DFX Intelligence
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SEC-registered adviser
F•••• G••••• C•••••• L••
Latest filing Mar 17, 2026
First filing on the tape Sep 25, 2019 · 23 filings
SEC status approved since Sep 24, 2019
RAUM
$131M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$131M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$131M as of Mar 17, 2026
Apr 22, 2020$114M then
HNW client RAUM$128M as of Mar 17, 2026
Apr 22, 2020$9.6M then
State-registered IARs (5.B.3)1 as of Mar 17, 2026
Apr 22, 20200 then
Employees (5.A)4 as of Mar 17, 2026
Apr 22, 20201 then
Private funds1 as of Dec 12, 2025
Mar 18, 20211 then
RAUM -40% over the last fiscal year-20% a year over threeIARs 2 to 1offices 0 to 1
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -40%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.1%derived
- 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$128M98%
- Individuals$2.8M2.1%
- Individual clients
- 16reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 67reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 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 |
|---|---|---|---|---|
| D•••• I••••• R•••• | Pikesville, Md | Jan 5, 2026 | 14 y | 4 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
- D•••• I••••• R•••• from P•••••••••Oct 28, 2019 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| J••• D•••••• A•••• F••••••• F••• | Hedge Fund | $7.4M | 5 | Nov 9, 2020 |
Owners and control persons
Schedule A and B, latest filing
- R••••• D••••• I••••• · Managing Member/Ccocontrolsince 09/2019 · 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.
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 17, 2026RAUM (Item 5.F) moved from $217,615,400 to $130,622,527 (-40.0%) between the annual amendments of 2025-04-07 and 2026-03-17; the peer median change was +15.0% (4548 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,548) · 0.9% percentile
- compensation changedChange between filings · filing Mar 17, 2026performance-based compensation (Item 5.E.6): yes on the filing of 2025-12-12, no on the filing of 2026-03-17peers: independent wealth managers, $100M to $500M (5,679)
- business activity changedChange between filings · filing Mar 17, 2026portfolio management for pooled vehicles (Item 5.G.4): yes on the filing of 2025-12-12, no on the filing of 2026-03-17peers: independent wealth managers, $100M to $500M (5,679)
- business activity changedChange between filings · filing Mar 17, 2026advises private funds (Item 7.B): yes on the filing of 2025-12-12, no on the filing of 2026-03-17peers: independent wealth managers, $100M to $500M (5,679)
- custody status changedChange between filings · filing Mar 17, 2026custody of client assets (Item 9.A): yes on the filing of 2025-12-12, no on the filing of 2026-03-17peers: independent wealth managers, $100M to $500M (5,679)
- HNW share shiftChange between filings · filing Mar 17, 2026HNW share of RAUM moved from 81.0% to 98.0% between the annual amendments of 2025-04-07 and 2026-03-17peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Accounts · 174 to 67Dec 12, 2025 to Mar 17, 2026
- Advisory activities · 3 to 2Dec 12, 2025 to Mar 17, 2026
- HNW clients · 33 to 51Dec 12, 2025 to Mar 17, 2026
- Individual clients · 29 to 16Dec 12, 2025 to Mar 17, 2026
- Pooled vehicle clients · 1.0 to unsetDec 12, 2025 to Mar 17, 2026
- Assets in custody · 48390.0 to unsetDec 12, 2025 to Mar 17, 2026
- Custody of client assets · true to falseDec 12, 2025 to Mar 17, 2026
- Employees · 3 to 4Dec 12, 2025 to Mar 17, 2026
- Financial planning clients · 101-250 to 26-50Dec 12, 2025 to Mar 17, 2026
- State-registered IARs · 2 to 1Dec 12, 2025 to Mar 17, 2026
- Other offices · 0 to 1Dec 12, 2025 to Mar 17, 2026
- Private funds · 1 to unsetDec 12, 2025 to Mar 17, 2026
- Discretionary RAUM · $215M to $131MDec 12, 2025 to Mar 17, 2026
- HNW RAUM · $175M to $128MDec 12, 2025 to Mar 17, 2026
- Individual RAUM · $39.2M to $2.8MDec 12, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · 48390.0 to unsetDec 12, 2025 to Mar 17, 2026
- RAUM · $215M to $131MDec 12, 2025 to Mar 17, 2026
- Related adviser · false to trueDec 12, 2025 to Mar 17, 2026
- Advisory employees · 2 to 1Jun 23, 2025 to Dec 12, 2025
- Assets in custody · $105,000 to $48,390Jun 23, 2025 to Dec 12, 2025
- Employees · 4 to 3Jun 23, 2025 to Dec 12, 2025
- Discretionary RAUM · $218M to $215MJun 23, 2025 to Dec 12, 2025
- Pooled vehicle RAUM · $3.0M to $48,390Jun 23, 2025 to Dec 12, 2025
- RAUM · $218M to $215MJun 23, 2025 to Dec 12, 2025
- Financial planning clients · 101-250 to 101-250Apr 7, 2025 to Jun 23, 2025
- Accounts · 203 to 174Jun 20, 2024 to Apr 7, 2025
- HNW clients · 46 to 33Jun 20, 2024 to Apr 7, 2025
- Individual clients · 26 to 29Jun 20, 2024 to Apr 7, 2025
- Assets in custody · unset to 105000.0Jun 20, 2024 to Apr 7, 2025
- Custody of client assets · false to trueJun 20, 2024 to Apr 7, 2025
- Employees · 3 to 4Jun 20, 2024 to Apr 7, 2025
- Financial planning clients · 26-50 to 101-250Jun 20, 2024 to Apr 7, 2025
- HQ city · unset to Jun 20, 2024 to Apr 7, 2025
- HQ state · unset to Jun 20, 2024 to Apr 7, 2025
- Discretionary RAUM · $181M to $218MJun 20, 2024 to Apr 7, 2025
- HNW RAUM · $172M to $175MJun 20, 2024 to Apr 7, 2025
- Individual RAUM · $4.6M to $39.2MJun 20, 2024 to Apr 7, 2025
- Pooled vehicle RAUM · $4.2M to $3.0MJun 20, 2024 to Apr 7, 2025
- RAUM · $181M to $218MJun 20, 2024 to Apr 7, 2025
- Accounts · 48 to 203May 9, 2023 to Mar 15, 2024
Signals
2 dated events
- J•• C•••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 25, 2019 · Succession (Item 4) · fact
- J•• C•••••• L•• filed its initial SEC registration (Form ADV)Sep 25, 2019 · ria f•••• adv filing · 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
- Website
- f•••••••••.comreportedpublic record, Form ADV, Mar 17, 2026
- Principal office phone
- 202-474-2269reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- f•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026