DFX Intelligence

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Independent wealth managerSEC-registered3 private fundswebsite

Independent wealth manager, reporting $153M of regulatory assets.

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

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $153M
Advisors: 0
RAUM change, 1 year: -16%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

-16.0%
RAUM, one year
RAUM $182M to $153M (-16.0%) on the Form ADV filed 30 Mar 2026, while advisors on the filing held at 1.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 154579 · SEC 801-117620 · 13 filingsShow

CRD 154579SEC 801-117620First filing on the tape Oct 11, 2019, latest Mar 30, 2026SEC status approved since Nov 8, 2019IAPD

RAUM

$153M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$152M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM -1.1% a year over three years · the tape starts Oct 11, 2019

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$153M as of Mar 30, 2026

Mar 30, 2020$135M then

HNW client RAUM$152M as of Mar 30, 2026

Mar 30, 2020$133M then

State-registered IARs (5.B.3)1 as of Mar 30, 2026

Mar 30, 20201 then

Employees (5.A)1 as of Mar 30, 2026

Mar 30, 20201 then

Private funds3 as of Mar 30, 2026

Mar 30, 20203 then

RAUM -16% over the last fiscal year-1.1% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $153MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.6MderivedHNW RAUM over HNW clients
Average account: $4.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%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: 1.0derived1 office 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: unknownderived
Compensation: percentage of assets, performance-based, otherreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% high-net-worth individuals, 0.4% pooled investment vehicles

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$152M100%
Pooled investment vehicles$603,5060.4%

Individual clients: n/areported
HNW clients: 33reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 33reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; a related bank; no bank ownerderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
I••••• S••••• D••••• F•••• L•••	Hedge Fund	$603,506	2	Oct 11, 2019
I••••• S••••• D••••• F•••• L•	Hedge Fund	$493,855	46	Oct 11, 2019
I••••• S••••• D••••• O••••••• L•••	Hedge Fund	$109,651	31	Oct 11, 2019

Owners and control persons

Schedule A and B, latest filing

J••••••• B••••• L••• · Managing Member/Chief Compliance Officercontrol
since 11/2011 · 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 · 45 to 33
Mar 24, 2025 to Mar 30, 2026
HNW clients · 43 to 33
Mar 24, 2025 to Mar 30, 2026
Discretionary RAUM · $182M to $153M
Mar 24, 2025 to Mar 30, 2026
HNW RAUM · $181M to $152M
Mar 24, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $1.1M to $603,506
Mar 24, 2025 to Mar 30, 2026

Full history · 46 changes

RAUM · $182M to $153M
Mar 24, 2025 to Mar 30, 2026
Accounts · 41 to 45
Mar 28, 2024 to Mar 24, 2025
HNW clients · 35 to 43
Mar 28, 2024 to Mar 24, 2025
Financial planning clients · unset to
Mar 28, 2024 to Mar 24, 2025
HQ city · unset to
Mar 28, 2024 to Mar 24, 2025
HQ state · unset to
Mar 28, 2024 to Mar 24, 2025
Discretionary RAUM · $166M to $182M
Mar 28, 2024 to Mar 24, 2025
HNW RAUM · $165M to $181M
Mar 28, 2024 to Mar 24, 2025
Pooled vehicle RAUM · $1.1M to $1.1M
Mar 28, 2024 to Mar 24, 2025
RAUM · $166M to $182M
Mar 28, 2024 to Mar 24, 2025
Accounts · 38 to 41
Mar 27, 2023 to Mar 28, 2024
Discretionary RAUM · $158M to $166M
Mar 27, 2023 to Mar 28, 2024
HNW RAUM · $151M to $165M
Mar 27, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $6.7M to $1.1M
Mar 27, 2023 to Mar 28, 2024
RAUM · $158M to $166M
Mar 27, 2023 to Mar 28, 2024
Accounts · 40 to 38
Jun 2, 2022 to Mar 27, 2023
HNW clients · 37 to 35
Jun 2, 2022 to Mar 27, 2023
Discretionary RAUM · $168M to $158M
Jun 2, 2022 to Mar 27, 2023
HNW RAUM · $158M to $151M
Jun 2, 2022 to Mar 27, 2023
Pooled vehicle RAUM · $10.0M to $6.7M
Jun 2, 2022 to Mar 27, 2023
RAUM · $168M to $158M
Jun 2, 2022 to Mar 27, 2023
Accounts · 15 to 40
Oct 27, 2021 to Mar 30, 2022
HNW clients · 12 to 37
Oct 27, 2021 to Mar 30, 2022
Discretionary RAUM · $179M to $168M
Oct 27, 2021 to Mar 30, 2022
HNW RAUM · $167M to $158M
Oct 27, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $11.4M to $10.0M
Oct 27, 2021 to Mar 30, 2022
RAUM · $179M to $168M
Oct 27, 2021 to Mar 30, 2022
HQ city · SAN FRANCISCO to unset
Mar 17, 2021 to Oct 13, 2021
HQ state · CA to unset
Mar 17, 2021 to Oct 13, 2021
Accounts · 52 to 15
Apr 29, 2020 to Mar 17, 2021
HNW clients · 13 to 12
Apr 29, 2020 to Mar 17, 2021
Discretionary RAUM · $135M to $179M
Apr 29, 2020 to Mar 17, 2021
HNW RAUM · $133M to $167M
Apr 29, 2020 to Mar 17, 2021
Pooled vehicle RAUM · $2.4M to $11.4M
Apr 29, 2020 to Mar 17, 2021
RAUM · $135M to $179M
Apr 29, 2020 to Mar 17, 2021
Accounts · 32 to 52
Oct 11, 2019 to Mar 30, 2020
HNW clients · 12 to 13
Oct 11, 2019 to Mar 30, 2020
Discretionary RAUM · $129M to $135M
Oct 11, 2019 to Mar 30, 2020
HNW RAUM · $125M to $133M
Oct 11, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $3.3M to $2.4M
Oct 11, 2019 to Mar 30, 2020
RAUM · $129M to $135M
Oct 11, 2019 to Mar 30, 2020

Signals

1 dated events

••• Locked
Oct 11, 2019 · 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, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.