DFX Intelligence

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C••••••••• A•••• F•

Independent wealth managerSEC-registered

Independent wealth manager, reporting $67.2M of regulatory assets.

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

As of 2026-03-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $67.2M
Advisors: 0
RAUM change, 1 year: +12%
Private clients: 99%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 29 Mar 2026, RAUM $59.9M to $67.2M (+12.3%) on the Form ADV filed 29 Mar 2026.

Every filed figure, and the identifiersCRD 288859 · SEC 801-113010 · 13 filingsShow

CRD 288859SEC 801-113010Legal name C••••••••• A•••• F••••First filing on the tape Mar 28, 2018, latest Mar 29, 2026SEC status approved since Apr 23, 2018IAPD

RAUM

$67.2M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

99%

$66.6M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM +14% a year over three years · the tape starts Mar 28, 2018

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

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

RAUM$67.2M as of Mar 29, 2026

Mar 28, 2018$38.4M then

HNW client RAUM$44.8M as of Mar 29, 2026

Mar 28, 2018$22.4M then

State-registered IARs (5.B.3)0 as of Mar 29, 2026

Mar 28, 20180 then

Employees (5.A)1 as of Mar 29, 2026

Mar 28, 20181 then

Private funds: no history

RAUM +12% over the last fiscal year+14% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 29, 2026; every figure names its basis

Archetypes

HNW wealth manager

The rule behind each archetype, and every derived figure1 ruleShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent

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: $2.2MderivedHNW RAUM over HNW clients
Average account: $947,102derivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: +12%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -1.4%derived
Compensation: percentage of assets, hourly, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, otherreportedItem 5.G
Custody: $67.2M, 71 clientsreportedItem 9.A
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

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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

67% high-net-worth individuals, 32% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$44.8M67%
Individuals$21.8M32%
Charitable organizations$595,6130.9%

Individual clients: 50reported
HNW clients: 20reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 71reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: $67.2M for 71 clientsreported
Compensation: % of AUM, hourlyreported
Class basis: RAUM: 99% private clients, 0% pooled funds, 1% institutions; no related broker-dealer; no related bank; no bank ownerderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••••••• A••••• F•••• · Owner - Sole Proprietor / Chief Compliance Officercontrol
since 11/1991 · owns 75% or more

Ownership changes

Schedule A, between consecutive filings

No owner or control person joined or left between filings on the tape.

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

C••••••••• A•••• F•
insuranceyRAUM $67.2M

Advisers that list C••••••••• A•••• F• as a related person

288859 y

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

low discretionary shareStatic outlier · filing Mar 29, 2026
discretionary share of RAUM of 0% against a peer median of 100% (309 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: independent wealth managers, under $100M (309) · 0.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 72 to 71
Mar 26, 2025 to Mar 29, 2026
HNW clients · 18 to 20
Mar 26, 2025 to Mar 29, 2026
Individual clients · 53 to 50
Mar 26, 2025 to Mar 29, 2026
Assets in custody · $59.9M to $67.2M
Mar 26, 2025 to Mar 29, 2026
HNW RAUM · $37.6M to $44.8M
Mar 26, 2025 to Mar 29, 2026

Full history · 71 changes

Individual RAUM · $21.6M to $21.8M
Mar 26, 2025 to Mar 29, 2026
Non-discretionary RAUM · $59.9M to $67.2M
Mar 26, 2025 to Mar 29, 2026
RAUM · $59.9M to $67.2M
Mar 26, 2025 to Mar 29, 2026
Accounts · 69 to 72
Mar 24, 2024 to Mar 26, 2025
HNW clients · 17 to 18
Mar 24, 2024 to Mar 26, 2025
Individual clients · 51 to 53
Mar 24, 2024 to Mar 26, 2025
Assets in custody · $52.1M to $59.9M
Mar 24, 2024 to Mar 26, 2025
Financial planning clients · 51-100 to 51-100
Mar 24, 2024 to Mar 26, 2025
HQ city · unset to
Mar 24, 2024 to Mar 26, 2025
HQ state · unset to
Mar 24, 2024 to Mar 26, 2025
HNW RAUM · $28.7M to $37.6M
Mar 24, 2024 to Mar 26, 2025
Individual RAUM · $22.9M to $21.6M
Mar 24, 2024 to Mar 26, 2025
Non-discretionary RAUM · $52.1M to $59.9M
Mar 24, 2024 to Mar 26, 2025
RAUM · $52.1M to $59.9M
Mar 24, 2024 to Mar 26, 2025
Related adviser · false to true
Mar 24, 2024 to Mar 26, 2025
Accounts · 65 to 69
Mar 29, 2023 to Mar 24, 2024
HNW clients · 16 to 17
Mar 29, 2023 to Mar 24, 2024
Individual clients · 48 to 51
Mar 29, 2023 to Mar 24, 2024
Assets in custody · $45.4M to $52.1M
Mar 29, 2023 to Mar 24, 2024
HNW RAUM · $26.2M to $28.7M
Mar 29, 2023 to Mar 24, 2024
Individual RAUM · $18.7M to $22.9M
Mar 29, 2023 to Mar 24, 2024
Non-discretionary RAUM · $45.4M to $52.1M
Mar 29, 2023 to Mar 24, 2024
RAUM · $45.4M to $52.1M
Mar 29, 2023 to Mar 24, 2024
Assets in custody · $53.3M to $45.4M
Mar 28, 2022 to Mar 29, 2023
HNW RAUM · $30.7M to $26.2M
Mar 28, 2022 to Mar 29, 2023
Individual RAUM · $22.0M to $18.7M
Mar 28, 2022 to Mar 29, 2023
Non-discretionary RAUM · $53.3M to $45.4M
Mar 28, 2022 to Mar 29, 2023
RAUM · $53.3M to $45.4M
Mar 28, 2022 to Mar 29, 2023
Accounts · 58 to 65
Mar 21, 2021 to Mar 28, 2022
Charity clients · 1.0 to unset
Mar 21, 2021 to Mar 28, 2022
HNW clients · 15 to 16
Mar 21, 2021 to Mar 28, 2022
Individual clients · 42 to 48
Mar 21, 2021 to Mar 28, 2022
Assets in custody · $44.9M to $53.3M
Mar 21, 2021 to Mar 28, 2022
HNW RAUM · $26.7M to $30.7M
Mar 21, 2021 to Mar 28, 2022
Individual RAUM · $17.6M to $22.0M
Mar 21, 2021 to Mar 28, 2022
Non-discretionary RAUM · $44.9M to $53.3M
Mar 21, 2021 to Mar 28, 2022
RAUM · $44.9M to $53.3M
Mar 21, 2021 to Mar 28, 2022
Accounts · 71 to 58
Jun 30, 2020 to Mar 21, 2021
Charity clients · unset to 1.0
Jun 30, 2020 to Mar 21, 2021
HNW clients · 8 to 15
Jun 30, 2020 to Mar 21, 2021
Individual clients · 61 to 42
Jun 30, 2020 to Mar 21, 2021
Assets in custody · $43.1M to $44.9M
Jun 30, 2020 to Mar 21, 2021
HNW RAUM · $15.4M to $26.7M
Jun 30, 2020 to Mar 21, 2021
Individual RAUM · $23.3M to $17.6M
Jun 30, 2020 to Mar 21, 2021
Non-discretionary RAUM · $43.1M to $44.9M
Jun 30, 2020 to Mar 21, 2021
Pension RAUM · 3901709.0 to unset
Jun 30, 2020 to Mar 21, 2021
RAUM · $43.1M to $44.9M
Jun 30, 2020 to Mar 21, 2021
Accounts · 68 to 71
Mar 27, 2019 to Mar 31, 2020
HNW clients · 11 to 8
Mar 27, 2019 to Mar 31, 2020
Individual clients · 55 to 61
Mar 27, 2019 to Mar 31, 2020
Assets in custody · $34.4M to $43.1M
Mar 27, 2019 to Mar 31, 2020
Financial planning clients · 26-50 to 51-100
Mar 27, 2019 to Mar 31, 2020
HNW RAUM · $13.1M to $15.4M
Mar 27, 2019 to Mar 31, 2020
Individual RAUM · $17.4M to $23.3M
Mar 27, 2019 to Mar 31, 2020
Non-discretionary RAUM · $34.4M to $43.1M
Mar 27, 2019 to Mar 31, 2020
Pension RAUM · $3.3M to $3.9M
Mar 27, 2019 to Mar 31, 2020
RAUM · $34.4M to $43.1M
Mar 27, 2019 to Mar 31, 2020
Accounts · 61 to 68
Mar 31, 2018 to Mar 27, 2019
HNW clients · 23 to 11
Mar 31, 2018 to Mar 27, 2019
Individual clients · 36 to 55
Mar 31, 2018 to Mar 27, 2019
Assets in custody · $38.4M to $34.4M
Mar 31, 2018 to Mar 27, 2019
HNW RAUM · $22.4M to $13.1M
Mar 31, 2018 to Mar 27, 2019
Individual RAUM · $11.7M to $17.4M
Mar 31, 2018 to Mar 27, 2019
Non-discretionary RAUM · $38.4M to $34.4M
Mar 31, 2018 to Mar 27, 2019
Pension RAUM · $3.7M to $3.3M
Mar 31, 2018 to Mar 27, 2019
RAUM · $38.4M to $34.4M
Mar 31, 2018 to Mar 27, 2019

Signals

1 dated events

••• Locked
Mar 28, 2018 · 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, Mar 29, 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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.