DFX Intelligence
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M••• A•••••••• I•••
Independent wealth manager, based in Palo Alto, California, reporting $138M 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
- $138M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +19%
- Private clients
- 100% of RAUM, $138M
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 $116MRAUM now $138M
- Contact points 2
Every filed figure, and the identifiersCRD 144325 · SEC 801-129758 · 6 filingsShowHide
CRD 144325SEC 801-129758First filing on the tape Feb 23, 2024, latest May 12, 2026SEC status approved since Mar 22, 2024IAPD
RAUM
$138M
reported, Item 5.F
Discretionary
48%
of RAUM
Private clients
100%
$138M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$138M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$138M as of May 12, 2026
Jan 17, 2025$116M then
HNW client RAUM$137M as of May 12, 2026
Jan 17, 2025$107M then
State-registered IARs (5.B.3)1 as of May 12, 2026
Jan 17, 20251 then
Employees (5.A)1 as of May 12, 2026
Jan 17, 20251 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of May 12, 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
- $138MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $880,502derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 48%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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$137M99%
- Individuals$1.3M0.9%
- Individual clients
- n/areported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 157reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••• N••••Certified Financial Planner | Menlo Park, Ca | Jun 2, 2010 | 19 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
- N••••• L••••• · Chief Executive Officer, Chief Compliance Officercontrolsince 01/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- RAUM · $116M to $138MJun 12, 2025 to Feb 2, 2026
- HNW clients · 41 to 39Jun 12, 2025 to Feb 2, 2026
- Discretionary RAUM · $56.0M to $66.7MJun 12, 2025 to Feb 2, 2026
- HNW RAUM · $107M to $137MJun 12, 2025 to Feb 2, 2026
- Individual RAUM · $1.0M to $1.3MJun 12, 2025 to Feb 2, 2026
- Non-discretionary RAUM · $60.2M to $71.5MJun 12, 2025 to Feb 2, 2026
- Financial planning clients · 1-10 to 1-10Jan 17, 2025 to Jun 12, 2025
- Accounts · 160 to 157Nov 12, 2024 to Jan 17, 2025
- Financial planning clients · 11-25 to 1-10Nov 12, 2024 to Jan 17, 2025
- Discretionary RAUM · $48.9M to $56.0MNov 12, 2024 to Jan 17, 2025
- HNW RAUM · $93.4M to $107MNov 12, 2024 to Jan 17, 2025
- Individual RAUM · $3.2M to $1.0MNov 12, 2024 to Jan 17, 2025
- Non-discretionary RAUM · $54.8M to $60.2MNov 12, 2024 to Jan 17, 2025
- RAUM · $104M to $116MNov 12, 2024 to Jan 17, 2025
- Other offices · 0 to 1Feb 23, 2024 to Nov 12, 2024
Signals
1 dated events
- ••• LockedFeb 23, 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, May 12, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, May 12, 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
- $138Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026