DFX Intelligence
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K•••••• W••••• M••••••••• L••
Independent wealth managerSEC-registered
Independent wealth manager, reporting $258M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $258M
- Advisors
- 1
- Net advisor flow, 12 months
- +1 (1 in, 0 out)
- RAUM change, last fiscal year
- +7.6%
- Private clients
- 100% of RAUM, $258M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 1
Every filed figure, and the identifiersCRD 295412 · SEC 801-113441 · 15 filingsShowHide
CRD 295412SEC 801-113441First filing on the tape May 15, 2018, latest Mar 3, 2026SEC status approved since Jun 18, 2018IAPD
RAUM
$258M
reported, Item 5.F
Discretionary
65%
of RAUM
Private clients
100%
$258M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$258M
derived; firm RAUM over IAPD count
Employees
8
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$258M as of Mar 3, 2026
Feb 28, 2019$115M then
HNW client RAUM$255M as of Mar 3, 2026
Feb 28, 2019$112M then
State-registered IARs (5.B.3)1 as of Mar 3, 2026
Feb 28, 20191 then
Employees (5.A)8 as of Mar 3, 2026
Feb 28, 20192 then
Private funds: no history
RAUM +7.6% over the last fiscal year+4.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- 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
- $258MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $25.5MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 65%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$255M99%
- Individuals$3.1M1.2%
- Individual clients
- 10reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 103reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• T••••• T•••••••Certified Financial Planner | Las Vegas, Nv | Nov 4, 2025 | 26 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M••••• T••••• T••••••• from U•• F•••••••• S••••••• I•••Nov 4, 2025 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• C••••• · Chief Compliance Officercontrolsince 03/2018 · owns 10% to 25%
- T•••••••• M•••••• T••••• · Owner & Ceocontrolsince 04/2018 · owns 10% to 25%
- B•••• D••••• F• · Ownersince 07/2019 · owns 10% to 25%
- L••••• C•••• V• · Ownersince 07/2019 · owns 10% to 25%
- P••••• E•••••• J• · Ownersince 07/2019 · owns 10% to 25%
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 · 98 to 103Feb 28, 2025 to Mar 3, 2026
- Advisory activities · 3 to 2Feb 28, 2025 to Mar 3, 2026
- HNW clients · 8 to 10Feb 28, 2025 to Mar 3, 2026
- Employees · 7 to 8Feb 28, 2025 to Mar 3, 2026
- Financial planning clients · 0 to 1-10Feb 28, 2025 to Mar 3, 2026
- HQ city · LAS VEGAS to Feb 28, 2025 to Mar 3, 2026
- HQ state · NV to Feb 28, 2025 to Mar 3, 2026
- Discretionary RAUM · $171M to $167MFeb 28, 2025 to Mar 3, 2026
- HNW RAUM · $236M to $255MFeb 28, 2025 to Mar 3, 2026
- Individual RAUM · $3.6M to $3.1MFeb 28, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $69.1M to $91.2MFeb 28, 2025 to Mar 3, 2026
- RAUM · $240M to $258MFeb 28, 2025 to Mar 3, 2026
- Accounts · 85 to 98Mar 13, 2024 to Feb 28, 2025
- HNW clients · unset to 8.0Mar 13, 2024 to Feb 28, 2025
- Individual clients · 7 to 10Mar 13, 2024 to Feb 28, 2025
- Employees · 18 to 7Mar 13, 2024 to Feb 28, 2025
- Financial planning clients · 0 to 0Mar 13, 2024 to Feb 28, 2025
- Discretionary RAUM · $194M to $171MMar 13, 2024 to Feb 28, 2025
- HNW RAUM · $192M to $236MMar 13, 2024 to Feb 28, 2025
- Individual RAUM · $14.2M to $3.6MMar 13, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $11.9M to $69.1MMar 13, 2024 to Feb 28, 2025
- RAUM · $206M to $240MMar 13, 2024 to Feb 28, 2025
- Accounts · 28 to 85Mar 13, 2023 to Mar 13, 2024
- HNW clients · 9.0 to unsetMar 13, 2023 to Mar 13, 2024
- Individual clients · unset to 7.0Mar 13, 2023 to Mar 13, 2024
- Employees · 19 to 18Mar 13, 2023 to Mar 13, 2024
- Discretionary RAUM · $214M to $194MMar 13, 2023 to Mar 13, 2024
- HNW RAUM · $228M to $192MMar 13, 2023 to Mar 13, 2024
- Individual RAUM · $976,733 to $14.2MMar 13, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $14.9M to $11.9MMar 13, 2023 to Mar 13, 2024
- RAUM · $229M to $206MMar 13, 2023 to Mar 13, 2024
- Accounts · 103 to 28Mar 8, 2022 to Mar 13, 2023
- HNW clients · 6 to 9Mar 8, 2022 to Mar 13, 2023
- Individual clients · 10.0 to unsetMar 8, 2022 to Mar 13, 2023
- Employees · 15 to 19Mar 8, 2022 to Mar 13, 2023
- Discretionary RAUM · $177M to $214MMar 8, 2022 to Mar 13, 2023
- HNW RAUM · $266M to $228MMar 8, 2022 to Mar 13, 2023
- Individual RAUM · $5.2M to $976,733Mar 8, 2022 to Mar 13, 2023
- Non-discretionary RAUM · $94.8M to $14.9MMar 8, 2022 to Mar 13, 2023
- RAUM · $272M to $229MMar 8, 2022 to Mar 13, 2023
Signals
2 dated events
- ••• LockedMar 8, 2021 · RAUM change · derived
- ••• LockedMay 15, 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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 3, 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
- $258Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026