DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A••••••••• R••••••• • M••••••••• I•••
Latest filing Mar 26, 2026
First filing on the tape Feb 13, 2012 · 18 filings
SEC status approved since Apr 13, 2004
RAUM
$126M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
59%
$74.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$126M as of Mar 26, 2026
Feb 13, 2012$102M then
HNW client RAUM$25.9M as of Mar 26, 2026
Mar 20, 2018$46.0M then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Feb 13, 20120 then
Employees (5.A)4 as of Mar 26, 2026
Mar 21, 20134 then
Private funds: no history
RAUM +14% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- 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
- $8.6MderivedHNW RAUM over HNW clients
- Average account
- $793,246derivedRAUM 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
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$52.0M41%
- Individuals$48.2M38%
- High-net-worth individuals$25.9M21%
- Individual clients
- 81reported
- HNW clients
- 3reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 159reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.59 fund_share=0.41 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J•••••• H••• · Chief Compliance Officercontrolsince 07/2013 · owns less than 5%
- R•••••• M••••••• P•••••• · Chief Financial Officercontrolsince 02/2005 · owns 50% to 75%
- R•••••• G••••••• A•••••••• · Presidentcontrolsince 03/2004 · owns 50% to 75%
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
- Individual clients · 77 to 81Mar 26, 2025 to Mar 26, 2026
- Accounts · 153 to 159Mar 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $111M to $126MMar 26, 2025 to Mar 26, 2026
- HNW RAUM · $22.6M to $25.9MMar 26, 2025 to Mar 26, 2026
- Individual RAUM · $46.1M to $48.2MMar 26, 2025 to Mar 26, 2026
- RAUM · $111M to $126MMar 26, 2025 to Mar 26, 2026
- Accounts · 138 to 153Mar 28, 2024 to Mar 26, 2025
- Individual clients · 71 to 77Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $93.8M to $111MMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $20.4M to $22.6MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $39.1M to $46.1MMar 28, 2024 to Mar 26, 2025
- RAUM · $93.8M to $111MMar 28, 2024 to Mar 26, 2025
- Accounts · 121 to 138Mar 29, 2023 to Mar 28, 2024
- Individual clients · 63 to 71Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $94.0M to $93.8MMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $20.0M to $20.4MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $37.7M to $39.1MMar 29, 2023 to Mar 28, 2024
- RAUM · $94.0M to $93.8MMar 29, 2023 to Mar 28, 2024
- Accounts · 119 to 121Mar 29, 2022 to Mar 29, 2023
- Individual clients · 62 to 63Mar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $102M to $94.0MMar 29, 2022 to Mar 29, 2023
- HNW RAUM · $20.1M to $20.0MMar 29, 2022 to Mar 29, 2023
- Individual RAUM · $37.6M to $37.7MMar 29, 2022 to Mar 29, 2023
- RAUM · $102M to $94.0MMar 29, 2022 to Mar 29, 2023
- Accounts · 107 to 119Mar 23, 2021 to Mar 29, 2022
- Individual clients · 58 to 62Mar 23, 2021 to Mar 29, 2022
- Discretionary RAUM · $109M to $102MMar 23, 2021 to Mar 29, 2022
- HNW RAUM · $20.4M to $20.1MMar 23, 2021 to Mar 29, 2022
- Individual RAUM · $33.3M to $37.6MMar 23, 2021 to Mar 29, 2022
- RAUM · $109M to $102MMar 23, 2021 to Mar 29, 2022
- Accounts · 102 to 107Jun 30, 2020 to Mar 23, 2021
- HNW clients · 1 to 3Jun 30, 2020 to Mar 23, 2021
- Individual clients · 56 to 58Jun 30, 2020 to Mar 23, 2021
- Discretionary RAUM · $104M to $109MJun 30, 2020 to Mar 23, 2021
- HNW RAUM · $6.0M to $20.4MJun 30, 2020 to Mar 23, 2021
- Individual RAUM · $34.0M to $33.3MJun 30, 2020 to Mar 23, 2021
- RAUM · $104M to $109MJun 30, 2020 to Mar 23, 2021
- Accounts · 99 to 102Mar 1, 2019 to Mar 27, 2020
- BD registered reps · 1 to 0Mar 1, 2019 to Mar 27, 2020
Signals
2 dated events
- A••••••••• R••••••• • M••••••••• I••• reported RAUM $104.0M, down 52% from $215.0M (2019-03-01 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- (Nmn) Louis Morizio (Shareholder) no longer on Schedule A of A••••••••• R••••••• • M••••••••• I••• (listed 2018-03-20, absent 2019-03-01)Mar 1, 2019 · Control person left · inference
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
- 440-526-4446reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 440-922-0066reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 518-690-0470reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- A•••••••••FUNDS.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 518 690-0470reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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