DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

3d Wealth Ria, LLC

Former SEC-registered adviserLocust Valley, New YorkCRD 289081SEC 801-111887IAPD
Latest filing Jul 11, 2019
First filing on the tape Sep 20, 2017 · 9 filings
RAUM
$12.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$12.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM: $12.5M
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 29, 2019
Mar 20, 20181 then
Employees (5.A)5 as of Mar 29, 2019
Mar 20, 20181 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 5
Practice profile
derived from the filing of Jul 11, 2019; every figure names its basis
RAUM per advisor
$2.5MderivedRAUM 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
$498,331derivedRAUM 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
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+400%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$12.5M100%
  • Corporations and businesses$5,0000.0%
Individual clients
23reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
25reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M Monroe Diefendorf · President/Chief Compliance Officercontrol
    since 02/2012 · owns less than 5%
Entity owners
  • 3 Dimensional Wealth Advisory, LLC · Shareholder
    direct · owns 75% or more
  • South Dakota Trust Company, LLC · Trustee
    indirect · owns F of Diefendorf Family 2011 Dynasty Trust
  • The Diefendorf Family 2011 Dynasty Trust · Shareholder
    indirect · owns 75% or more of 3 Dimensional Wealth Advisory, LLC
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory activities · 4 to 3
    May 30, 2019 to Jul 8, 2019
  • Accounts · unset to 25.0
    Mar 20, 2018 to Mar 29, 2019
  • Advisory employees · 1 to 5
    Mar 20, 2018 to Mar 29, 2019
  • BD registered reps · 1 to 5
    Mar 20, 2018 to Mar 29, 2019
  • Corporate clients · unset to 2.0
    Mar 20, 2018 to Mar 29, 2019
  • Individual clients · unset to 23.0
    Mar 20, 2018 to Mar 29, 2019
  • Employees · 1 to 5
    Mar 20, 2018 to Mar 29, 2019
  • Insurance-licensed employees · 1 to 5
    Mar 20, 2018 to Mar 29, 2019
  • State-registered IARs · 1 to 5
    Mar 20, 2018 to Mar 29, 2019
  • Discretionary RAUM · unset to 12458271.0
    Mar 20, 2018 to Mar 29, 2019
  • Individual RAUM · unset to 12453271.0
    Mar 20, 2018 to Mar 29, 2019
  • Non-discretionary RAUM · unset to 0.0
    Mar 20, 2018 to Mar 29, 2019
  • RAUM · unset to 12458271.0
    Mar 20, 2018 to Mar 29, 2019
  • Wrap assets (manager) · 0.0 to unset
    Mar 20, 2018 to Mar 29, 2019
  • Wrap assets (sponsor) · 0.0 to unset
    Mar 20, 2018 to Mar 29, 2019
  • Accounts · 0.0 to unset
    Mar 16, 2018 to Mar 20, 2018
  • Discretionary RAUM · 0.0 to unset
    Mar 16, 2018 to Mar 20, 2018
  • Non-discretionary RAUM · 0.0 to unset
    Mar 16, 2018 to Mar 20, 2018
  • RAUM · 0.0 to unset
    Mar 16, 2018 to Mar 20, 2018
  • Employees · 2 to 1
    Sep 20, 2017 to Mar 16, 2018
  • Other offices · unset to 1.0
    Sep 20, 2017 to Mar 16, 2018
  • Wrap assets (manager) · unset to 0.0
    Sep 20, 2017 to Mar 16, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Sep 20, 2017 to Mar 16, 2018
Signals
1 dated events
  • 3D Wealth Ria, Llc filed its initial SEC registration (Form ADV)
    Sep 20, 2017 · 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