DFX Intelligence

RIA Intelligence

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Independent wealth managerSEC-registered

Independent wealth manager, reporting $1.8M of regulatory assets.

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

Regulatory AUM
$1.8M
Form ADV
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
+11%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $1.8M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 269906 · SEC 801-101494 · 14 filingsShow
CRD 269906SEC 801-101494First filing on the tape Jul 7, 2015, latest Feb 24, 2026SEC status approved since Jul 24, 2015IAPD
RAUM
$1.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
14 filings and snapshots on the tape
RAUM$1.8M as of Feb 24, 2026
Feb 27, 2017$0 then
HNW client RAUM$0 as of Feb 24, 2026
Feb 16, 2018$0 then
State-registered IARs (5.B.3)1 as of Feb 24, 2026
Feb 11, 20161 then
Employees (5.A)1 as of Feb 24, 2026
Feb 11, 20161 then
Private funds: no history
RAUM +11% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 24, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$1.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
6derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$295,417derivedRAUM 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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-33%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$1.8M100%
Individual clients
6reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
6reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
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 departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P•••• N••••• · Managing Member And Chief Compliance Officercontrol
        since 06/2015 · 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.
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 6
        Feb 20, 2025 to Feb 24, 2026
      • Individual clients · 9 to 6
        Feb 20, 2025 to Feb 24, 2026
      • Discretionary RAUM · $1.6M to $1.8M
        Feb 20, 2025 to Feb 24, 2026
      • Individual RAUM · $1.6M to $1.8M
        Feb 20, 2025 to Feb 24, 2026
      • RAUM · $1.6M to $1.8M
        Feb 20, 2025 to Feb 24, 2026
      • Financial planning clients · 0 to 0
        Mar 6, 2024 to Feb 20, 2025
      • HQ city · unset to
        Mar 6, 2024 to Feb 20, 2025
      • HQ state · unset to
        Mar 6, 2024 to Feb 20, 2025
      • Discretionary RAUM · $1.2M to $1.6M
        Mar 6, 2024 to Feb 20, 2025
      • Individual RAUM · $1.2M to $1.6M
        Mar 6, 2024 to Feb 20, 2025
      • RAUM · $1.2M to $1.6M
        Mar 6, 2024 to Feb 20, 2025
      • Accounts · 13 to 9
        Mar 10, 2023 to Mar 6, 2024
      • Individual clients · 13 to 9
        Mar 10, 2023 to Mar 6, 2024
      • Discretionary RAUM · $1.1M to $1.2M
        Mar 10, 2023 to Mar 6, 2024
      • Individual RAUM · $1.1M to $1.2M
        Mar 10, 2023 to Mar 6, 2024
      • RAUM · $1.1M to $1.2M
        Mar 10, 2023 to Mar 6, 2024
      • Accounts · 9 to 13
        Mar 4, 2022 to Mar 10, 2023
      • Individual clients · 9 to 13
        Mar 4, 2022 to Mar 10, 2023
      • Discretionary RAUM · $1.6M to $1.1M
        Mar 4, 2022 to Mar 10, 2023
      • Individual RAUM · $1.6M to $1.1M
        Mar 4, 2022 to Mar 10, 2023
      • RAUM · $1.6M to $1.1M
        Mar 4, 2022 to Mar 10, 2023
      • Accounts · 7 to 9
        Jan 29, 2021 to Mar 4, 2022
      • Individual clients · 7 to 9
        Jan 29, 2021 to Mar 4, 2022
      • Discretionary RAUM · $672,906 to $1.6M
        Jan 29, 2021 to Mar 4, 2022
      • Individual RAUM · $672,906 to $1.6M
        Jan 29, 2021 to Mar 4, 2022
      • RAUM · $672,906 to $1.6M
        Jan 29, 2021 to Mar 4, 2022
      • Discretionary RAUM · $201,564 to $672,906
        Jun 26, 2020 to Jan 29, 2021
      • Individual RAUM · $201,564 to $672,906
        Jun 26, 2020 to Jan 29, 2021
      • RAUM · $201,564 to $672,906
        Jun 26, 2020 to Jan 29, 2021
      • Accounts · 8 to 7
        Jan 30, 2019 to Feb 17, 2020
      • Individual clients · 8 to 7
        Jan 30, 2019 to Feb 17, 2020
      • Discretionary RAUM · $164,399 to $201,564
        Jan 30, 2019 to Feb 17, 2020
      • Individual RAUM · $164,399 to $201,564
        Jan 30, 2019 to Feb 17, 2020
      • RAUM · $164,399 to $201,564
        Jan 30, 2019 to Feb 17, 2020
      • Accounts · 5 to 8
        Feb 16, 2018 to Jan 30, 2019
      • Individual clients · 5 to 8
        Feb 16, 2018 to Jan 30, 2019
      • Discretionary RAUM · $123,927 to $164,399
        Feb 16, 2018 to Jan 30, 2019
      • Individual RAUM · $123,927 to $164,399
        Feb 16, 2018 to Jan 30, 2019
      • RAUM · $123,927 to $164,399
        Feb 16, 2018 to Jan 30, 2019
      • Accounts · 0 to 5
        Feb 27, 2017 to Feb 16, 2018
      Signals
      1 dated events
      • ••• Locked
        Jul 7, 2015 · 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
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Feb 24, 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