DFX Intelligence

RIA Intelligence

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SEC-registered adviser

C•••••••• •••••••

Independent wealth managerGeneva, CRD 164222SEC 801-76691IAPD

Latest filing Feb 20, 2026

First filing on the tape May 9, 2012 · 24 filings

SEC status approved since Jun 27, 2012

RAUM

$750M

reported, Item 5.F

Discretionary

73%

of RAUM

Private clients

100%

$750M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

24 filings and snapshots on the tape

RAUM$750M as of Feb 20, 2026

Mar 5, 2013$505M then

HNW client RAUM$750M as of Feb 20, 2026

Mar 1, 2018$640M then

State-registered IARs (5.B.3)1 as of Feb 20, 2026

Mar 5, 20131 then

Employees (5.A)6 as of Feb 20, 2026

Mar 5, 20135 then

Private funds: no history

RAUM +50% over the last fiscal year+14% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Feb 20, 2026; every figure names its basis

Archetypes, each a printed rule

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $750MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.5MderivedHNW RAUM over HNW clients
Average account: $2.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 73%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 6.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +50%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, commissionsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 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

has discretionary authority over which securities are bought or sold (8.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$750M100%

Individual clients: n/areported
HNW clients: 300reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 300reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performance, commissionsreported
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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••••• S•••••••• J•••••• · Managing Member / Chief Compliance Officercontrol
since 12/2004 · 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

RAUM up 50 %Change between filings · filing Feb 20, 2026
RAUM (Item 5.F) moved from $500,000,000 to $750,000,000 (+50.0%) between the annual amendments of 2025-02-11 and 2026-02-20; the peer median change was +16.0% (1385 comparable advisers, 94.0th percentile of changes)
peers: independent wealth managers, $500M to $1B (1,385) · 94% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Discretionary RAUM · $300M to $550M
Feb 11, 2025 to Feb 20, 2026
HNW RAUM · $500M to $750M
Feb 11, 2025 to Feb 20, 2026
RAUM · $500M to $750M
Feb 11, 2025 to Feb 20, 2026
Financial planning clients · unset to
Feb 14, 2024 to Feb 11, 2025
HQ state · unset to
Feb 14, 2024 to Feb 11, 2025
Business name · C•••••••• S• to C•••••••• •••••••
Jan 26, 2023 to Jan 30, 2023
Legal name · C•••••••• S• to C•••••••• •••••••
Jan 19, 2023 to Jan 26, 2023
Succession · true to false
Jan 19, 2023 to Jan 26, 2023
Accounts · 180 to 300
Feb 10, 2022 to Jan 19, 2023
HNW clients · 180 to 300
Feb 10, 2022 to Jan 19, 2023
Discretionary RAUM · $140M to $300M
Feb 10, 2022 to Jan 19, 2023
HNW RAUM · $280M to $500M
Feb 10, 2022 to Jan 19, 2023
Non-discretionary RAUM · $140M to $200M
Feb 10, 2022 to Jan 19, 2023
RAUM · $280M to $500M
Feb 10, 2022 to Jan 19, 2023
Succession · false to true
Feb 10, 2022 to Jan 19, 2023
Discretionary RAUM · $150M to $140M
Mar 18, 2021 to Feb 10, 2022
Non-discretionary RAUM · $130M to $140M
Mar 18, 2021 to Feb 10, 2022
Accounts · 290 to 180
Jun 30, 2020 to Mar 18, 2021
HNW clients · 290 to 180
Jun 30, 2020 to Mar 18, 2021
Discretionary RAUM · $340M to $150M
Jun 30, 2020 to Mar 18, 2021
HNW RAUM · $640M to $280M
Jun 30, 2020 to Mar 18, 2021
Non-discretionary RAUM · $300M to $130M
Jun 30, 2020 to Mar 18, 2021
RAUM · $640M to $280M
Jun 30, 2020 to Mar 18, 2021
Accounts · 300 to 290
Mar 1, 2019 to Feb 19, 2020
HNW clients · 300 to 290
Mar 1, 2019 to Feb 19, 2020
Discretionary RAUM · $360M to $340M
Mar 1, 2019 to Feb 19, 2020
HNW RAUM · $670M to $640M
Mar 1, 2019 to Feb 19, 2020
Non-discretionary RAUM · $310M to $300M
Mar 1, 2019 to Feb 19, 2020
RAUM · $670M to $640M
Mar 1, 2019 to Feb 19, 2020
Accounts · 270 to 300
Mar 1, 2018 to Mar 1, 2019
HNW clients · 270 to 300
Mar 1, 2018 to Mar 1, 2019
Discretionary RAUM · $340M to $360M
Mar 1, 2018 to Mar 1, 2019
HNW RAUM · $640M to $670M
Mar 1, 2018 to Mar 1, 2019
Non-discretionary RAUM · $300M to $310M
Mar 1, 2018 to Mar 1, 2019
RAUM · $640M to $670M
Mar 1, 2018 to Mar 1, 2019
Accounts · 280 to 270
Apr 6, 2017 to Mar 1, 2018
HNW clients · unset to 270.0
Apr 6, 2017 to Mar 1, 2018
Other offices · unset to 0.0
Apr 6, 2017 to Mar 1, 2018
Discretionary RAUM · $300M to $340M
Apr 6, 2017 to Mar 1, 2018
HNW RAUM · unset to 640000000.0
Apr 6, 2017 to Mar 1, 2018

Signals

4 dated events

C•••••••• ••••••• reported RAUM $750.0M, up 50% from $500.0M (2025-02-11 to 2026-02-20)
Feb 20, 2026 · RAUM change · derived
C•••••••• S• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Jan 19, 2023 · Succession (Item 4) · fact
C•••••••• ••••••• reported RAUM $500.0M, up 79% from $280.0M (2022-02-10 to 2023-01-19)
Jan 19, 2023 · RAUM change · derived
C•••••••• ••••••• reported RAUM $280.0M, down 56% from $640.0M (2020-06-30 to 2021-03-18)
Mar 18, 2021 · 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

Principal office phone: +4122 810 2614reportedpublic record, Form ADV, Feb 20, 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