DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

F••• O••••• A•••• M••••••••• L••••••

Former SEC-registered adviserSydney, CRD 166328SEC 801-77504IAPD

Latest filing Oct 1, 2013

First filing on the tape Dec 20, 2012 · 3 filings

RAUM

$498M

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

8 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

3 filings and snapshots on the tape

RAUM$498M as of Oct 1, 2013

Dec 20, 2012$807M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Oct 1, 2013

Dec 20, 20120 then

Employees (5.A)11 as of Oct 1, 2013

Dec 20, 201213 then

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Oct 1, 2013; 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: $99.6MderivedRAUM 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: unknownderivedbetween 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: portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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

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)
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

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: 5reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
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

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H••••• C••••••••• M•••• · Directorcontrol
since 06/2012 · owns less than 5%
K••••••••• J••••• T••••• · Portfolio Managercontrol
since 05/2006 · owns less than 5%
S••••• C••••••••• D•••• · Director - M••••••• S•• C•••••• P•• L••control
since 08/2005 · owns 5% to 10%
W•••••• P••••• D•••••• · Directorcontrol
since 03/2013 · owns less than 5%
Y•••••••• R•••• C•••••• · Director - M••••••• S•• C•••••• P•• L••control
since 08/2005 · owns 5% to 10%
K••••••••• A•••••• L••••• · Trusteecontrol
since 11/2006 · owns F of K•••••••• F••••• T••••
K••••••••• J••••• T••••• · Trusteecontrol
since 11/2006 · owns F of K•••••••• F••••• T••••
N•••••• R•••••• J••• · Trusteecontrol
since 06/2008 · owns F of W••• C•••••• T••••
S••••• C••••••••• D•••• · Directorcontrol
since 11/2003 · owns 75% or more of N••• D•• P•• L••
W••••••• C••••••••• A••• · Trusteecontrol
since 06/2008 · owns F of W••• C•••••• T••••
Y•••••••• R•••• C•••••• · Directorcontrol
since 07/2005 · owns 75% or more of C••••••••• P•• L••
K••••••••• A•••••• L••••• · Trustee -K•••••••• F••••• T••••
since 11/2006 · owns 5% to 10%
N•••••• R•••••• J••• · Trustee, W••• C•••••• T••••
since 06/2008 · owns 5% to 10%
W••••••• C••••••••• A••• · Trustee, W••• C•••••• T••••
since 06/2008 · owns 5% to 10%

Entity owners

F•••••• P••••••• H••••••• P•• L•• · Shareholder
direct · owns 25% to 50%
M••••••• S•• C•••••• P•• L•• · Trustee - M••••••• S•• C•••••• U••• T••••
direct · owns 25% to 50%
M••••••• S•• C•••••• U••• T•••• · Shareholder
direct · owns 25% to 50%
C••• H••••••• N•• 2• ••••••••• P•• L•• · Shareholder
indirect · owns 75% or more of C••••••••• G•••• H••••••• L••
C••••••••• F• 2• H••••••• P•• L•• · Shareholder
indirect · owns 75% or more of C••••••••• F•••• M••••••••• H••••••• P•• L••
C••••••••• F•••• M••••••••• H••••••• P•• L•• · Shareholder
indirect · owns 75% or more of F•••••• P••••••• H••••••• P•• L••
C••••••••• G•••• H••••••• L•• · Shareholder
indirect · owns 75% or more of C••••••••• F• 2• H••••••• P•• L••
C••••••••• L•••••• · Shareholder
indirect · owns 75% or more of C••• H••••••• N•• 2• ••••••••• P•• L••
C••••••••• P•• L•• · Trustee
indirect · owns F of R••• C• Y••••••• F••••• T••••
C•••• S•••• F••••• T•••• · Shareholder
indirect · owns F of M••••••• S•• C•••••• P•• L••
M••••••• S•• C•••••• P•• L•• · Trustee
indirect · owns F of M••••••• S•• C•••••• U••• T••••
N••• D•• P•• L•• · Trustee
indirect · owns F of C•••• S•••• F••••• T••••
R••• C• Y••••••• F••••• T•••• · Shareholder
indirect · owns 50% to 75% of M••••••• S•• C•••••• P•• L••
K•••••••• F••••• T•••• · Shareholder
direct · owns less than 5%
W••• C•••••• T•••• · Shareholder
direct · owns 5% to 10%

Related persons

Schedule D 7.A

A•••••••• I••••••••• M••••••••• P•• L••••••
investment advisern
A•••• I••••••••• M••••••••• P•• L••••••
investment advisern
B•••••• A•••• M••••••••• P•• L••••••
investment advisern
G•••••••• C•••••• P•• L••••••
investment advisern
K•••••••• C•••••• P•• L••••••
investment advisern
K•••••• I••••••••• P••••••• P•• L••••••
investment advisern
M••••• C•••••• P••••••• P•• L••••••
investment advisern
M••••• C•••••• P•• L••••••
investment advisern
M••••• C•••••• S•••••••• P•• L••••••
investment advisern
M•• N•••••• H••••••• P•• L••••••
n
N••••••• C•••••• P•• L••••••
investment advisern
W•••••••• C•••••• P•• L••••••
investment advisern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 6 to 5
May 28, 2013 to Oct 1, 2013
Discretionary RAUM · $829M to $498M
May 28, 2013 to Oct 1, 2013
RAUM · $829M to $498M
May 28, 2013 to Oct 1, 2013
Accounts · 5 to 6
Dec 20, 2012 to May 28, 2013
Advisory employees · 9 to 8
Dec 20, 2012 to May 28, 2013
Employees · 13 to 11
Dec 20, 2012 to May 28, 2013
Discretionary RAUM · $807M to $829M
Dec 20, 2012 to May 28, 2013
RAUM · $807M to $829M
Dec 20, 2012 to May 28, 2013

Signals

1 dated events

F••• O••••• A•••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)
Dec 20, 2012 · 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.

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