DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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SEC-registered adviser

P•••••• W••••• M••••••••• L••

Independent wealth managerCRD 137770SEC 801-134813IAPD
Latest filing Mar 3, 2026
First filing on the tape Oct 23, 2025 · 2 filings
SEC status approved since Nov 25, 2025
RAUM
$126M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$126M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$126M
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
2 filings and snapshots on the tape
RAUM$126M as of Mar 3, 2026
Oct 23, 2025$123M then
HNW client RAUM$125M as of Mar 3, 2026
Oct 23, 2025$122M then
State-registered IARs (5.B.3)1 as of Mar 3, 2026
Oct 23, 20251 then
Employees (5.A)1 as of Mar 3, 2026
Oct 23, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
  • uhnw p•••••• wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
RAUM per advisor
$126MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
12derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$15.6MderivedHNW RAUM over HNW clients
Average account
$4.9MderivedRAUM 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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$101M, 1 clientsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$125M99%
  • Individuals$1.5M1.2%
Individual clients
4reported
HNW clients
8reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
26reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$101M for 1 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D••• M•••••• B•••••Las Vegas, NvMay 27, 201128 y4
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• D•••• M•••••• · Managing Member And Chief Compliance Officercontrol
      since 10/2005 · 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.
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • compensation changedChange between filings · filing Mar 3, 2026
      hourly charges (Item 5.E.2): no on the filing of 2025-10-23, yes on the filing of 2026-03-03
      peers: independent wealth managers, $100M to $500M (5,678)
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 23 to 26
      Oct 23, 2025 to Mar 3, 2026
    • HNW clients · 7 to 8
      Oct 23, 2025 to Mar 3, 2026
    • Assets in custody · $87.4M to $101M
      Oct 23, 2025 to Mar 3, 2026
    • Financial planning clients · to 0
      Oct 23, 2025 to Mar 3, 2026
    • Discretionary RAUM · $123M to $126M
      Oct 23, 2025 to Mar 3, 2026
    • HNW RAUM · $122M to $125M
      Oct 23, 2025 to Mar 3, 2026
    • Individual RAUM · $1.2M to $1.5M
      Oct 23, 2025 to Mar 3, 2026
    • RAUM · $123M to $126M
      Oct 23, 2025 to Mar 3, 2026
    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
    (702) 734-1475reportedpublic record, Form ADV, Mar 3, 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
    $126Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026