DFX Intelligence

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Former SEC-registered adviser

H•••••• I•••

Former SEC-registered adviserBoston, MassachusettsCRD 301888SEC 801-115259IAPD

Latest filing Mar 29, 2024

First filing on the tape Apr 10, 2019 · 9 filings

SEC status approved since May 10, 2019

RAUM

n/a

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 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

9 filings and snapshots on the tape

RAUM$258,636 as of Mar 27, 2023

Jan 23, 2020$1,220 then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Mar 29, 2024

Jan 23, 20201 then

Employees (5.A)1 as of Mar 29, 2024

Jan 23, 20201 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Mar 29, 2024; every figure names its basis

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: 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: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, fixed feesreportedItem 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

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: n/areported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
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

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

G••••••••• G••••••••• N•• · Founder/Ceo/Chief Compliance Officercontrol
since 09/2018 · owns 75% or more

Related persons

Schedule D 7.A

N•••••••• I•••• E••••• F••• L•
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 80.0 to unset
Mar 27, 2023 to Mar 29, 2024
Individual clients · 80.0 to unset
Mar 27, 2023 to Mar 29, 2024
Discretionary RAUM · 258636.0 to unset
Mar 27, 2023 to Mar 29, 2024
Individual RAUM · $258,636 to $0
Mar 27, 2023 to Mar 29, 2024
Non-discretionary RAUM · 0.0 to unset
Mar 27, 2023 to Mar 29, 2024
RAUM · 258636.0 to unset
Mar 27, 2023 to Mar 29, 2024
Accounts · 125 to 80
Feb 22, 2022 to Mar 27, 2023
Individual clients · 125 to 80
Feb 22, 2022 to Mar 27, 2023
Discretionary RAUM · $390,416 to $258,636
Feb 22, 2022 to Mar 27, 2023
Individual RAUM · $390,416 to $258,636
Feb 22, 2022 to Mar 27, 2023
RAUM · $390,416 to $258,636
Feb 22, 2022 to Mar 27, 2023
Accounts · 85 to 125
Feb 10, 2021 to Feb 22, 2022
Individual clients · 85 to 125
Feb 10, 2021 to Feb 22, 2022
Discretionary RAUM · $190,000 to $390,416
Feb 10, 2021 to Feb 22, 2022
Individual RAUM · $190,000 to $390,416
Feb 10, 2021 to Feb 22, 2022
RAUM · $190,000 to $390,416
Feb 10, 2021 to Feb 22, 2022
Accounts · 3 to 85
Nov 10, 2020 to Feb 10, 2021
Individual clients · unset to 85.0
Nov 10, 2020 to Feb 10, 2021
HQ city · unset to BOSTON
Nov 10, 2020 to Feb 10, 2021
HQ state · unset to MA
Nov 10, 2020 to Feb 10, 2021
Discretionary RAUM · $1,220 to $190,000
Nov 10, 2020 to Feb 10, 2021
Individual RAUM · $1,220 to $190,000
Nov 10, 2020 to Feb 10, 2021
RAUM · $1,220 to $190,000
Nov 10, 2020 to Feb 10, 2021
Accounts · unset to 3.0
Apr 29, 2019 to Jan 23, 2020
Discretionary RAUM · unset to 1220.0
Apr 29, 2019 to Jan 23, 2020
Individual RAUM · unset to 1220.0
Apr 29, 2019 to Jan 23, 2020
Non-discretionary RAUM · unset to 0.0
Apr 29, 2019 to Jan 23, 2020
RAUM · unset to 1220.0
Apr 29, 2019 to Jan 23, 2020
Financial planning clients · unset to 0
Apr 10, 2019 to Apr 29, 2019

Signals

2 dated events

••• Locked
Aug 3, 2026 · Left the SEC roster · derived
••• Locked
Apr 10, 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