DFX Intelligence

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Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $195M of regulatory assets across 2 registered advisors.

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

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $195M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +16%
Private clients: 100%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+16.2%
RAUM, one year
RAUM $168M to $195M (+16.2%) on the Form ADV filed 30 Mar 2026, while advisors on the filing held at 2.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 121045 · SEC 801-130214 · 7 filingsShow

CRD 121045SEC 801-130214First filing on the tape Apr 4, 2024, latest Mar 30, 2026SEC status approved since Jun 5, 2024IAPD

RAUM

$195M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$195M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$97.3M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

7 filings and snapshots on the tape

RAUM +16% over the last fiscal year · the tape starts Apr 4, 2024

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

RAUM$195M as of Mar 30, 2026

Apr 18, 2025$168M then

HNW client RAUM$174M as of Mar 30, 2026

Apr 18, 2025$115M then

State-registered IARs (5.B.3)2 as of Mar 30, 2026

Apr 18, 20252 then

Employees (5.A)2 as of Mar 30, 2026

Apr 18, 20252 then

Private funds: no history

RAUM +16% over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

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, and at most 25 employees (Item 5.A)

RAUM per advisor: $97.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 87derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.7MderivedHNW RAUM over HNW clients
Average account: $638,276derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +16%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +8.8%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Custody: $1.7M, 2 clientsreportedItem 9.A
Ownership: controlled by a public reporting companyderived
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)
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)
controlled by a public reporting company (10.A)

Where the RAUM sits

Form ADV Item 5.D, latest filing

89% high-net-worth individuals, 11% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$174M89%
Individuals$21.0M11%

Individual clients: 71reported
HNW clients: 102reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 305reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: $1.7M for 2 clientsreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% 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

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
D•••••• A•••••	Reno, Nv	Jul 21, 2017	32 y	0
L••• J•••••••• A•••••Certified Financial Planner	Reno, Nv	Dec 20, 2022	11 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A•••••• D•••••• · Ownercontrol
since 04/1994 · owns 75% or more
A•••••• L•••• J•••••••• · Cco
since 02/2022 · owns 25% to 50%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Reno, Nv	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

HNW share shiftChange between filings · filing Mar 30, 2026
HNW share of RAUM moved from 68.0% to 89.0% between the annual amendments of 2025-04-18 and 2026-03-30
peers: independent wealth managers, $100M to $500M (5,683)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 312 to 305
Jan 30, 2026 to Mar 30, 2026
BD registered reps · 2 to 0
Jan 30, 2026 to Mar 30, 2026
HNW clients · 44 to 102
Jan 30, 2026 to Mar 30, 2026
Individual clients · 115 to 71
Jan 30, 2026 to Mar 30, 2026
Financial planning clients · 11-25 to 26-50
Jan 30, 2026 to Mar 30, 2026

Full history · 23 changes

Discretionary RAUM · $168M to $195M
Jan 30, 2026 to Mar 30, 2026
HNW RAUM · $115M to $174M
Jan 30, 2026 to Mar 30, 2026
Individual RAUM · $46.8M to $21.0M
Jan 30, 2026 to Mar 30, 2026
Pension RAUM · 6000000.0 to unset
Jan 30, 2026 to Mar 30, 2026
RAUM · $168M to $195M
Jan 30, 2026 to Mar 30, 2026
Accounts · 273 to 312
May 31, 2024 to Apr 18, 2025
BD registered reps · 0 to 2
May 31, 2024 to Apr 18, 2025
HNW clients · 40 to 44
May 31, 2024 to Apr 18, 2025
Individual clients · 114 to 115
May 31, 2024 to Apr 18, 2025
Financial planning clients · 11-25 to 11-25
May 31, 2024 to Apr 18, 2025
HQ city · unset to
May 31, 2024 to Apr 18, 2025
HQ state · unset to
May 31, 2024 to Apr 18, 2025
Discretionary RAUM · $156M to $168M
May 31, 2024 to Apr 18, 2025
HNW RAUM · $126M to $115M
May 31, 2024 to Apr 18, 2025
Individual RAUM · $25.0M to $46.8M
May 31, 2024 to Apr 18, 2025
Pension RAUM · $5.7M to $6.0M
May 31, 2024 to Apr 18, 2025
RAUM · $156M to $168M
May 31, 2024 to Apr 18, 2025
Financial planning clients · 1-10 to 11-25
Apr 23, 2024 to Apr 25, 2024

Signals

1 dated events

••• Locked
Apr 4, 2024 · 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

Website: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 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: $97.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026