DFX Intelligence

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I•••••• I•••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $1.9M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $1.9M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: -46%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 25 Mar 2026, RAUM $3.54M to $1.9M (-46.4%) on the Form ADV filed 25 Mar 2026.

Every filed figure, and the identifiersCRD 170875 · SEC 801-79575 · 15 filingsShow

CRD 170875SEC 801-79575First filing on the tape Apr 2, 2014, latest Mar 25, 2026SEC status approved since Apr 17, 2014IAPD

RAUM

$1.9M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$1.9M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$1.9M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM -14% a year over three years · the tape starts Apr 2, 2014

Peer group: Independent wealth managers, under $100M, 707 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$1.9M as of Mar 25, 2026

Jan 26, 2015$200,000 then

HNW client RAUM$1.3M as of Mar 14, 2024

Feb 1, 2018$4.5M then

State-registered IARs (5.B.3)0 as of Mar 25, 2026

Jan 26, 20150 then

Employees (5.A)2 as of Mar 25, 2026

Jan 26, 20153 then

Private funds: no history

RAUM -46% over the last fiscal year-14% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 25, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $1.9MderivedRAUM 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: $211,048derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: -46%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, hourly, performance-based, otherreportedItem 5.E
Advisory activities: financial planning, 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

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

100% individuals

The breakdown by client type, and the client counts1 client typesShow

Individuals$1.9M100%

Individual clients: 8reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 9reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, hourly, performancereported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
V•••••• F•••• V•• D••••	Sint Maarten	Jan 27, 2016	20 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D• G••••• G••••• · Chief Technology Officercontrol
since 07/2013 · owns 50% to 75%
V•• D••••• V••••••• F•••• · President/ Ceo / Ccocontrol
since 07/2013 · owns 50% to 75%

Ownership changes

1 Schedule A change between consecutive filings, latest first

Removed C••••• H•••••• · Chief Compliance Officer control
filing of Mar 14, 2024, against Mar 24, 2023 · owns 25 to 50%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

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 · 15 to 9
Mar 26, 2025 to Mar 25, 2026
Individual clients · 15 to 8
Mar 26, 2025 to Mar 25, 2026
Discretionary RAUM · $3.5M to $1.9M
Mar 26, 2025 to Mar 25, 2026
Individual RAUM · $1.9M to $1.9M
Mar 26, 2025 to Mar 25, 2026
RAUM · $3.5M to $1.9M
Mar 26, 2025 to Mar 25, 2026

Full history · 76 changes

Advisory activities · 3 to 2
Mar 14, 2024 to Mar 26, 2025
HNW clients · 1.0 to unset
Mar 14, 2024 to Mar 26, 2025
Financial planning clients · 0 to 0
Mar 14, 2024 to Mar 26, 2025
HQ city · unset to
Mar 14, 2024 to Mar 26, 2025
HQ state · unset to
Mar 14, 2024 to Mar 26, 2025
Discretionary RAUM · $2.7M to $3.5M
Mar 14, 2024 to Mar 26, 2025
HNW RAUM · 1253907.0 to unset
Mar 14, 2024 to Mar 26, 2025
Individual RAUM · $310,249 to $1.9M
Mar 14, 2024 to Mar 26, 2025
RAUM · $2.7M to $3.5M
Mar 14, 2024 to Mar 26, 2025
Individual clients · 11 to 15
Mar 24, 2023 to Mar 14, 2024
Employees · 3 to 2
Mar 24, 2023 to Mar 14, 2024
Discretionary RAUM · $3.0M to $2.7M
Mar 24, 2023 to Mar 14, 2024
HNW RAUM · $1.2M to $1.3M
Mar 24, 2023 to Mar 14, 2024
Individual RAUM · $250,489 to $310,249
Mar 24, 2023 to Mar 14, 2024
RAUM · $3.0M to $2.7M
Mar 24, 2023 to Mar 14, 2024
Accounts · 13 to 15
Mar 24, 2023 to Mar 14, 2024
Advisory employees · 2 to 1
Mar 24, 2023 to Mar 14, 2024
Discretionary RAUM · $3.8M to $3.0M
Mar 30, 2022 to Mar 24, 2023
HNW RAUM · $1.3M to $1.2M
Mar 30, 2022 to Mar 24, 2023
Individual RAUM · $453,967 to $250,489
Mar 30, 2022 to Mar 24, 2023
RAUM · $3.8M to $3.0M
Mar 30, 2022 to Mar 24, 2023
Accounts · 37 to 13
Mar 17, 2021 to Mar 30, 2022
Advisory activities · 2 to 3
Mar 17, 2021 to Mar 30, 2022
HNW clients · 19 to 1
Mar 17, 2021 to Mar 30, 2022
Individual clients · 18 to 11
Mar 17, 2021 to Mar 30, 2022
Discretionary RAUM · $5.1M to $3.8M
Mar 17, 2021 to Mar 30, 2022
HNW RAUM · $4.4M to $1.3M
Mar 17, 2021 to Mar 30, 2022
Individual RAUM · $634,416 to $453,967
Mar 17, 2021 to Mar 30, 2022
RAUM · $5.1M to $3.8M
Mar 17, 2021 to Mar 30, 2022
Accounts · 35 to 37
Jun 29, 2020 to Mar 17, 2021
HNW clients · 17 to 19
Jun 29, 2020 to Mar 17, 2021
Individual clients · 19 to 18
Jun 29, 2020 to Mar 17, 2021
Financial planning clients · 1-10 to 0
Jun 29, 2020 to Mar 17, 2021
Discretionary RAUM · $4.4M to $5.1M
Jun 29, 2020 to Mar 17, 2021
HNW RAUM · $3.8M to $4.4M
Jun 29, 2020 to Mar 17, 2021
Individual RAUM · $587,002 to $634,416
Jun 29, 2020 to Mar 17, 2021
RAUM · $4.4M to $5.1M
Jun 29, 2020 to Mar 17, 2021
Accounts · 31 to 35
Mar 11, 2019 to Jan 27, 2020
HNW clients · 16 to 17
Mar 11, 2019 to Jan 27, 2020
Individual clients · 18 to 19
Mar 11, 2019 to Jan 27, 2020
Financial planning clients · 11-25 to 1-10
Mar 11, 2019 to Jan 27, 2020
Discretionary RAUM · $4.7M to $4.4M
Mar 11, 2019 to Jan 27, 2020
HNW RAUM · $4.2M to $3.8M
Mar 11, 2019 to Jan 27, 2020
Individual RAUM · $521,858 to $587,002
Mar 11, 2019 to Jan 27, 2020
RAUM · $4.7M to $4.4M
Mar 11, 2019 to Jan 27, 2020
Accounts · 14 to 31
Feb 1, 2018 to Mar 11, 2019
Individual clients · 11 to 18
Feb 1, 2018 to Mar 11, 2019
Financial planning clients · 1-10 to 11-25
Feb 1, 2018 to Mar 11, 2019
Discretionary RAUM · $4.9M to $4.7M
Feb 1, 2018 to Mar 11, 2019
HNW RAUM · $4.5M to $4.2M
Feb 1, 2018 to Mar 11, 2019
Individual RAUM · $363,111 to $521,858
Feb 1, 2018 to Mar 11, 2019
RAUM · $4.9M to $4.7M
Feb 1, 2018 to Mar 11, 2019
Accounts · 18 to 14
Feb 8, 2017 to Feb 1, 2018
Advisory activities · 1 to 2
Feb 8, 2017 to Feb 1, 2018
HNW clients · unset to 16.0
Feb 8, 2017 to Feb 1, 2018
Individual clients · unset to 11.0
Feb 8, 2017 to Feb 1, 2018
Financial planning clients · unset to 1-10
Feb 8, 2017 to Feb 1, 2018
Other offices · unset to 0.0
Feb 8, 2017 to Feb 1, 2018
Discretionary RAUM · $1.7M to $4.9M
Feb 8, 2017 to Feb 1, 2018
HNW RAUM · unset to 4515423.0
Feb 8, 2017 to Feb 1, 2018
Individual RAUM · unset to 363111.0
Feb 8, 2017 to Feb 1, 2018
RAUM · $1.7M to $4.9M
Feb 8, 2017 to Feb 1, 2018
Accounts · 17 to 18
Jan 27, 2016 to Feb 8, 2017
Discretionary RAUM · $1.4M to $1.7M
Jan 27, 2016 to Feb 8, 2017
RAUM · $1.4M to $1.7M
Jan 27, 2016 to Feb 8, 2017
Accounts · 6 to 17
Jan 26, 2015 to Jan 27, 2016
Discretionary RAUM · $200,000 to $1.4M
Jan 26, 2015 to Jan 27, 2016
RAUM · $200,000 to $1.4M
Jan 26, 2015 to Jan 27, 2016
Accounts · 4 to 6
Apr 25, 2014 to Jan 26, 2015
Discretionary RAUM · $110,000 to $200,000
Apr 25, 2014 to Jan 26, 2015
RAUM · $110,000 to $200,000
Apr 25, 2014 to Jan 26, 2015

Signals

2 dated events

••• Locked
Mar 14, 2024 · Control person left · inference
••• Locked
Apr 2, 2014 · 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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (1) · the addresses open with an account

How to reach

public business contact points only, each with its source

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 25, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 25, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $1.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026