DFX Intelligence
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SEC-registered adviser
O•• R••• A•••• M••••••••• L••
Latest filing Jan 14, 2026
First filing on the tape Mar 10, 2015 · 20 filings
SEC status approved since Mar 18, 2015
RAUM
$192M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
59%
$112M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$192M as of Jan 14, 2026
Mar 9, 2016$152M then
HNW client RAUM$112M as of Jan 14, 2026
Feb 8, 2018$117M then
State-registered IARs (5.B.3)1 as of Jan 14, 2026
Mar 9, 20161 then
Employees (5.A)2 as of Jan 14, 2026
Mar 9, 20162 then
Private funds: no history
RAUM +10% over the last fiscal year+6.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private 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
- $192MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $14.0MderivedHNW RAUM over HNW clients
- Average account
- $3.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 41%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%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, hourlyreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$112M59%
- Insurance companies$79.3M41%
- Individual clients
- n/areported
- HNW clients
- 8reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 51reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.59 fund_share=0.0 institutional_share=0.41 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
- R••••••• J•••• W•••••• · Ceo/Chief Compliance Officer/Managing Membercontrolsince 12/2007 · 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
- high institutional concentrationStatic outlier · filing Jan 14, 2026institutional share of RAUM of 41% against a peer median of 0% (5679 comparable advisers, 98.0th percentile, 13.8 robust deviations)peers: independent wealth managers, $100M to $500M (5,679) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 49 to 51Jan 16, 2025 to Jan 14, 2026
- Discretionary RAUM · $157M to $174MJan 16, 2025 to Jan 14, 2026
- HNW RAUM · $105M to $112MJan 16, 2025 to Jan 14, 2026
- Non-discretionary RAUM · $16.1M to $17.7MJan 16, 2025 to Jan 14, 2026
- RAUM · $174M to $192MJan 16, 2025 to Jan 14, 2026
- Accounts · 51 to 49Jan 16, 2024 to Jan 16, 2025
- HNW clients · 9 to 8Jan 16, 2024 to Jan 16, 2025
- Financial planning clients · unset to Jan 16, 2024 to Jan 16, 2025
- HQ city · unset to Jan 16, 2024 to Jan 16, 2025
- HQ state · unset to Jan 16, 2024 to Jan 16, 2025
- Discretionary RAUM · $151M to $157MJan 16, 2024 to Jan 16, 2025
- HNW RAUM · $105M to $105MJan 16, 2024 to Jan 16, 2025
- Non-discretionary RAUM · $14.8M to $16.1MJan 16, 2024 to Jan 16, 2025
- RAUM · $166M to $174MJan 16, 2024 to Jan 16, 2025
- Accounts · 56 to 51Jan 24, 2023 to Jan 16, 2024
- Discretionary RAUM · $142M to $151MJan 24, 2023 to Jan 16, 2024
- HNW RAUM · $100M to $105MJan 24, 2023 to Jan 16, 2024
- Non-discretionary RAUM · $14.8M to $14.8MJan 24, 2023 to Jan 16, 2024
- RAUM · $157M to $166MJan 24, 2023 to Jan 16, 2024
- Accounts · 55 to 56Jan 26, 2022 to Jan 24, 2023
- HNW clients · 10 to 9Jan 26, 2022 to Jan 24, 2023
- Discretionary RAUM · $164M to $142MJan 26, 2022 to Jan 24, 2023
- HNW RAUM · $120M to $100MJan 26, 2022 to Jan 24, 2023
- Non-discretionary RAUM · $16.1M to $14.8MJan 26, 2022 to Jan 24, 2023
- RAUM · $180M to $157MJan 26, 2022 to Jan 24, 2023
- Accounts · 53 to 55Mar 22, 2021 to Jan 26, 2022
- Discretionary RAUM · $160M to $164MMar 22, 2021 to Jan 26, 2022
- HNW RAUM · $118M to $120MMar 22, 2021 to Jan 26, 2022
- Non-discretionary RAUM · $12.4M to $16.1MMar 22, 2021 to Jan 26, 2022
- RAUM · $172M to $180MMar 22, 2021 to Jan 26, 2022
- Accounts · 52 to 53May 19, 2020 to Jan 8, 2021
- Discretionary RAUM · $157M to $160MMay 19, 2020 to Jan 8, 2021
- HNW RAUM · $122M to $118MMay 19, 2020 to Jan 8, 2021
- Non-discretionary RAUM · $13.6M to $12.4MMay 19, 2020 to Jan 8, 2021
- RAUM · $171M to $172MMay 19, 2020 to Jan 8, 2021
- Discretionary RAUM · $142M to $157MMay 28, 2019 to Jan 14, 2020
- HNW RAUM · $110M to $122MMay 28, 2019 to Jan 14, 2020
- Non-discretionary RAUM · $12.0M to $13.6MMay 28, 2019 to Jan 14, 2020
- RAUM · $154M to $171MMay 28, 2019 to Jan 14, 2020
- Accounts · 50 to 52Feb 8, 2018 to Jan 24, 2019
Signals
1 dated events
- O•• R••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 10, 2015 · 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
- Principal office phone
- 203-340-1041reportedpublic record, Form ADV, Jan 14, 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