DFX Intelligence
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O•• L••
Independent wealth manager, reporting $1.3M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $1.3M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +44%
- Private clients
- 100% of RAUM, $1.3M
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $900,000RAUM now $1.3M
- Contact points 4
Every filed figure, and the identifiersCRD 136174 · SEC 801-64510 · 21 filingsShowHide
CRD 136174SEC 801-64510First filing on the tape Mar 30, 2012, latest Mar 17, 2026SEC status approved since Jul 27, 2005IAPD
RAUM
$1.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.3M as of Mar 17, 2026
Mar 30, 2012$2.5M then
HNW client RAUM$0 as of Mar 17, 2026
Mar 19, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Mar 30, 20120 then
Employees (5.A)1 as of Mar 17, 2026
Mar 4, 20132 then
Private funds: no history
RAUM +44% over the last fiscal year+21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $108,333derivedRAUM 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
- +44%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +50%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- Individuals$1.3M100%
- Individual clients
- 12reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 12reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• J••••• L••••• · Chief Compliance Officercontrolsince 06/2005 · 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
- Accounts · 8 to 12Mar 26, 2025 to Mar 17, 2026
- Individual clients · 8 to 12Mar 26, 2025 to Mar 17, 2026
- Discretionary RAUM · $895,000 to $1.3MMar 26, 2025 to Mar 17, 2026
- Individual RAUM · $900,000 to $1.3MMar 26, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $5,000 to $0Mar 26, 2025 to Mar 17, 2026
- RAUM · $900,000 to $1.3MMar 26, 2025 to Mar 17, 2026
- Accounts · 6 to 8Feb 19, 2024 to Mar 26, 2025
- Individual clients · 6 to 8Feb 19, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Feb 19, 2024 to Mar 26, 2025
- HQ city · unset to Feb 19, 2024 to Mar 26, 2025
- HQ state · unset to Feb 19, 2024 to Mar 26, 2025
- Discretionary RAUM · $810,000 to $895,000Feb 19, 2024 to Mar 26, 2025
- Individual RAUM · $810,000 to $900,000Feb 19, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $0 to $5,000Feb 19, 2024 to Mar 26, 2025
- RAUM · $810,000 to $900,000Feb 19, 2024 to Mar 26, 2025
- Accounts · 7 to 6Jun 27, 2023 to Feb 19, 2024
- Discretionary RAUM · $782,000 to $810,000Jun 27, 2023 to Feb 19, 2024
- Individual RAUM · $787,000 to $810,000Jun 27, 2023 to Feb 19, 2024
- Non-discretionary RAUM · $5,000 to $0Jun 27, 2023 to Feb 19, 2024
- RAUM · $787,000 to $810,000Jun 27, 2023 to Feb 19, 2024
- Accounts · 6 to 7Mar 1, 2023 to Jun 13, 2023
- Discretionary RAUM · $740,000 to $782,000Mar 1, 2023 to Jun 13, 2023
- Individual RAUM · $740,000 to $787,000Mar 1, 2023 to Jun 13, 2023
- Non-discretionary RAUM · $0 to $5,000Mar 1, 2023 to Jun 13, 2023
- RAUM · $740,000 to $787,000Mar 1, 2023 to Jun 13, 2023
- Related adviser · true to falseMar 1, 2023 to Jun 13, 2023
- Accounts · 8 to 6Mar 8, 2022 to Mar 1, 2023
- Individual clients · 8 to 6Mar 8, 2022 to Mar 1, 2023
- Discretionary RAUM · $780,000 to $740,000Mar 8, 2022 to Mar 1, 2023
- Individual RAUM · $780,000 to $740,000Mar 8, 2022 to Mar 1, 2023
- RAUM · $780,000 to $740,000Mar 8, 2022 to Mar 1, 2023
- Accounts · 9 to 8Mar 24, 2021 to Mar 8, 2022
- Individual clients · 9 to 8Mar 24, 2021 to Mar 8, 2022
- Discretionary RAUM · $730,000 to $780,000Mar 24, 2021 to Mar 8, 2022
- Individual RAUM · $730,000 to $780,000Mar 24, 2021 to Mar 8, 2022
- RAUM · $730,000 to $780,000Mar 24, 2021 to Mar 8, 2022
- Accounts · 5 to 9Jun 19, 2020 to Mar 24, 2021
- Advisory activities · 1 to 2Jun 19, 2020 to Mar 24, 2021
- Individual clients · 5 to 9Jun 19, 2020 to Mar 24, 2021
- Discretionary RAUM · $460,000 to $730,000Jun 19, 2020 to Mar 24, 2021
Signals
1 dated events
- ••• LockedDec 10, 2014 · Succession (Item 4) · 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 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 17, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 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