DFX Intelligence
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S•••••••• F•••••••• M••••••••• L••
Independent wealth managerSEC-registered
Independent wealth manager, reporting $167M of regulatory assets.
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
- $167M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +10%
- Private clients
- 100% of RAUM, $167M
Form ADV
IAPD
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
- Contact points 1
Every filed figure, and the identifiersCRD 157376 · SEC 801-73040 · 19 filingsShowHide
CRD 157376SEC 801-73040First filing on the tape Jan 9, 2012, latest Mar 19, 2026SEC status approved since Jan 24, 2012IAPD
RAUM
$167M
reported, Item 5.F
Discretionary
12%
of RAUM
Private clients
100%
$167M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$167M as of Mar 19, 2026
Apr 1, 2013$164M then
HNW client RAUM$167M as of Mar 19, 2026
Mar 28, 2018$157M then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Apr 1, 20130 then
Employees (5.A)3 as of Mar 19, 2026
Apr 1, 20131 then
Private funds: no history
RAUM +10% over the last fiscal year+2.4% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 19, 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
- $6.2MderivedHNW RAUM over HNW clients
- Average account
- $13.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 12%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $217M, 13 clientsreportedItem 9.A
- 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$167M100%
- Individual clients
- n/areported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $217M for 13 clientsreported
- Compensation
- fixedreported
- 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
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
- S••••••••• D•••••••• A•••••• · Managing Member; Chief Compliance Officercontrolsince 01/2004 · owns 75% or more
- H••••• M••••••• J••••• · Membersince 01/2023 · owns 5% to 10%
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 · 10 to 12Mar 25, 2025 to Mar 19, 2026
- HNW clients · 11 to 27Mar 25, 2025 to Mar 19, 2026
- Assets in custody · $210M to $217MMar 25, 2025 to Mar 19, 2026
- Employees · 4 to 3Mar 25, 2025 to Mar 19, 2026
- Other offices · 0 to 1Mar 25, 2025 to Mar 19, 2026
- Discretionary RAUM · $9.1M to $19.4MMar 25, 2025 to Mar 19, 2026
- HNW RAUM · $151M to $167MMar 25, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $142M to $147MMar 25, 2025 to Mar 19, 2026
- RAUM · $151M to $167MMar 25, 2025 to Mar 19, 2026
- Accounts · 11 to 10Mar 20, 2024 to Mar 25, 2025
- HNW clients · 40 to 11Mar 20, 2024 to Mar 25, 2025
- Assets in custody · $211M to $210MMar 20, 2024 to Mar 25, 2025
- Employees · 3 to 4Mar 20, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 25, 2025
- HQ city · unset to Mar 20, 2024 to Mar 25, 2025
- HQ state · unset to Mar 20, 2024 to Mar 25, 2025
- Discretionary RAUM · $8.5M to $9.1MMar 20, 2024 to Mar 25, 2025
- HNW RAUM · $162M to $151MMar 20, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $154M to $142MMar 20, 2024 to Mar 25, 2025
- RAUM · $162M to $151MMar 20, 2024 to Mar 25, 2025
- HNW clients · 11 to 40Mar 30, 2023 to Mar 20, 2024
- Assets in custody · $195M to $211MMar 30, 2023 to Mar 20, 2024
- Discretionary RAUM · $5.4M to $8.5MMar 30, 2023 to Mar 20, 2024
- HNW RAUM · $155M to $162MMar 30, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $150M to $154MMar 30, 2023 to Mar 20, 2024
- RAUM · $155M to $162MMar 30, 2023 to Mar 20, 2024
- Accounts · 14 to 11Dec 6, 2022 to Mar 30, 2023
- HNW clients · 12 to 11Dec 6, 2022 to Mar 30, 2023
- Assets in custody · $215M to $195MDec 6, 2022 to Mar 30, 2023
- Discretionary RAUM · $3.1M to $5.4MDec 6, 2022 to Mar 30, 2023
- HNW RAUM · $171M to $155MDec 6, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $168M to $150MDec 6, 2022 to Mar 30, 2023
- RAUM · $171M to $155MDec 6, 2022 to Mar 30, 2023
- Accounts · 10 to 14Aug 11, 2021 to Mar 28, 2022
- HNW clients · 10 to 12Aug 11, 2021 to Mar 28, 2022
- Assets in custody · $124M to $215MAug 11, 2021 to Mar 28, 2022
- Discretionary RAUM · $2.0M to $3.1MAug 11, 2021 to Mar 28, 2022
- HNW RAUM · $162M to $171MAug 11, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $160M to $168MAug 11, 2021 to Mar 28, 2022
- RAUM · $162M to $171MAug 11, 2021 to Mar 28, 2022
Signals
No event on the tape.
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
- ••• Lockedreportedpublic record, Form ADV, Mar 19, 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