025 to Feb 18, 2026
      • Individual clients · 51 to 57
        Dec 8, 2025 to Feb 18, 2026
      • Discretionary RAUM · $106M to $105M
        Dec 8, 2025 to Feb 18, 2026
      • HNW RAUM · $90.6M to $89.9M
        Dec 8, 2025 to Feb 18, 2026
      • Individual RAUM · $13.9M to $14.4M
        Dec 8, 2025 to Feb 18, 2026
      • Non-discretionary RAUM · $3.5M to $3.5M
        Dec 8, 2025 to Feb 18, 2026
      • Pension RAUM · $3.5M to $3.5M
        Dec 8, 2025 to Feb 18, 2026
      • RAUM · $109M to $109M
        Dec 8, 2025 to Feb 18, 2026
      • Accounts · 287 to 91
        May 4, 2012 to Dec 8, 2025
      • Advisory employees · unset to 1.0
        May 4, 2012 to Dec 8, 2025
      • Corporate clients · unset to 1.0
        May 4, 2012 to Dec 8, 2025
      • HNW clients · unset to 38.0
        May 4, 2012 to Dec 8, 2025
      • Individual clients · unset to 51.0
        May 4, 2012 to Dec 8, 2025
      • Pension plan clients · unset to 1.0
        May 4, 2012 to Dec 8, 2025
      • Assets in custody · $166,441 to $204,731
        May 4, 2012 to Dec 8, 2025
      • Employees · unset to 2.0
        May 4, 2012 to Dec 8, 2025
      • Financial planning clients · unset to
        May 4, 2012 to Dec 8, 2025
      • HQ city · BALTIMORE to TOWSON
        May 4, 2012 to Dec 8, 2025
      • State-registered IARs · 0 to 1
        May 4, 2012 to Dec 8, 2025
      • Other offices · unset to 0.0
        May 4, 2012 to Dec 8, 2025
      • Discretionary RAUM · $56.0M to $106M
        May 4, 2012 to Dec 8, 2025
      • HNW RAUM · unset to 90637150.0
        May 4, 2012 to Dec 8, 2025
      • Individual RAUM · unset to 13947565.0
        May 4, 2012 to Dec 8, 2025
      • Non-discretionary RAUM · $1.8M to $3.5M
        May 4, 2012 to Dec 8, 2025
      • Pension RAUM · unset to 3525734.0
        May 4, 2012 to Dec 8, 2025
      • RAUM · $57.8M to $109M
        May 4, 2012 to Dec 8, 2025
      • Assets in custody · unset to 166441.0
        Apr 4, 2012 to May 4, 2012
      • Custody of client assets · false to true
        Apr 4, 2012 to May 4, 2012
      • Accounts · 251 to 287
        Mar 16, 2012 to Apr 4, 2012
      • Discretionary RAUM · $57.3M to $56.0M
        Mar 16, 2012 to Apr 4, 2012
      • Non-discretionary RAUM · $2.2M to $1.8M
        Mar 16, 2012 to Apr 4, 2012
      • RAUM · $59.5M to $57.8M
        Mar 16, 2012 to Apr 4, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 16, 2011 to Mar 16, 2012
      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
      410-539-1144reportedpublic record, Form ADV, Feb 18, 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
      $109Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026