DFX Intelligence
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SEC-registered adviser
B••••••••• C•••••• M••••••••• L••
Wealth manager with institutional or fund businessSt. Clair, Port Of Spain, CRD 289405SEC 801-111677IAPD
Latest filing Mar 26, 2026
First filing on the tape Aug 15, 2017 · 12 filings
SEC status approved since Sep 15, 2017
RAUM
$31.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
49%
$15.3M 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
12 filings and snapshots on the tape
RAUM$31.0M as of Mar 26, 2026
Mar 14, 2018$0 then
HNW client RAUM$13.9M as of Mar 26, 2026
Mar 14, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 14, 20180 then
Employees (5.A)1 as of Mar 26, 2026
Mar 14, 20181 then
Private funds: no history
RAUM +1.5% over the last fiscal year+44% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- 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
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $968,478derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$13.9M45%
- Banks and thrifts$12.9M42%
- Corporations and businesses$2.5M7.9%
- Individuals$1.4M4.6%
- Insurance companies$354,2051.1%
- Individual clients
- 19reported
- HNW clients
- 9reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 32reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.49 fund_share=0.0 institutional_share=0.01 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• A•••• N•• · Manager And Chief Compliance Officercontrolsince 06/2017 · 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 · 33 to 32Mar 14, 2025 to Mar 26, 2026
- Discretionary RAUM · $30.5M to $31.0MMar 14, 2025 to Mar 26, 2026
- HNW RAUM · $10.5M to $13.9MMar 14, 2025 to Mar 26, 2026
- Individual RAUM · $1.3M to $1.4MMar 14, 2025 to Mar 26, 2026
- RAUM · $30.5M to $31.0MMar 14, 2025 to Mar 26, 2026
- Accounts · 25 to 33Mar 14, 2024 to Mar 14, 2025
- Corporate clients · 1 to 2Mar 14, 2024 to Mar 14, 2025
- HNW clients · 7 to 9Mar 14, 2024 to Mar 14, 2025
- Individual clients · 14 to 19Mar 14, 2024 to Mar 14, 2025
- Financial planning clients · unset to Mar 14, 2024 to Mar 14, 2025
- HQ state · unset to Mar 14, 2024 to Mar 14, 2025
- Discretionary RAUM · $12.6M to $30.5MMar 14, 2024 to Mar 14, 2025
- HNW RAUM · $8.4M to $10.5MMar 14, 2024 to Mar 14, 2025
- Individual RAUM · $904,919 to $1.3MMar 14, 2024 to Mar 14, 2025
- RAUM · $12.6M to $30.5MMar 14, 2024 to Mar 14, 2025
- Accounts · 21 to 25Mar 22, 2023 to Mar 14, 2024
- HNW clients · 8 to 7Mar 22, 2023 to Mar 14, 2024
- Individual clients · 10 to 14Mar 22, 2023 to Mar 14, 2024
- HQ city · ST. CLAIR, PORT-OF-SPAIN to ST. CLAIR, PORT OF SPAINMar 22, 2023 to Mar 14, 2024
- Discretionary RAUM · $10.5M to $12.6MMar 22, 2023 to Mar 14, 2024
- HNW RAUM · $7.4M to $8.4MMar 22, 2023 to Mar 14, 2024
- Individual RAUM · $490,244 to $904,919Mar 22, 2023 to Mar 14, 2024
- RAUM · $10.5M to $12.6MMar 22, 2023 to Mar 14, 2024
- Accounts · 18 to 21May 17, 2022 to Mar 22, 2023
- HNW clients · 7 to 8May 17, 2022 to Mar 22, 2023
- Individual clients · 8 to 10May 17, 2022 to Mar 22, 2023
- HQ city · unset to ST. CLAIR, PORT-OF-SPAINMay 17, 2022 to Mar 22, 2023
- Discretionary RAUM · $12.8M to $10.5MMay 17, 2022 to Mar 22, 2023
- HNW RAUM · $9.4M to $7.4MMay 17, 2022 to Mar 22, 2023
- Individual RAUM · $619,254 to $490,244May 17, 2022 to Mar 22, 2023
- RAUM · $12.8M to $10.5MMay 17, 2022 to Mar 22, 2023
- Accounts · 16 to 18Mar 8, 2021 to Mar 30, 2022
- Individual clients · 6 to 8Mar 8, 2021 to Mar 30, 2022
- Discretionary RAUM · $12.1M to $12.8MMar 8, 2021 to Mar 30, 2022
- HNW RAUM · $8.9M to $9.4MMar 8, 2021 to Mar 30, 2022
- Individual RAUM · $601,440 to $619,254Mar 8, 2021 to Mar 30, 2022
- RAUM · $12.1M to $12.8MMar 8, 2021 to Mar 30, 2022
- Accounts · 17 to 16Jun 30, 2020 to Mar 8, 2021
- HNW clients · 8 to 7Jun 30, 2020 to Mar 8, 2021
- Discretionary RAUM · $10.6M to $12.1MJun 30, 2020 to Mar 8, 2021
Signals
1 dated events
- B••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 15, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 1 (740) 409-8235reportedpublic record, Form ADV, Mar 26, 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
- Wealth manager with institutional or fund businessderiveda 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