DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A•••• R••• C••••••••• ••• L••••••
Latest filing Nov 19, 2025
First filing on the tape Jun 20, 2018 · 14 filings
SEC status approved since Sep 22, 2020
RAUM
$1.4B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$1.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
13 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.4B as of Nov 19, 2025
Oct 17, 2019$49.0M then
HNW client RAUM$1.4B as of Nov 19, 2025
Oct 17, 2019$49.0M then
State-registered IARs (5.B.3)0 as of Nov 19, 2025
Oct 17, 20190 then
Employees (5.A)15 as of Nov 19, 2025
Oct 17, 20196 then
Private funds: no history
RAUM +33% over the last fiscal year+21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 19, 2025; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $124MderivedHNW RAUM over HNW clients
- Average account
- $124MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, selection of other advisers, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.4B100%
- Individual clients
- n/areported
- HNW clients
- 11reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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
- B•••••••• D••••• P•••• · Chief Compliance Officer & Directorcontrolsince 05/2022 · owns less than 5%
- K••••••• P••• · Directorcontrolsince 03/2022 · owns less than 5%
- M••••••• W••••• P•••••• · Directorcontrolsince 04/2022 · owns less than 5%
- O••••••• A••••• · Directorcontrolsince 10/2015 · owns less than 5%
- V•••••••• S••••••••• · Directorcontrolsince 07/2022 · owns less than 5%
- H•••••••• G••••• · Ownercontrolsince 10/2012 · owns 25% to 50% of A•• G•••• L••••••
Entity owners
- A•• G•••• L•••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•••• R••• C••••••••• ••••••• L••••••investment advisern
- A•••• R••• C••••••••• L••••••investment advisern
Offices
Schedule D 1.F, the 25 largest
- St Helier, Jersey8 employees
- St Peter Port, Guernsey8 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Nov 19, 2025discretionary share of RAUM of 0% against a peer median of 99% (1362 comparable advisers, 0.0th percentile, 33.2 robust deviations)peers: independent wealth managers, $1B to $5B (1,362) · 0.0% percentile
- control person changedChange between filings · filing Nov 19, 2025H•••••••• G••••• (OWNER) left Schedule A between the filings of 2023-09-29 and 2025-11-19peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Employees · 16 to 15Sep 30, 2024 to Nov 19, 2025
- Financial planning clients · 11-25 to 11-25Sep 30, 2024 to Nov 19, 2025
- HQ state · unset to Sep 30, 2024 to Nov 19, 2025
- HNW RAUM · $1.4B to $1.4BSep 30, 2024 to Nov 19, 2025
- Non-discretionary RAUM · $1.4B to $1.4BSep 30, 2024 to Nov 19, 2025
- RAUM · $1.4B to $1.4BSep 30, 2024 to Nov 19, 2025
- Advisory employees · 12 to 13Sep 29, 2023 to Sep 30, 2024
- Employees · 14 to 16Sep 29, 2023 to Sep 30, 2024
- Financial planning clients · 1-10 to 11-25Sep 29, 2023 to Sep 30, 2024
- HNW RAUM · $1.0B to $1.4BSep 29, 2023 to Sep 30, 2024
- Non-discretionary RAUM · $1.0B to $1.4BSep 29, 2023 to Sep 30, 2024
- RAUM · $1.0B to $1.4BSep 29, 2023 to Sep 30, 2024
- Accounts · 10 to 11Sep 29, 2022 to Sep 29, 2023
- Advisory employees · 8 to 12Sep 29, 2022 to Sep 29, 2023
- HNW clients · 10 to 11Sep 29, 2022 to Sep 29, 2023
- Employees · 10 to 14Sep 29, 2022 to Sep 29, 2023
- HNW RAUM · $928M to $1.0BSep 29, 2022 to Sep 29, 2023
- Non-discretionary RAUM · $928M to $1.0BSep 29, 2022 to Sep 29, 2023
- RAUM · $928M to $1.0BSep 29, 2022 to Sep 29, 2023
- Employees · 8 to 10Sep 27, 2021 to Sep 29, 2022
- HNW RAUM · $768M to $928MSep 27, 2021 to Sep 29, 2022
- Non-discretionary RAUM · $768M to $928MSep 27, 2021 to Sep 29, 2022
- RAUM · $768M to $928MSep 27, 2021 to Sep 29, 2022
- Accounts · 7 to 10Sep 22, 2020 to Sep 27, 2021
- Advisory employees · 7 to 8Sep 22, 2020 to Sep 27, 2021
- HNW clients · 7 to 10Sep 22, 2020 to Sep 27, 2021
- Employees · 7 to 8Sep 22, 2020 to Sep 27, 2021
- HNW RAUM · $214M to $768MSep 22, 2020 to Sep 27, 2021
- Non-discretionary RAUM · $214M to $768MSep 22, 2020 to Sep 27, 2021
- RAUM · $214M to $768MSep 22, 2020 to Sep 27, 2021
- Accounts · 4 to 7Jun 30, 2020 to Sep 22, 2020
- Advisory employees · 6 to 7Jun 30, 2020 to Sep 22, 2020
- HNW clients · unset to 7.0Jun 30, 2020 to Sep 22, 2020
- Employees · 6 to 7Jun 30, 2020 to Sep 22, 2020
- HNW RAUM · $49.0M to $214MJun 30, 2020 to Sep 22, 2020
- Non-discretionary RAUM · $49.0M to $214MJun 30, 2020 to Sep 22, 2020
- RAUM · $49.0M to $214MJun 30, 2020 to Sep 22, 2020
- Advisory employees · 12 to 6Mar 20, 2019 to Oct 17, 2019
- Accounts · 0 to 4Mar 20, 2019 to Oct 17, 2019
- Advisory activities · 2 to 3Mar 20, 2019 to Oct 17, 2019
Signals
12 dated events
- A•••• R••• C••••••••• ••• L•••••• reported RAUM $1.4B, up 34% from $1.0B (2023-09-29 to 2024-09-30)Sep 30, 2024 · RAUM change · derived
- M•••• P••••• B••••• (Chief Operating Officer/Chief Compliance Officer) no longer on Schedule A of A•••• R••• C••••••••• ••• L•••••• (listed 2022-09-29, absent 2023-09-29)Sep 29, 2023 · Control person left · inference
- S••••••••• V••••••• (Director) appeared on Schedule A of A•••• R••• C••••••••• ••• L••••••Sep 29, 2023 · Control person joined · fact
- P•••• D•••• B••••••• (Director) appeared on Schedule A of A•••• R••• C••••••••• ••• L••••••Sep 29, 2022 · Control person joined · fact
- P••• K•••••• (Director) appeared on Schedule A of A•••• R••• C••••••••• ••• L••••••Sep 29, 2022 · Control person joined · fact
- P•••••• W•••• Mcardle (Director) appeared on Schedule A of A•••• R••• C••••••••• ••• L••••••Sep 29, 2022 · Control person joined · fact
- R•••••• R••••••••• (Director) no longer on Schedule A of A•••• R••• C••••••••• ••• L•••••• (listed 2021-09-27, absent 2022-09-29)Sep 29, 2022 · Control person left · inference
- E•••••••• G•••• H••• (Director) no longer on Schedule A of A•••• R••• C••••••••• ••• L•••••• (listed 2021-09-27, absent 2022-09-29)Sep 29, 2022 · Control person left · inference
- A•••• R••• C••••••••• ••• L•••••• reported RAUM $768.0M, up 259% from $214.0M (2020-09-22 to 2021-09-27)Sep 27, 2021 · RAUM change · derived
- E•••••••• G•••• H••• (Director) appeared on Schedule A of A•••• R••• C••••••••• ••• L••••••Sep 22, 2020 · Control person joined · fact
- A•••• R••• C••••••••• ••• L•••••• reported RAUM $0, down 100% from $370.0M (2018-07-31 to 2018-11-09)Nov 9, 2018 · RAUM change · derived
- A•••• R••• C••••••••• ••• L•••••• filed its initial SEC registration (Form ADV)Jun 20, 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
- Business email
- i•••@a••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 204-629-4540reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ASSETR•••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- +442039462860reportedpublic record, Form ADV, Nov 19, 2025
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