DFX Intelligence

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SEC-registered adviser

S•••••••• M•••• M••••••••• I••

Other adviserCRD 109668SEC 801-15538IAPD
Latest filing Feb 23, 2026
First filing on the tape Feb 23, 2012 · 16 filings
SEC status approved since Aug 4, 1980
RAUM
$288M
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
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$288M as of Feb 23, 2026
Feb 23, 2012$128M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 23, 2026
Feb 23, 20120 then
Employees (5.A)2 as of Feb 23, 2026
Jan 24, 20131 then
Private funds: no history
RAUM -0.0% over the last fiscal year+3.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 23, 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
$57.6MderivedRAUM 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
-0.0%derivedbetween 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 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.0 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
      • N••••• B••••• S•••••• · Ceo, Cfo, Coo, Clocontrol
        since 06/1980 · 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
      • Discretionary RAUM · $288M to $288M
        Apr 24, 2025 to Feb 23, 2026
      • RAUM · $288M to $288M
        Apr 24, 2025 to Feb 23, 2026
      • Employees · 1 to 2
        Feb 27, 2024 to Apr 24, 2025
      • Financial planning clients · unset to
        Feb 27, 2024 to Apr 24, 2025
      • HQ city · unset to
        Feb 27, 2024 to Apr 24, 2025
      • HQ state · unset to
        Feb 27, 2024 to Apr 24, 2025
      • State-registered IARs · 1 to 0
        Feb 27, 2024 to Apr 24, 2025
      • Discretionary RAUM · $258M to $288M
        Mar 10, 2023 to Feb 27, 2024
      • RAUM · $258M to $288M
        Mar 10, 2023 to Feb 27, 2024
      • Discretionary RAUM · $240M to $258M
        Mar 2, 2022 to Mar 10, 2023
      • RAUM · $240M to $258M
        Mar 2, 2022 to Mar 10, 2023
      • Discretionary RAUM · $228M to $240M
        Jan 27, 2021 to Mar 2, 2022
      • RAUM · $228M to $240M
        Jan 27, 2021 to Mar 2, 2022
      • Discretionary RAUM · $220M to $228M
        Jan 14, 2020 to Jan 27, 2021
      • RAUM · $220M to $228M
        Jan 14, 2020 to Jan 27, 2021
      • Discretionary RAUM · $180M to $220M
        Jan 23, 2019 to Jan 14, 2020
      • RAUM · $180M to $220M
        Jan 23, 2019 to Jan 14, 2020
      • Discretionary RAUM · $161M to $180M
        Jan 25, 2018 to Jan 23, 2019
      • RAUM · $161M to $180M
        Jan 25, 2018 to Jan 23, 2019
      • Other offices · unset to 0.0
        Feb 3, 2017 to Jan 25, 2018
      • Discretionary RAUM · $150M to $161M
        Feb 3, 2017 to Jan 25, 2018
      • RAUM · $150M to $161M
        Feb 3, 2017 to Jan 25, 2018
      • Discretionary RAUM · $130M to $150M
        Jan 25, 2016 to Feb 3, 2017
      • RAUM · $130M to $150M
        Jan 25, 2016 to Feb 3, 2017
      • Discretionary RAUM · $111M to $130M
        Feb 2, 2015 to Jan 25, 2016
      • RAUM · $111M to $130M
        Feb 2, 2015 to Jan 25, 2016
      • Discretionary RAUM · $101M to $111M
        Feb 11, 2014 to Feb 2, 2015
      • RAUM · $101M to $111M
        Feb 11, 2014 to Feb 2, 2015
      • Accounts · 6 to 5
        Jan 24, 2013 to Feb 11, 2014
      • Discretionary RAUM · $108M to $101M
        Jan 24, 2013 to Feb 11, 2014
      • RAUM · $108M to $101M
        Jan 24, 2013 to Feb 11, 2014
      • Accounts · 8 to 6
        Oct 29, 2012 to Jan 24, 2013
      • Discretionary RAUM · $128M to $108M
        Oct 29, 2012 to Jan 24, 2013
      • RAUM · $128M to $108M
        Oct 29, 2012 to Jan 24, 2013
      • Advisory employees · unset to 1.0
        Feb 23, 2012 to Oct 29, 2012
      • Employees · unset to 1.0
        Feb 23, 2012 to Oct 29, 2012
      • State-registered IARs · 0 to 1
        Feb 23, 2012 to Oct 29, 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
      725-780-4170reportedpublic record, Form ADV, Feb 23, 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
      Other adviserderiveda 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