DFX Intelligence
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SEC-registered adviser
T••••••• I••••••••• I•••
Latest filing Mar 17, 2026
First filing on the tape Apr 10, 2025 · 3 filings
SEC status approved since Apr 23, 2025
RAUM
$265M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$265M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$265M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$265M as of Mar 17, 2026
Apr 10, 2025$210M then
HNW client RAUM$261M as of Mar 17, 2026
Apr 10, 2025$205M then
State-registered IARs (5.B.3)1 as of Mar 17, 2026
Apr 10, 20251 then
Employees (5.A)1 as of Mar 17, 2026
Apr 10, 20251 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 17, 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
- $265MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.0MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%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 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- yesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$261M98%
- Individuals$4.9M1.8%
- Individual clients
- 11reported
- HNW clients
- 29reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 188reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• S•••••••• S••••••• | Chevy Chase, Md | Aug 2, 2012 | 22 y | 1 |
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
- K•••• S•••••••• S••••••• from F•••• M••••••••• G•••• I••••••••• I•••Aug 2, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• K••••• S•••••••• · Chief Compliance Officer/Managing Principalcontrolsince 07/2012 · 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
- unusually large average HNW clientStatic outlier · filing Mar 17, 2026HNW RAUM per HNW client of $8,982,759 against a peer median of $2,402,920 (4942 comparable advisers, 99.0th percentile, 4.4 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 165 to 188Jul 21, 2025 to Mar 17, 2026
- HNW clients · 28 to 29Jul 21, 2025 to Mar 17, 2026
- Individual clients · 12 to 11Jul 21, 2025 to Mar 17, 2026
- Discretionary RAUM · $207M to $261MJul 21, 2025 to Mar 17, 2026
- HNW RAUM · $205M to $261MJul 21, 2025 to Mar 17, 2026
- Individual RAUM · $5.3M to $4.9MJul 21, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $2.5M to $4.2MJul 21, 2025 to Mar 17, 2026
- RAUM · $210M to $265MJul 21, 2025 to Mar 17, 2026
- Financial planning clients · 1-10 to 1-10Apr 10, 2025 to Jul 21, 2025
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
- Website
- T•••••••.COMreportedpublic record, Form ADV, Mar 17, 2026
- Principal office phone
- 240-235-1846reportedpublic record, Form ADV, Mar 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
- $265Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026