DFX Intelligence

RIA Intelligence

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SEC-registered adviser

F•••••• A••••••• L••

Independent wealth managerCRD 283340SEC 801-107460websiteIAPD
Latest filing Mar 30, 2026
First filing on the tape Mar 15, 2016 · 17 filings
SEC status approved since Mar 21, 2016
RAUM
$2.1M
reported, Item 5.F
Discretionary
16%
of RAUM
Private clients
100%
$2.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.1M
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
17 filings and snapshots on the tape
RAUM$2.1M as of Mar 30, 2026
Feb 1, 2017$0 then
HNW client RAUM$0 as of Mar 30, 2026
Jan 4, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Feb 1, 20170 then
Employees (5.A)1 as of Mar 30, 2026
Feb 1, 20171 then
Private funds: no history
RAUM +86% over the last fiscal year+21% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 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
$2.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
5derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$264,611derivedRAUM over accounts (5.F.2.f)
Discretionary
16%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
+86%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 assetsreportedItem 5.E
Advisory activities
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$2.1M100%
Individual clients
5reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
NameBranchHere sinceIn industryPrior firms
S•••• H•••San Francisco, CaMay 24, 201610 y0
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••• S•••• · Ccocontrol
        since 02/2016 · owns less than 5%
      • H•••• S•••• · Shareholdercontrol
        since 02/2016 · owns 75% or more of F•••••• H••••••• I•••
      Entity owners
      • F•••••• H••••••• I••• · Managing Member, Parent Entity
        direct · 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 · 7 to 8
        Mar 31, 2025 to Mar 30, 2026
      • Discretionary RAUM · $369,785 to $330,354
        Mar 31, 2025 to Mar 30, 2026
      • Individual RAUM · $1.1M to $2.1M
        Mar 31, 2025 to Mar 30, 2026
      • Non-discretionary RAUM · $767,529 to $1.8M
        Mar 31, 2025 to Mar 30, 2026
      • RAUM · $1.1M to $2.1M
        Mar 31, 2025 to Mar 30, 2026
      • Accounts · 6 to 7
        Oct 9, 2024 to Mar 31, 2025
      • Individual clients · 6 to 5
        Oct 9, 2024 to Mar 31, 2025
      • Financial planning clients · 0 to 0
        Oct 9, 2024 to Mar 31, 2025
      • HQ city · unset to
        Oct 9, 2024 to Mar 31, 2025
      • HQ state · unset to
        Oct 9, 2024 to Mar 31, 2025
      • Discretionary RAUM · $682,647 to $369,785
        Oct 9, 2024 to Mar 31, 2025
      • Individual RAUM · $1.8M to $1.1M
        Oct 9, 2024 to Mar 31, 2025
      • Non-discretionary RAUM · $1.1M to $767,529
        Oct 9, 2024 to Mar 31, 2025
      • RAUM · $1.8M to $1.1M
        Oct 9, 2024 to Mar 31, 2025
      • Discretionary RAUM · $425,873 to $682,647
        Mar 31, 2023 to Mar 20, 2024
      • Individual RAUM · $1.2M to $1.8M
        Mar 31, 2023 to Mar 20, 2024
      • Non-discretionary RAUM · $763,501 to $1.1M
        Mar 31, 2023 to Mar 20, 2024
      • RAUM · $1.2M to $1.8M
        Mar 31, 2023 to Mar 20, 2024
      • Accounts · 59 to 6
        Mar 31, 2022 to Mar 31, 2023
      • Individual clients · 60 to 6
        Mar 31, 2022 to Mar 31, 2023
      • Employees · 3 to 1
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $362,076 to $425,873
        Mar 31, 2022 to Mar 31, 2023
      • Individual RAUM · $19.0M to $1.2M
        Mar 31, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $18.7M to $763,501
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $19.0M to $1.2M
        Mar 31, 2022 to Mar 31, 2023
      • Accounts · 81 to 59
        Mar 29, 2021 to Mar 31, 2022
      • Individual clients · 81 to 60
        Mar 29, 2021 to Mar 31, 2022
      • Discretionary RAUM · $0 to $362,076
        Mar 29, 2021 to Mar 31, 2022
      • Individual RAUM · $15.9M to $19.0M
        Mar 29, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $15.9M to $18.7M
        Mar 29, 2021 to Mar 31, 2022
      • RAUM · $15.9M to $19.0M
        Mar 29, 2021 to Mar 31, 2022
      • Accounts · 61 to 81
        Oct 14, 2020 to Mar 29, 2021
      • Individual clients · 61 to 81
        Oct 14, 2020 to Mar 29, 2021
      • Individual RAUM · $14.8M to $15.9M
        Oct 14, 2020 to Mar 29, 2021
      • Non-discretionary RAUM · $14.8M to $15.9M
        Oct 14, 2020 to Mar 29, 2021
      • RAUM · $14.8M to $15.9M
        Oct 14, 2020 to Mar 29, 2021
      • Accounts · 16 to 61
        Feb 18, 2019 to Mar 19, 2020
      • Individual clients · 16 to 61
        Feb 18, 2019 to Mar 19, 2020
      • Employees · 4 to 3
        Feb 18, 2019 to Mar 19, 2020
      • Individual RAUM · $14.2M to $14.8M
        Feb 18, 2019 to Mar 19, 2020
      Signals
      1 dated events
      • F•••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 15, 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.
      How to reach
      public business contact points only, each with its source
      Website
      F••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      262-346-4243reportedpublic record, Form ADV, Mar 30, 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
      $2.1Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026