DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
D••••••• A•••••••• L••
Latest filing Feb 11, 2020
First filing on the tape Mar 8, 2019 · 4 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 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
4 filings and snapshots on the tape
RAUM$0 as of Feb 11, 2020
Mar 8, 2019$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 11, 2020
Mar 8, 20191 then
Employees (5.A)1 as of Feb 11, 2020
Mar 8, 20191 then
Private funds: no history
Practice profile
derived from the filing of Feb 11, 2020; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $2reportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $1 sponsored, $1 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
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
- R•• N••••••• S•••• to P•••••••• S••••••••• I•••Dec 31, 2019 · Other
Joined, latest
- R•• N••••••• S•••• from M••••• S••••••Apr 8, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• R••• N••••••• · Managing Member & Chief Compliance Officercontrolsince 03/2019 · 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
- Business name · D••••••• C••••••••• L•• to D••••••• A•••••••• L••Apr 9, 2019 to Feb 11, 2020
- HQ city · PASADENA to unsetApr 9, 2019 to Feb 11, 2020
- HQ state · CA to unsetApr 9, 2019 to Feb 11, 2020
- Legal name · D••••••• C••••••••• L•• to D••••••• A•••••••• L••Apr 9, 2019 to Feb 11, 2020
- Business name · D••••••• C••••••••• to D••••••• C••••••••• L••Mar 8, 2019 to Apr 9, 2019
- Legal name · D••••••• C••••••••• to D••••••• C••••••••• L••Mar 8, 2019 to Apr 9, 2019
Signals
1 dated events
- D••••••• C••••••••• filed its initial SEC registration (Form ADV)Mar 8, 2019 · 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
- 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026