DFX Intelligence

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O•••• A•••••••• L•••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $13.6M of regulatory assets.

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

As of 2026-07-22 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $13.6M
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: +29891%
Private clients: 87% of RAUM, $11.9M

Advisors Advisor movement Where the RAUM sits

As of 2026-07-22 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +29891% over the last fiscal year, to $13.6M.
2026-07-22
RAUM a year earlier $45,421RAUM now $13.6M
6 published business contact points are on record, each with its source.
Contact points 6

Every filed figure, and the identifiersCRD 291076 · SEC 801-112229 · 12 filingsShow

CRD 291076SEC 801-112229First filing on the tape Nov 28, 2017, latest Jul 22, 2026SEC status approved since Jan 12, 2018IAPD

RAUM

$13.6M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

87%

$11.9M 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

12 filings and snapshots on the tape

RAUM$13.6M as of Jul 22, 2026

Mar 29, 2019$0 then

HNW client RAUM$11.9M as of Jul 22, 2026

Mar 29, 2019$0 then

State-registered IARs (5.B.3)0 as of Jul 22, 2026

Mar 29, 20190 then

Employees (5.A)1 as of Jul 22, 2026

Mar 29, 20191 then

Private funds: no history

RAUM +29891% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Jul 22, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)

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: $474,481derivedHNW RAUM over HNW clients
Average account: $454,067derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%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: +22269%derivedbetween 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, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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

is a broker-dealer (6.A.1)
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)
an independent public accountant performs a surprise examination (9.C.1)
a related person acts as qualified custodian (9.D.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$11.9M87%
Corporations and businesses$1.6M12%
Other investment advisers$110,0000.8%

Individual clients: 0reported
HNW clients: 25reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 30reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.87 fund_share=0.01 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived

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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

I••••••• G••••••• M••••• · Managing Member And Chief Compliance Officercontrol
since 10/2017 · owns 75% or more

Related persons

Schedule D 7.A

F•••• O••••• L••
broker-dealercustodiann

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 42 to 30
Mar 31, 2025 to May 1, 2026
Discretionary RAUM · $10.1M to $13.6M
Mar 31, 2025 to May 1, 2026
HNW RAUM · $8.4M to $11.9M
Mar 31, 2025 to May 1, 2026
Non-discretionary RAUM · $110,000 to $0
Mar 31, 2025 to May 1, 2026
RAUM · $10.2M to $13.6M
Mar 31, 2025 to May 1, 2026
Accounts · 1 to 42
Mar 30, 2024 to Mar 31, 2025
Corporate clients · 1 to 4
Mar 30, 2024 to Mar 31, 2025
HNW clients · 0 to 25
Mar 30, 2024 to Mar 31, 2025
Financial planning clients · 1-10 to 1-10
Mar 30, 2024 to Mar 31, 2025
HQ city · unset to
Mar 30, 2024 to Mar 31, 2025
HQ state · unset to
Mar 30, 2024 to Mar 31, 2025
Discretionary RAUM · $45,421 to $10.1M
Mar 30, 2024 to Mar 31, 2025
HNW RAUM · $0 to $8.4M
Mar 30, 2024 to Mar 31, 2025
Non-discretionary RAUM · $0 to $110,000
Mar 30, 2024 to Mar 31, 2025
RAUM · $45,421 to $10.2M
Mar 30, 2024 to Mar 31, 2025
Assets in custody · unset to 0.0
Mar 27, 2023 to Mar 30, 2024
Discretionary RAUM · $0 to $45,421
Mar 27, 2023 to Mar 30, 2024
Non-discretionary RAUM · $250,000 to $0
Mar 27, 2023 to Mar 30, 2024
RAUM · $250,000 to $45,421
Mar 27, 2023 to Mar 30, 2024
Accounts · 0 to 1
Jul 2, 2020 to Mar 27, 2023
Financial planning clients · unset to 1-10
Jul 2, 2020 to Mar 27, 2023
HQ city · BUENOS AIRES to unset
Jul 2, 2020 to Mar 27, 2023
Non-discretionary RAUM · $0 to $250,000
Jul 2, 2020 to Mar 27, 2023
RAUM · $0 to $250,000
Jul 2, 2020 to Mar 27, 2023
Corporate clients · 0 to 1
Mar 29, 2019 to Mar 31, 2020
HQ city · CHOC, CASTRIES to BUENOS AIRES
Mar 29, 2019 to Mar 31, 2020
Related broker-dealer · false to true
Mar 29, 2019 to Mar 31, 2020
BD registered reps · 0 to 1
Jan 8, 2018 to Mar 29, 2019

Signals

1 dated events

••• Locked
Nov 28, 2017 · ria f•••• adv filing · 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

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jul 22, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 22, 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: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026