DFX Intelligence

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G•••••••• C•••••• L••••••

Independent wealth managerSEC-registered1 private fundswebsite

Independent wealth manager, reporting $254M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $254M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +18%
Private clients: 91%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 24 Mar 2026, RAUM $216M to $254M (+17.7%) on the Form ADV filed 24 Mar 2026, while advisors on the filing rose 1 to 1.

Every filed figure, and the identifiersCRD 305636 · SEC 801-117456 · 28 filingsShow

CRD 305636SEC 801-117456First filing on the tape Sep 6, 2019, latest Mar 24, 2026SEC status approved since Nov 22, 2019IAPD

RAUM

$254M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

91%

$231M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$254M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

28 filings and snapshots on the tape

RAUM +22% a year over three years · the tape starts Sep 6, 2019

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$254M as of Mar 24, 2026

May 5, 2020$3.0M then

HNW client RAUM$231M as of Mar 24, 2026

May 5, 2020$3.0M then

State-registered IARs (5.B.3)1 as of Mar 24, 2026

May 5, 20200 then

Employees (5.A)5 as of Mar 24, 2026

May 5, 20202 then

Private funds1 as of Mar 24, 2026

Apr 7, 20251 then

RAUM +18% over the last fiscal year+22% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 24, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

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

RAUM per advisor: $254MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $671,403derivedHNW RAUM over HNW clients
Average account: $360,870derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 5.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +18%derivedbetween 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, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: yesreportedItem 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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

91% high-net-worth individuals, 6.4% corporations and businesses, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$231M91%
Corporations and businesses$16.2M6.4%
Pooled investment vehicles$7.2M2.8%

Individual clients: n/areported
HNW clients: 344reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 705reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.91 fund_share=0.03 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
B•••••• T••••• M•••••••	Boorolite	Jul 21, 2021	10 y	0

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
G•••••••• M•••• V•••• F••• ••• L••	Hedge Fund	$7.2M	12	Mar 24, 2026

Owners and control persons

Schedule A and B, latest filing

M••••••••• C••••••••• M•••••• · Chief Financial Officercontrol
since 04/2018 · owns 50% to 75%
M•••••••• B••••••• T••••• · Chief Investment Officer And Chief Compliance Officercontrol
since 04/2018 · owns 50% to 75%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

, 1 employees

ADV anomalies

2 against comparable advisers; where to look, not conclusions

account count surgeChange between filings · filing Mar 24, 2026
accounts (Item 5.F.2.f) moved from 366.0 to 705.0 (+93.0%) between the annual amendments of 2025-04-07 and 2026-03-24; the peer median change was +5.0% (3683 comparable advisers, 98.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (3,683) · 98% percentile
affiliate changedChange between filings · filing Mar 24, 2026
bank affiliate (Item 7.A.6): no on the filing of 2026-01-28, yes on the filing of 2026-03-24
peers: independent wealth managers, $100M to $500M (5,682)

Data quality: the 2026-06-30 holdings report shows $2,714,009,080 across 65 positions while Form ADV reports RAUM of $254,413,430 (10.7x); one of the two is misfiled, misattributed or in the wrong unit

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 366 to 705
Jan 28, 2026 to Mar 24, 2026
HNW clients · 342 to 344
Jan 28, 2026 to Mar 24, 2026
Discretionary RAUM · $216M to $254M
Jan 28, 2026 to Mar 24, 2026
HNW RAUM · $191M to $231M
Jan 28, 2026 to Mar 24, 2026
Pooled vehicle RAUM · $2.9M to $7.2M
Jan 28, 2026 to Mar 24, 2026

Full history · 56 changes

RAUM · $216M to $254M
Jan 28, 2026 to Mar 24, 2026
Related bank · false to true
Jan 28, 2026 to Mar 24, 2026
Financial planning clients · unset to
Apr 7, 2025 to Jun 30, 2025
Advisory activities · 2 to 3
Oct 18, 2024 to Apr 7, 2025
Accounts · 295 to 366
Oct 18, 2024 to Apr 7, 2025
Corporate clients · 20 to 22
Oct 18, 2024 to Apr 7, 2025
HNW clients · 275 to 342
Oct 18, 2024 to Apr 7, 2025
Pooled vehicle clients · unset to 2.0
Oct 18, 2024 to Apr 7, 2025
Assets in custody · unset to 0.0
Oct 18, 2024 to Apr 7, 2025
Custody of client assets · false to true
Oct 18, 2024 to Apr 7, 2025
HQ city · unset to
Oct 18, 2024 to Apr 7, 2025
HQ state · unset to
Oct 18, 2024 to Apr 7, 2025
Private funds · unset to 1
Oct 18, 2024 to Apr 7, 2025
Discretionary RAUM · $175M to $216M
Oct 18, 2024 to Apr 7, 2025
HNW RAUM · $156M to $191M
Oct 18, 2024 to Apr 7, 2025
Individual RAUM · unset to 0.0
Oct 18, 2024 to Apr 7, 2025
Pension RAUM · unset to 0.0
Oct 18, 2024 to Apr 7, 2025
Pooled vehicle RAUM · unset to 2872493.0
Oct 18, 2024 to Apr 7, 2025
RAUM · $175M to $216M
Oct 18, 2024 to Apr 7, 2025
Accounts · 293 to 295
Apr 10, 2023 to Mar 28, 2024
Corporate clients · 15 to 20
Apr 10, 2023 to Mar 28, 2024
HNW clients · 255 to 275
Apr 10, 2023 to Mar 28, 2024
Employees · 3 to 5
Apr 10, 2023 to Mar 28, 2024
Discretionary RAUM · $140M to $175M
Apr 10, 2023 to Mar 28, 2024
HNW RAUM · $123M to $156M
Apr 10, 2023 to Mar 28, 2024
RAUM · $140M to $175M
Apr 10, 2023 to Mar 28, 2024
Accounts · 227 to 293
Jan 9, 2023 to Mar 15, 2023
Advisory activities · 1 to 2
Jan 9, 2023 to Mar 15, 2023
Corporate clients · 37 to 15
Jan 9, 2023 to Mar 15, 2023
HNW clients · 114 to 255
Jan 9, 2023 to Mar 15, 2023
Discretionary RAUM · $98.8M to $140M
Jan 9, 2023 to Mar 15, 2023
HNW RAUM · $77.6M to $123M
Jan 9, 2023 to Mar 15, 2023
RAUM · $98.8M to $140M
Jan 9, 2023 to Mar 15, 2023
Accounts · 46 to 227
Jun 3, 2021 to Mar 4, 2022
Corporate clients · unset to 37.0
Jun 3, 2021 to Mar 4, 2022
HNW clients · 46 to 114
Jun 3, 2021 to Mar 4, 2022
Employees · 2 to 3
Jun 3, 2021 to Mar 4, 2022
State-registered IARs · 0 to 1
Jun 3, 2021 to Mar 4, 2022
Discretionary RAUM · $22.0M to $98.8M
Jun 3, 2021 to Mar 4, 2022
HNW RAUM · $22.0M to $77.6M
Jun 3, 2021 to Mar 4, 2022
RAUM · $22.0M to $98.8M
Jun 3, 2021 to Mar 4, 2022
Accounts · 15 to 46
May 5, 2020 to Mar 30, 2021
Advisory employees · 1 to 2
May 5, 2020 to Mar 30, 2021
HNW clients · 6 to 46
May 5, 2020 to Mar 30, 2021
Discretionary RAUM · $3.0M to $22.0M
May 5, 2020 to Mar 30, 2021
HNW RAUM · $3.0M to $22.0M
May 5, 2020 to Mar 30, 2021
RAUM · $3.0M to $22.0M
May 5, 2020 to Mar 30, 2021
Accounts · 6 to 15
Oct 2, 2019 to May 5, 2020
Discretionary RAUM · $700,000 to $3.0M
Oct 2, 2019 to May 5, 2020
HNW RAUM · $700,000 to $3.0M
Oct 2, 2019 to May 5, 2020
RAUM · $700,000 to $3.0M
Oct 2, 2019 to May 5, 2020

Signals

2 dated events

••• Locked
Mar 24, 2026 · private fund first reported · fact
••• Locked
Sep 6, 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.

How to reach

public business contact points only, each with its source

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $254Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026