DFX Intelligence

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3•• C•••• I•••••••••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $205M of regulatory assets across 4 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-01-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $205M
Advisors: 4
Net advisor flow, 12 months: 0
RAUM change, 1 year: +26%
Private clients: 81%

See where advisers went See teams that moved

Advisors (4)Where the RAUM sits

As of 2026-01-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 23 Jan 2026, RAUM $162M to $205M (+26.1%) on the Form ADV filed 23 Jan 2026, while advisors on the filing rose 3 to 4.

Every filed figure, and the identifiersCRD 115945 · SEC 801-120802 · 16 filingsShow

CRD 115945SEC 801-120802Legal name 3•• C•••• I••••••••• I•••First filing on the tape Mar 20, 2012, latest Jan 23, 2026SEC status approved since Apr 15, 2021IAPD

RAUM

$205M

reported, Item 5.F

Discretionary

90%

of RAUM

Private clients

81%

$166M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$51.2M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM +22% a year over three years · the tape starts Mar 20, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$205M as of Jan 23, 2026

May 7, 2012$60.0M then

HNW client RAUM$147M as of Jan 23, 2026

Mar 31, 2021$70.1M then

State-registered IARs (5.B.3)4 as of Jan 23, 2026

May 7, 20120 then

Employees (5.A)4 as of Jan 23, 2026

Mar 31, 20213 then

Private funds: no history

RAUM +26% over the last fiscal year+22% a year over threeIARs 3 to 4

Practice profile

derived from the filing of Jan 23, 2026; every figure names its basis

Archetypes

HNW wealth manager

The rule behind each archetype, and every derived figure1 ruleShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent

RAUM per advisor: $51.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 25derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.5MderivedHNW RAUM over HNW clients
Average account: $470,064derivedRAUM over accounts (5.F.2.f)
Discretionary: 90%derivedof RAUM
Institutional: 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 4.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +26%derivedbetween the last two annual amendments
Advisor growth, one year: +33%derivedItem 5.B.3 between annual amendments
Client growth, one year: +33%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody: $4.0M, 1 clientreportedItem 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

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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

72% high-net-worth individuals, 18% charitable organizations, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow

High-net-worth individuals$147M72%
Charitable organizations$37.4M18%
Individuals$19.5M9.5%
Corporations and businesses$1.2M0.6%
Pension and profit-sharing plans$91,1290.0%

Individual clients: 58reported
HNW clients: 42reported
Pension plan clients: n/areported
Charitable clients: 8reported
Accounts: 436reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $4.0M for 1 clientreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 81% private clients, 0% pooled funds, 18% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

4 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
H••••• E••••• K••••••••	Incline Village, Nv	May 1, 2012	16 y	0
D••• B•••••• S••••••	Incline Village, Nv	Jun 15, 2012	31 y	1
G••• L••••• S••••••Certified Financial Planner	Incline Village, Nv	Jun 5, 2015	11 y	0
C•••••••• L••• J••••••	Reno, Nv	Jul 21, 2025	11 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••••• D•••• B•••••• · Presidentcontrol
since 09/2001 · owns 75% or more
K••••••••• H•••••• E••••• · Investment Advisor Representative
since 06/2011 · owns less than 5%
S••••••• G•••• L••••• · Investment Advisor Representative / Chief Compliance Officer
since 02/2015 · owns less than 5%

Related persons

Schedule D 7.A

D••• B• S••••••• C••
insurancey

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Incline Village, Nv	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 334 to 436
May 29, 2025 to Jan 23, 2026
Advisory employees · 3 to 4
May 29, 2025 to Jan 23, 2026
HNW clients · 29 to 42
May 29, 2025 to Jan 23, 2026
Individual clients · 46 to 58
May 29, 2025 to Jan 23, 2026
Assets in custody · $4.5M to $4.0M
May 29, 2025 to Jan 23, 2026

Full history · 80 changes

Employees · 3 to 4
May 29, 2025 to Jan 23, 2026
State-registered IARs · 3 to 4
May 29, 2025 to Jan 23, 2026
Discretionary RAUM · $145M to $184M
May 29, 2025 to Jan 23, 2026
HNW RAUM · $109M to $147M
May 29, 2025 to Jan 23, 2026
Individual RAUM · $16.8M to $19.5M
May 29, 2025 to Jan 23, 2026
Non-discretionary RAUM · $17.7M to $21.2M
May 29, 2025 to Jan 23, 2026
Pension RAUM · $52,119 to $91,129
May 29, 2025 to Jan 23, 2026
RAUM · $162M to $205M
May 29, 2025 to Jan 23, 2026
Financial planning clients · 0 to 0
Mar 10, 2025 to May 29, 2025
Accounts · 306 to 334
Jan 24, 2024 to Mar 10, 2025
Charity clients · 7 to 8
Jan 24, 2024 to Mar 10, 2025
HNW clients · 27 to 29
Jan 24, 2024 to Mar 10, 2025
Individual clients · 48 to 46
Jan 24, 2024 to Mar 10, 2025
Assets in custody · $4.5M to $4.5M
Jan 24, 2024 to Mar 10, 2025
HQ city · INCLINE VILLAGE to
Jan 24, 2024 to Mar 10, 2025
HQ state · NV to
Jan 24, 2024 to Mar 10, 2025
Discretionary RAUM · $117M to $145M
Jan 24, 2024 to Mar 10, 2025
HNW RAUM · $82.3M to $109M
Jan 24, 2024 to Mar 10, 2025
Individual RAUM · $15.3M to $16.8M
Jan 24, 2024 to Mar 10, 2025
Non-discretionary RAUM · $12.5M to $17.7M
Jan 24, 2024 to Mar 10, 2025
Pension RAUM · $19,896 to $52,119
Jan 24, 2024 to Mar 10, 2025
RAUM · $129M to $162M
Jan 24, 2024 to Mar 10, 2025
Accounts · 281 to 306
Jan 25, 2023 to Jan 24, 2024
Charity clients · 6 to 7
Jan 25, 2023 to Jan 24, 2024
HNW clients · 26 to 27
Jan 25, 2023 to Jan 24, 2024
Individual clients · 46 to 48
Jan 25, 2023 to Jan 24, 2024
Assets in custody · $5.1M to $4.5M
Jan 25, 2023 to Jan 24, 2024
Financial planning clients · 1-10 to 0
Jan 25, 2023 to Jan 24, 2024
Discretionary RAUM · $102M to $117M
Jan 25, 2023 to Jan 24, 2024
HNW RAUM · $71.0M to $82.3M
Jan 25, 2023 to Jan 24, 2024
Individual RAUM · $11.5M to $15.3M
Jan 25, 2023 to Jan 24, 2024
Non-discretionary RAUM · $9.3M to $12.5M
Jan 25, 2023 to Jan 24, 2024
Pension RAUM · $211,995 to $19,896
Jan 25, 2023 to Jan 24, 2024
RAUM · $112M to $129M
Jan 25, 2023 to Jan 24, 2024
Accounts · 234 to 281
Jan 20, 2023 to Jan 25, 2023
HNW clients · 22 to 26
Jan 20, 2023 to Jan 25, 2023
Individual clients · 50 to 46
Jan 20, 2023 to Jan 25, 2023
Assets in custody · $6.4M to $5.1M
Jan 20, 2023 to Jan 25, 2023
Discretionary RAUM · $123M to $102M
Jan 20, 2023 to Jan 25, 2023
HNW RAUM · $68.7M to $71.0M
Jan 20, 2023 to Jan 25, 2023
Individual RAUM · $25.1M to $11.5M
Jan 20, 2023 to Jan 25, 2023
Non-discretionary RAUM · $9.2M to $9.3M
Jan 20, 2023 to Jan 25, 2023
Pension RAUM · unset to 211995.0
Jan 20, 2023 to Jan 25, 2023
RAUM · $132M to $112M
Jan 20, 2023 to Jan 25, 2023
Accounts · 213 to 234
Jul 19, 2021 to Feb 11, 2022
Charity clients · 5 to 6
Jul 19, 2021 to Feb 11, 2022
HNW clients · 10 to 22
Jul 19, 2021 to Feb 11, 2022
Individual clients · 76 to 50
Jul 19, 2021 to Feb 11, 2022
Assets in custody · $7.7M to $6.4M
Jul 19, 2021 to Feb 11, 2022
Financial planning clients · 11-25 to 1-10
Jul 19, 2021 to Feb 11, 2022
Discretionary RAUM · $114M to $123M
Jul 19, 2021 to Feb 11, 2022
HNW RAUM · $70.1M to $68.7M
Jul 19, 2021 to Feb 11, 2022
Individual RAUM · $28.3M to $25.1M
Jul 19, 2021 to Feb 11, 2022
Non-discretionary RAUM · $0 to $9.2M
Jul 19, 2021 to Feb 11, 2022
Pension RAUM · 396.0 to unset
Jul 19, 2021 to Feb 11, 2022
RAUM · $114M to $132M
Jul 19, 2021 to Feb 11, 2022
HQ city · unset to INCLINE VILLAGE
Jul 19, 2021 to Jul 19, 2021
HQ state · unset to NV
Jul 19, 2021 to Jul 19, 2021
Accounts · 43 to 213
May 31, 2012 to Mar 16, 2021
Advisory employees · unset to 3.0
May 31, 2012 to Mar 16, 2021
Advisory activities · 2 to 4
May 31, 2012 to Mar 16, 2021
Business name · T•••• C•••• I••••••••• to 3•• C•••• I•••••••••
May 31, 2012 to Mar 16, 2021
Charity clients · unset to 5.0
May 31, 2012 to Mar 16, 2021
HNW clients · unset to 10.0
May 31, 2012 to Mar 16, 2021
Individual clients · unset to 76.0
May 31, 2012 to Mar 16, 2021
Assets in custody · $30,000 to $7.7M
May 31, 2012 to Mar 16, 2021
Employees · unset to 3.0
May 31, 2012 to Mar 16, 2021
Financial planning clients · 0 to 11-25
May 31, 2012 to Mar 16, 2021
State-registered IARs · 0 to 3
May 31, 2012 to Mar 16, 2021
Legal name · T•••• C•••• I•••••••••, INC. to 3•• C•••• I••••••••• I•••
May 31, 2012 to Mar 16, 2021
Other offices · unset to 0.0
May 31, 2012 to Mar 16, 2021
Discretionary RAUM · $60.0M to $114M
May 31, 2012 to Mar 16, 2021
HNW RAUM · unset to 70082200.0
May 31, 2012 to Mar 16, 2021
Individual RAUM · unset to 28271070.0
May 31, 2012 to Mar 16, 2021
Pension RAUM · unset to 396.0
May 31, 2012 to Mar 16, 2021

Signals

1 dated events

••• Locked
Mar 16, 2021 · First SEC registration · 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

Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jan 23, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jan 23, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $51.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026