DFX Intelligence
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F•••••••• I••••••••• S•••••••• L••
Independent wealth manager, reporting $259M of regulatory assets across 2 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
- $259M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +17%
- Private clients
- 100% of RAUM, $259M
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 $220MRAUM now $259M
- Contact points 2
Every filed figure, and the identifiersCRD 145269 · SEC 801-125970 · 11 filingsShowHide
CRD 145269SEC 801-125970First filing on the tape May 26, 2022, latest Apr 7, 2026SEC status approved since Jun 27, 2022IAPD
RAUM
$259M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$259M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$259M as of Apr 7, 2026
Mar 17, 2023$142M then
HNW client RAUM$137M as of Apr 7, 2026
Mar 17, 2023$58.3M then
State-registered IARs (5.B.3)2 as of Apr 7, 2026
Mar 17, 20231 then
Employees (5.A)4 as of Apr 7, 2026
Mar 17, 20232 then
Private funds: no history
RAUM +17% over the last fiscal year+22% a year over threeIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Apr 7, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 166derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $267,800derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$137M53%
- Individuals$122M47%
- Individual clients
- 282reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 966reported
- Financial planning clients
- reported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• G•••••• S••••Certified Financial Planner | Las Vegas, Nv | Jul 5, 2022 | 33 y | 0 |
| H••••• R••• S•••• | Las Vegas, Nv | Dec 10, 2024 | 11 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
- S••••• D••••• G•••••• · Managing Member/Chief Compliance Officercontrolsince 12/2007 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Las Vegas, Nv | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 947 to 966Mar 6, 2025 to Feb 12, 2026
- HNW clients · 49 to 50Mar 6, 2025 to Feb 12, 2026
- Individual clients · 281 to 282Mar 6, 2025 to Feb 12, 2026
- Employees · 3 to 4Mar 6, 2025 to Feb 12, 2026
- Other offices · 1 to 2Mar 6, 2025 to Feb 12, 2026
- Discretionary RAUM · $220M to $259MMar 6, 2025 to Feb 12, 2026
- HNW RAUM · $114M to $137MMar 6, 2025 to Feb 12, 2026
- Individual RAUM · $107M to $122MMar 6, 2025 to Feb 12, 2026
- RAUM · $220M to $259MMar 6, 2025 to Feb 12, 2026
- Financial planning clients · unset to Feb 24, 2025 to Mar 6, 2025
- Accounts · 809 to 947Nov 4, 2024 to Feb 24, 2025
- Advisory employees · 1 to 2Nov 4, 2024 to Feb 24, 2025
- HNW clients · 47 to 49Nov 4, 2024 to Feb 24, 2025
- Individual clients · 270 to 281Nov 4, 2024 to Feb 24, 2025
- Employees · 2 to 3Nov 4, 2024 to Feb 24, 2025
- HQ city · unset to Nov 4, 2024 to Feb 24, 2025
- HQ state · unset to Nov 4, 2024 to Feb 24, 2025
- State-registered IARs · 1 to 2Nov 4, 2024 to Feb 24, 2025
- Other offices · 0 to 1Nov 4, 2024 to Feb 24, 2025
- Discretionary RAUM · $173M to $220MNov 4, 2024 to Feb 24, 2025
- HNW RAUM · $88.7M to $114MNov 4, 2024 to Feb 24, 2025
- Individual RAUM · $84.5M to $107MNov 4, 2024 to Feb 24, 2025
- RAUM · $173M to $220MNov 4, 2024 to Feb 24, 2025
- Accounts · 791 to 809Nov 20, 2023 to Feb 20, 2024
- BD registered reps · 1 to 0Nov 20, 2023 to Feb 20, 2024
- HNW clients · 58 to 47Nov 20, 2023 to Feb 20, 2024
- Individual clients · 345 to 270Nov 20, 2023 to Feb 20, 2024
- Assets in custody · 0.0 to unsetNov 20, 2023 to Feb 20, 2024
- Discretionary RAUM · $142M to $173MNov 20, 2023 to Feb 20, 2024
- HNW RAUM · $58.3M to $88.7MNov 20, 2023 to Feb 20, 2024
- Individual RAUM · $83.6M to $84.5MNov 20, 2023 to Feb 20, 2024
- RAUM · $142M to $173MNov 20, 2023 to Feb 20, 2024
- Other offices · 1 to 0Apr 19, 2023 to Nov 20, 2023
- Accounts · 695 to 791Nov 28, 2022 to Mar 17, 2023
- Advisory activities · 2 to 1Nov 28, 2022 to Mar 17, 2023
- HNW clients · 51 to 58Nov 28, 2022 to Mar 17, 2023
- Individual clients · 339 to 345Nov 28, 2022 to Mar 17, 2023
- Employees · 3 to 2Nov 28, 2022 to Mar 17, 2023
- Discretionary RAUM · $138M to $142MNov 28, 2022 to Mar 17, 2023
- HNW RAUM · $44.3M to $58.3MNov 28, 2022 to Mar 17, 2023
Signals
1 dated events
- ••• LockedMay 26, 2022 · 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, Apr 7, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Apr 7, 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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026