DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

D• H••• I••••••••• I•••

Former SEC-registered adviserCRD 161328SEC 801-74315IAPD

Latest filing Jan 15, 2016

First filing on the tape Feb 16, 2012 · 6 filings

RAUM

$105M

reported, Item 5.F

Discretionary

100%

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

n/a

beyond the principal office

Private funds

$11.6M gross assets

History

6 filings and snapshots on the tape

RAUM$105M as of Jan 15, 2016

Jan 23, 2013$85.0M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jan 15, 2016

Jan 23, 20130 then

Employees (5.A)2 as of Jan 15, 2016

Jan 23, 20132 then

Private funds: 4

RAUM +0.0% over the last fiscal year+7.3% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jan 15, 2016; 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: $7.0MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%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: +0.0%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, performance-basedreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $105M, 15 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

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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 15reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $105M for 15 clientsreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

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

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

Fund	Type	Gross assets	Owners	First reported
7•• E••••• P•••••••• L•••	Other Private Fund	$4.3M	4	Mar 17, 2015
H•••••• I••••••••• L•••	Other Private Fund	$4.2M	13	Mar 17, 2015
J••• A••••••••• L•••	Other Private Fund	$1.6M	5	Mar 17, 2015
A•• I••••••••• P•••••••• L•••	Other Private Fund	$1.5M	5	Mar 17, 2015

Owners and control persons

Schedule A and B, latest filing

H•••• D•••• R••••• · President And Ccocontrol
since 06/1999 · owns 50% to 75%
H•••• M•••••• I•• · Treasurercontrol
since 06/1999 · owns 50% to 75%

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 · 8 to 15
Mar 17, 2015 to Jan 15, 2016
Assets in custody · unset to 105000000.0
Jan 20, 2015 to Mar 17, 2015
Custody of client assets · false to true
Jan 20, 2015 to Mar 17, 2015
Private funds · unset to 4
Jan 20, 2015 to Mar 17, 2015
Accounts · 6 to 8
Jan 23, 2014 to Jan 20, 2015
Discretionary RAUM · $90.0M to $105M
Jan 23, 2014 to Jan 20, 2015
RAUM · $90.0M to $105M
Jan 23, 2014 to Jan 20, 2015
Accounts · 5 to 6
Jan 23, 2013 to Jan 23, 2014
Discretionary RAUM · $85.0M to $90.0M
Jan 23, 2013 to Jan 23, 2014
RAUM · $85.0M to $90.0M
Jan 23, 2013 to Jan 23, 2014
Accounts · 7 to 5
Feb 16, 2012 to Jan 23, 2013
Advisory employees · unset to 2.0
Feb 16, 2012 to Jan 23, 2013
BD registered reps · unset to 0.0
Feb 16, 2012 to Jan 23, 2013
Employees · unset to 2.0
Feb 16, 2012 to Jan 23, 2013
State-registered IARs · unset to 0.0
Feb 16, 2012 to Jan 23, 2013
Discretionary RAUM · $88.2M to $85.0M
Feb 16, 2012 to Jan 23, 2013
RAUM · $88.2M to $85.0M
Feb 16, 2012 to Jan 23, 2013

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.

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: Former SEC-registered 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