DFX Intelligence
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C••••••••• W••••• M••••••••• L••
Independent wealth manager, reporting $358M of regulatory assets across 1 registered advisors.
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
- $358M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +16%
- Private clients
- 95% of RAUM, $338M
Form ADV
IAPD
IAPD registration history
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 $308MRAUM now $358M
- Contact points 3
Every filed figure, and the identifiersCRD 138925 · SEC 801-66651 · 24 filingsShowHide
CRD 138925SEC 801-66651First filing on the tape Jan 11, 2012, latest Feb 4, 2026SEC status approved since Apr 24, 2006IAPD
RAUM
$358M
reported, Item 5.F
Discretionary
41%
of RAUM
Private clients
95%
$338M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$358M
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
24 filings and snapshots on the tape
RAUM$358M as of Feb 4, 2026
Jan 11, 2012$106M then
HNW client RAUM$332M as of Feb 4, 2026
Feb 16, 2018$215M then
State-registered IARs (5.B.3)1 as of Feb 4, 2026
Jan 11, 20120 then
Employees (5.A)1 as of Feb 4, 2026
Jan 11, 20131 then
Private funds: no history
RAUM +16% over the last fiscal year+10% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 4, 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
- RAUM per advisor
- $358MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.9MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 41%derivedof RAUM
- Institutional
- 5.5%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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- High-net-worth individuals$332M93%
- Charitable organizations$19.7M5.5%
- Individuals$5.9M1.6%
- Individual clients
- 12reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 194reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• L••• D••••• | Los Angeles, Ca | May 24, 2006 | 31 y | 0 |
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
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• P•••••• L••• · Managing Member & Chief Compliance Officercontrolsince 01/2006 · 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 · 192 to 194Feb 14, 2025 to Feb 4, 2026
- Discretionary RAUM · $125M to $145MFeb 14, 2025 to Feb 4, 2026
- HNW RAUM · $284M to $332MFeb 14, 2025 to Feb 4, 2026
- Individual RAUM · $4.9M to $5.9MFeb 14, 2025 to Feb 4, 2026
- Non-discretionary RAUM · $183M to $213MFeb 14, 2025 to Feb 4, 2026
- RAUM · $308M to $358MFeb 14, 2025 to Feb 4, 2026
- Accounts · 198 to 192Jan 29, 2024 to Feb 14, 2025
- HNW clients · 62 to 56Jan 29, 2024 to Feb 14, 2025
- Individual clients · 9 to 12Jan 29, 2024 to Feb 14, 2025
- Financial planning clients · unset to Jan 29, 2024 to Feb 14, 2025
- HQ city · unset to Jan 29, 2024 to Feb 14, 2025
- HQ state · unset to Jan 29, 2024 to Feb 14, 2025
- Discretionary RAUM · $102M to $125MJan 29, 2024 to Feb 14, 2025
- HNW RAUM · $284M to $284MJan 29, 2024 to Feb 14, 2025
- Individual RAUM · $5.5M to $4.9MJan 29, 2024 to Feb 14, 2025
- Non-discretionary RAUM · $207M to $183MJan 29, 2024 to Feb 14, 2025
- RAUM · $309M to $308MJan 29, 2024 to Feb 14, 2025
- Accounts · 255 to 198Jan 24, 2023 to Jan 29, 2024
- HNW clients · 58 to 62Jan 24, 2023 to Jan 29, 2024
- Individual clients · 7 to 9Jan 24, 2023 to Jan 29, 2024
- Discretionary RAUM · $75.7M to $102MJan 24, 2023 to Jan 29, 2024
- HNW RAUM · $245M to $284MJan 24, 2023 to Jan 29, 2024
- Individual RAUM · $3.9M to $5.5MJan 24, 2023 to Jan 29, 2024
- Non-discretionary RAUM · $190M to $207MJan 24, 2023 to Jan 29, 2024
- RAUM · $265M to $309MJan 24, 2023 to Jan 29, 2024
- Accounts · 242 to 255Sep 7, 2022 to Jan 24, 2023
- Charity clients · 1.0 to unsetSep 7, 2022 to Jan 24, 2023
- HNW clients · 57 to 58Sep 7, 2022 to Jan 24, 2023
- Individual clients · 2 to 7Sep 7, 2022 to Jan 24, 2023
- Discretionary RAUM · $42.7M to $75.7MSep 7, 2022 to Jan 24, 2023
- HNW RAUM · $308M to $245MSep 7, 2022 to Jan 24, 2023
- Individual RAUM · $711,533 to $3.9MSep 7, 2022 to Jan 24, 2023
- Non-discretionary RAUM · $286M to $190MSep 7, 2022 to Jan 24, 2023
- RAUM · $329M to $265MSep 7, 2022 to Jan 24, 2023
- Accounts · 206 to 242Mar 8, 2021 to Jan 6, 2022
- HNW clients · 58 to 57Mar 8, 2021 to Jan 6, 2022
- Discretionary RAUM · $0 to $42.7MMar 8, 2021 to Jan 6, 2022
- HNW RAUM · $277M to $308MMar 8, 2021 to Jan 6, 2022
- Individual RAUM · $801,224 to $711,533Mar 8, 2021 to Jan 6, 2022
- Non-discretionary RAUM · $297M to $286MMar 8, 2021 to Jan 6, 2022
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
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Feb 4, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 4, 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
- $358Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026