DFX Intelligence

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Former SEC-registered adviserFormer SEC adviser· Waxhaw, North Carolina

Former SEC-registered adviser, based in Waxhaw, North Carolina, reporting $45,000 of regulatory assets.

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

As of 2018-02-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $45,000
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2018-02-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 291107 · SEC 801-112248 · 3 filingsShow

CRD 291107SEC 801-112248First filing on the tape Dec 3, 2017, latest Feb 5, 2018IAPD

RAUM

$45,000

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$45,000 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

3 filings and snapshots on the tape

Filed figures over time · the tape starts Dec 3, 2017

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

RAUM$45,000 as of Feb 5, 2018

Dec 3, 2017$25.0M then

HNW client RAUM: $25.0M

State-registered IARs (5.B.3)1 as of Feb 5, 2018

Dec 3, 20171 then

Employees (5.A)1 as of Feb 5, 2018

Dec 3, 20171 then

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Feb 5, 2018; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $45,000derivedRAUM 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: $45,000derivedRAUM 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: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween 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, hourly, fixed fees, subscription, performance-based, commissionsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
the adviser acts as qualified custodian (9.D.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% individuals

The breakdown by client type, and the client counts1 client typesShow

Individuals$45,000100%

Individual clients: 1reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourly, performance, commissionsreported
Class basis: absent from the latest SEC rosterderived

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

N•••••• R•••••• W••••• · Managing Membercontrol
since 08/2017 · owns 75% or more
N•••••• R•••••• W••••• · Managing Membercontrol
since 08/2017 · owns 75% or more of N•••••• R•••••• W•••••

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

BD registered reps · 0 to 1
Dec 3, 2017 to Jan 29, 2018
Charity clients · 0.0 to unset
Dec 3, 2017 to Jan 29, 2018
Corporate clients · 0.0 to unset
Dec 3, 2017 to Jan 29, 2018
HNW clients · 1.0 to unset
Dec 3, 2017 to Jan 29, 2018
Individual clients · 0 to 1
Dec 3, 2017 to Jan 29, 2018

Full history · 14 changes

Pension plan clients · 0.0 to unset
Dec 3, 2017 to Jan 29, 2018
Pooled vehicle clients · 0.0 to unset
Dec 3, 2017 to Jan 29, 2018
Financial planning clients · 0 to 1-10
Dec 3, 2017 to Jan 29, 2018
Discretionary RAUM · $25.0M to $45,000
Dec 3, 2017 to Jan 29, 2018
HNW RAUM · 25000000.0 to unset
Dec 3, 2017 to Jan 29, 2018
Individual RAUM · $0 to $45,000
Dec 3, 2017 to Jan 29, 2018
Pension RAUM · 0.0 to unset
Dec 3, 2017 to Jan 29, 2018
Pooled vehicle RAUM · 0.0 to unset
Dec 3, 2017 to Jan 29, 2018
RAUM · $25.0M to $45,000
Dec 3, 2017 to Jan 29, 2018

Signals

1 dated events

••• Locked
Dec 3, 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

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: Former SEC-registered adviserderiveda 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