DFX Intelligence
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SEC-registered adviser
M••• C•••••• M••••••••• L••
Latest filing Jul 29, 2026
First filing on the tape Dec 2, 2025 · 2 filings
SEC status approved since Dec 2, 2025
RAUM
$107M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$102M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$107M as of Jul 29, 2026
Dec 2, 2025$104M then
HNW client RAUM$99.4M as of Jul 29, 2026
Dec 2, 2025$92.0M then
State-registered IARs (5.B.3)1 as of Jul 29, 2026
Dec 2, 20251 then
Employees (5.A)2 as of Jul 29, 2026
Dec 2, 20251 then
Private funds2 as of Jul 29, 2026
Dec 2, 20252 then
Practice profile
derived from the filing of Jul 29, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- 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
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $24.8MderivedHNW RAUM over HNW clients
- Average account
- $981,500derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 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 assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $23.8M, 4 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$99.4M93%
- Pooled investment vehicles$4.5M4.2%
- Individuals$3.0M2.8%
- Individual clients
- 7reported
- HNW clients
- 4reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 109reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.8M for 4 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.96 fund_share=0.04 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 |
|---|---|---|---|---|
| N••••••• S••••• C••••• | Santa Monica, Ca | Jan 1, 2026 | 12 y | 1 |
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
- N••••••• S••••• C••••• from M••••• S••••••Jan 1, 2026 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• N•••••••• S••••• · Chief Compliance Officer, Foundercontrolsince 04/2019 · 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
- Accounts · 13 to 109Dec 2, 2025 to Jul 29, 2026
- Assets in custody · $19.8M to $23.8MDec 2, 2025 to Jul 29, 2026
- Employees · 1 to 2Dec 2, 2025 to Jul 29, 2026
- Discretionary RAUM · $104M to $107MDec 2, 2025 to Jul 29, 2026
- HNW RAUM · $92.0M to $99.4MDec 2, 2025 to Jul 29, 2026
- Individual RAUM · $2.7M to $3.0MDec 2, 2025 to Jul 29, 2026
- Pooled vehicle RAUM · $9.1M to $4.5MDec 2, 2025 to Jul 29, 2026
- RAUM · $104M to $107MDec 2, 2025 to Jul 29, 2026
Signals
No event on the tape.
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•••@m••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 201-283-0548reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- m••••••.comreportedpublic record, Form ADV, Jul 29, 2026
- Principal office phone
- 908-752-1002reportedpublic record, Form ADV, Jul 29, 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
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026