DFX Intelligence

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Former SEC-registered adviserFormer SEC adviser· S•••••••

Former SEC-registered adviser, based in S•••••••.

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

As of 2018-03-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: Not applicable
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: Not applicable
Private clients: Not established

Advisors Advisor movement Where the RAUM sits

As of 2018-03-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 5 Form ADV filings for this adviser, the latest 8.7 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 282749 · SEC 801-107341 · 5 filingsShow

CRD 282749SEC 801-107341First filing on the tape Feb 22, 2016, latest Mar 2, 2018IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 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

5 filings and snapshots on the tape

RAUM$0 as of Mar 2, 2018

Feb 22, 2016$0 then

HNW client RAUM: $0

State-registered IARs (5.B.3)1 as of Mar 2, 2018

Feb 22, 20161 then

Employees (5.A)1 as of Mar 2, 2018

Feb 22, 20161 then

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Mar 2, 2018; every figure names its basis

RAUM per advisor: $0derivedRAUM 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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, 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: 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, subscription, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, publicationsreportedItem 5.G
Wrap fee program: participatesreportedItem 5.I
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: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 0reported
Financial planning clients: n/areported
Wrap fee programs: $0 sponsored, $0 managedreported
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

C••• Y••••••• N•• · Membercontrol
since 12/2015 · owns 50% to 75%
Z••••• H•••• N•• · Managing Member & Chief Compliance Officercontrol
since 12/2015 · owns 25% to 50%

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

Charity clients · unset to 0.0
Apr 3, 2017 to Mar 2, 2018
Corporate clients · unset to 0.0
Apr 3, 2017 to Mar 2, 2018
HNW clients · unset to 0.0
Apr 3, 2017 to Mar 2, 2018
Individual clients · unset to 0.0
Apr 3, 2017 to Mar 2, 2018
Pension plan clients · unset to 0.0
Apr 3, 2017 to Mar 2, 2018
Pooled vehicle clients · unset to 0.0
Apr 3, 2017 to Mar 2, 2018
Other offices · unset to 0.0
Apr 3, 2017 to Mar 2, 2018
HNW RAUM · unset to 0.0
Apr 3, 2017 to Mar 2, 2018
Individual RAUM · unset to 0.0
Apr 3, 2017 to Mar 2, 2018
Pension RAUM · unset to 0.0
Apr 3, 2017 to Mar 2, 2018
Pooled vehicle RAUM · unset to 0.0
Apr 3, 2017 to Mar 2, 2018
Wrap assets (manager) · unset to 0.0
Apr 3, 2017 to Mar 2, 2018
Wrap assets (sponsor) · unset to 0.0
Apr 3, 2017 to Mar 2, 2018

Signals

1 dated events

••• Locked
Feb 22, 2016 · 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