DFX Intelligence

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A••••••• C•••••• S••••••••• I•••

Other adviserSEC-registeredwebsite

Other adviser, reporting $2.6B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-06 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $2.6B
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: +3.2%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2026-03-06 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

discretionary share of RAUM of 0% against a peer median of 100% (247 comparable advisers, 0.0th percentile, 33.7 robust deviations)
2026-03-06
discretionary share of RAUM 0Peer median 1
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 146725 · SEC 801-69289 · 19 filingsShow

CRD 146725SEC 801-69289First filing on the tape Feb 28, 2012, latest Mar 6, 2026SEC status approved since Jun 12, 2008IAPD

RAUM

$2.6B

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$2.6B as of Mar 6, 2026

Feb 28, 2012$2.4B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 6, 2026

Feb 28, 20120 then

Employees (5.A)2 as of Mar 6, 2026

Mar 5, 20132 then

Private funds: no history

RAUM +3.2% over the last fiscal year-0.6% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 6, 2026; every figure names its basis

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $171MderivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +3.2%derivedbetween 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, fixed feesreportedItem 5.E
Advisory activities: 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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Banks and thrifts$2.6B100%
Charitable organizations$5.4M0.2%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: 2reported
Accounts: 15reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.0 fund_share=0.0 institutional_share=0.0 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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••• R•••••• B•••• · Chief Executive Officer / Chief Compliance Officercontrol
since 03/2008 · 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

low discretionary shareStatic outlier · filing Mar 6, 2026
discretionary share of RAUM of 0% against a peer median of 100% (247 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: other advisers, $1B to $5B (247) · 0.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 17 to 15
Feb 28, 2025 to Mar 6, 2026
Non-discretionary RAUM · $2.5B to $2.6B
Feb 28, 2025 to Mar 6, 2026
RAUM · $2.5B to $2.6B
Feb 28, 2025 to Mar 6, 2026
Financial planning clients · unset to
Jun 14, 2024 to Feb 28, 2025
HQ city · unset to
Jun 14, 2024 to Feb 28, 2025
HQ state · unset to
Jun 14, 2024 to Feb 28, 2025
Non-discretionary RAUM · $2.5B to $2.5B
Jun 14, 2024 to Feb 28, 2025
RAUM · $2.5B to $2.5B
Jun 14, 2024 to Feb 28, 2025
Discretionary RAUM · $2.6B to $0
Apr 19, 2024 to Apr 25, 2024
Non-discretionary RAUM · $0 to $2.5B
Apr 19, 2024 to Apr 25, 2024
RAUM · $2.6B to $2.5B
Apr 19, 2024 to Apr 25, 2024
Discretionary RAUM · $0 to $2.6B
Feb 24, 2023 to Feb 28, 2024
Non-discretionary RAUM · $2.6B to $0
Feb 24, 2023 to Feb 28, 2024
RAUM · $2.6B to $2.6B
Feb 24, 2023 to Feb 28, 2024
Accounts · 18 to 17
Feb 25, 2022 to Feb 24, 2023
Discretionary RAUM · $3.3B to $0
Feb 25, 2022 to Feb 24, 2023
Non-discretionary RAUM · $0 to $2.6B
Feb 25, 2022 to Feb 24, 2023
RAUM · $3.3B to $2.6B
Feb 25, 2022 to Feb 24, 2023
Accounts · 19 to 18
Mar 4, 2021 to Feb 25, 2022
Discretionary RAUM · $0 to $3.3B
Mar 4, 2021 to Feb 25, 2022
Non-discretionary RAUM · $2.7B to $0
Mar 4, 2021 to Feb 25, 2022
RAUM · $2.7B to $3.3B
Mar 4, 2021 to Feb 25, 2022
Accounts · 15 to 19
Mar 6, 2020 to Mar 4, 2021
Discretionary RAUM · $1.2B to $0
Mar 6, 2020 to Mar 4, 2021
Non-discretionary RAUM · $0 to $2.7B
Mar 6, 2020 to Mar 4, 2021
RAUM · $1.2B to $2.7B
Mar 6, 2020 to Mar 4, 2021
Other offices · 1 to 0
Mar 1, 2019 to Mar 6, 2020
Discretionary RAUM · $0 to $1.2B
Mar 1, 2019 to Mar 6, 2020
Non-discretionary RAUM · $1.9B to $0
Mar 1, 2019 to Mar 6, 2020
RAUM · $1.9B to $1.2B
Mar 1, 2019 to Mar 6, 2020
Accounts · 13 to 15
Mar 2, 2018 to Mar 1, 2019
Charity clients · unset to 2.0
Mar 2, 2018 to Mar 1, 2019
Non-discretionary RAUM · $1.9B to $1.9B
Mar 2, 2018 to Mar 1, 2019
RAUM · $1.9B to $1.9B
Mar 2, 2018 to Mar 1, 2019
Accounts · 15 to 13
Feb 27, 2017 to Mar 2, 2018
Other offices · unset to 1.0
Feb 27, 2017 to Mar 2, 2018
Non-discretionary RAUM · $2.8B to $1.9B
Feb 27, 2017 to Mar 2, 2018
RAUM · $2.8B to $1.9B
Feb 27, 2017 to Mar 2, 2018
Accounts · 12 to 15
Feb 23, 2016 to Feb 27, 2017
Non-discretionary RAUM · $2.3B to $2.8B
Feb 23, 2016 to Feb 27, 2017

Signals

3 dated events

••• Locked
Mar 4, 2021 · RAUM change · derived
••• Locked
Mar 6, 2020 · RAUM change · derived
••• Locked
Mar 2, 2018 · RAUM change · derived

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, Mar 6, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 6, 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: Other adviserderiveda 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