DFX Intelligence
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N•• W••••• M••••••••• L••
Independent wealth manager, based in Santa Clara, California, reporting $310M of regulatory assets across 2 registered advisors.
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
- $310M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +39%
- Private clients
- 98% of RAUM, $304M
Form ADV
IAPD
IAPD registration history
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
- RAUM a year earlier $224MRAUM now $310M
- RAUM (Item 5.F) 309842768Peer median 0.152187099898764
- Contact points 4
Every filed figure, and the identifiersCRD 162234 · SEC 801-123014 · 7 filingsShowHide
CRD 162234SEC 801-123014First filing on the tape Dec 9, 2021, latest Mar 31, 2026SEC status approved since Jan 10, 2022IAPD
RAUM
$310M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$304M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$155M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$310M as of Mar 31, 2026
Feb 21, 2022$124M then
HNW client RAUM$247M as of Mar 31, 2026
Feb 21, 2022$74.7M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Feb 21, 20222 then
Employees (5.A)2 as of Mar 31, 2026
Feb 21, 20222 then
Private funds: no history
RAUM +39% over the last fiscal year+35% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $155MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 144derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $348,922derivedRAUM 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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +39%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$247M80%
- Individuals$57.1M18%
- Corporations and businesses$5.5M1.8%
- Individual clients
- 102reported
- HNW clients
- 185reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 888reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• S•••• J••••Certified Financial Planner | Santa Clara, Ca | Aug 13, 2019 | 23 y | 2 |
| M••••• K•••• | Santa Clara, Ca | Jan 1, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- L•••• S•••• J•••• from W••••••• F•••••••• S•••••••• I•••Aug 13, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• L••••• S•••• · Managing Member/Chief Compliance Officercontrolsince 02/2012 · owns 75% or more
Related persons
Schedule D 7.A
- N•• L••• I••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Santa Clara, Ca · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $223,601,473 to $309,842,768 (+39.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +15.0% (4546 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,546) · 92% percentile
What changed
consecutive filings, newest first
- Corporate clients · 0 to 3Mar 31, 2025 to Mar 31, 2026
- Accounts · 747 to 888Mar 31, 2025 to Mar 31, 2026
- HNW clients · 195 to 185Mar 31, 2025 to Mar 31, 2026
- Individual clients · 99 to 102Mar 31, 2025 to Mar 31, 2026
- State-registered IARs · 2 to 1Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $224M to $310MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $186M to $247MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $27.6M to $57.1MMar 31, 2025 to Mar 31, 2026
- RAUM · $224M to $310MMar 31, 2025 to Mar 31, 2026
- Accounts · 649 to 747Mar 6, 2024 to Mar 31, 2025
- Corporate clients · 2 to 0Mar 6, 2024 to Mar 31, 2025
- HNW clients · 145 to 195Mar 6, 2024 to Mar 31, 2025
- Individual clients · 133 to 99Mar 6, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 1-10Mar 6, 2024 to Mar 31, 2025
- Discretionary RAUM · $175M to $224MMar 6, 2024 to Mar 31, 2025
- HNW RAUM · $135M to $186MMar 6, 2024 to Mar 31, 2025
- Individual RAUM · $31.6M to $27.6MMar 6, 2024 to Mar 31, 2025
- RAUM · $175M to $224MMar 6, 2024 to Mar 31, 2025
- Related insurance company · true to falseMar 6, 2024 to Mar 31, 2025
- Accounts · 574 to 649Feb 28, 2023 to Mar 6, 2024
- Corporate clients · 0 to 2Feb 28, 2023 to Mar 6, 2024
- HNW clients · 138 to 145Feb 28, 2023 to Mar 6, 2024
- Individual clients · 181 to 133Feb 28, 2023 to Mar 6, 2024
- Financial planning clients · 0 to 11-25Feb 28, 2023 to Mar 6, 2024
- Discretionary RAUM · $126M to $175MFeb 28, 2023 to Mar 6, 2024
- HNW RAUM · $93.5M to $135MFeb 28, 2023 to Mar 6, 2024
- Individual RAUM · $26.5M to $31.6MFeb 28, 2023 to Mar 6, 2024
- RAUM · $126M to $175MFeb 28, 2023 to Mar 6, 2024
- Accounts · 534 to 574Sep 2, 2022 to Feb 28, 2023
- HNW clients · 65 to 138Sep 2, 2022 to Feb 28, 2023
- Individual clients · 258 to 181Sep 2, 2022 to Feb 28, 2023
- Pension plan clients · 9 to 0Sep 2, 2022 to Feb 28, 2023
- Discretionary RAUM · $124M to $126MSep 2, 2022 to Feb 28, 2023
- HNW RAUM · $74.7M to $93.5MSep 2, 2022 to Feb 28, 2023
- Individual RAUM · $44.6M to $26.5MSep 2, 2022 to Feb 28, 2023
- Pension RAUM · $2.9M to $0Sep 2, 2022 to Feb 28, 2023
- RAUM · $124M to $126MSep 2, 2022 to Feb 28, 2023
- Related insurance company · false to trueSep 2, 2022 to Feb 28, 2023
- Accounts · 501 to 534Dec 9, 2021 to Feb 21, 2022
- HNW clients · 35 to 65Dec 9, 2021 to Feb 21, 2022
Signals
1 dated events
- ••• LockedDec 9, 2021 · 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
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 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
- $155Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026