DFX Intelligence
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M••• I•••
No RAUM reported.
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
As of · 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 304411 · SEC 801-117182 · 11 filingsShowHide
CRD 304411SEC 801-117182First filing on the tape Jul 17, 2019, latest Jul 14, 2026SEC status approved since Aug 14, 2019IAPD
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
Not computed
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
11 filings and snapshots on the tape
Filed figures over time · the tape starts Jul 17, 2019
Peer group: Other advisers, under $100M, 660 firms
RAUM, HNW assets, advisors, employees and funds over time5 seriesShowHide
RAUM$0 as of Jul 14, 2026
Jun 1, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jul 14, 2026
Apr 30, 20201 then
Employees (5.A)1 as of Jul 14, 2026
Apr 30, 20201 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jul 14, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShowHide
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
- 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 office 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
- fixed feesreportedItem 5.E
- Advisory activities
- selection of other advisersreportedItem 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
No Item 5.D breakdown on this filing.
The breakdown by client type, and the client countsShowHide
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
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- RAUM: 0% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
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
- S••••••• N•••••••• W•••••• · President & Chief Compliance Officercontrolsince 07/2019 · owns 75% or more
Ownership changes
Schedule A, between consecutive filings
No owner or control person joined or left between filings on the tape.
Who runs the funds
related persons named most often on the Form D filings of the firm's funds
No Form D related person is on record for this firm's funds.
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 · unset to 0.0May 7, 2024 to Jun 1, 2025
- Financial planning clients · unset to May 7, 2024 to Jun 1, 2025
- HQ city · unset to May 7, 2024 to Jun 1, 2025
- HQ state · unset to May 7, 2024 to Jun 1, 2025
- Discretionary RAUM · unset to 0.0May 7, 2024 to Jun 1, 2025
Full history · 7 changesShow fewer
- Non-discretionary RAUM · unset to 0.0May 7, 2024 to Jun 1, 2025
- RAUM · unset to 0.0May 7, 2024 to Jun 1, 2025
Signals
1 dated events
- ••• LockedJul 17, 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.
Web presence
addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before
Website (1) · the addresses open with an account
1 earlier address on Form ADV filings, the earliest seen May 7, 2024
How to reach
public business contact points only, each with its source
- Website
- ••• Lockedreportedpublic record, Form ADV, Jul 14, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jul 14, 2026
Provenance
Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026ShowHide
- 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
- No RAUM reportedderiveda 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
Not yet on record: regulatory AUM, net advisor flow, 12 months, RAUM change, 1 year, private clients.