DFX Intelligence

RIA Intelligence

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SEC-registered adviser

C•••• F•••••••••

No RAUM reportedTortola, CRD 306723SEC 801-118705website IAPD

Legal name C•••• F••••••••• S••

Latest filing Mar 24, 2026

First filing on the tape Apr 13, 2020 · 8 filings

SEC status approved since Jun 29, 2021

RAUM

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

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM$0 as of Mar 24, 2026

Mar 19, 2025$0 then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 24, 2026

Aug 9, 20230 then

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

Aug 9, 20235 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 24, 2026; 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: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 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 assetsreportedItem 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)
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: 0reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived

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

B•••••••• M•••••• A•••• · Chief Executive Officercontrol
since 08/2019 · owns less than 5%
G•••• B••••• A••••••• M•••• · Chief Compliance Officercontrol
since 08/2019 · owns less than 5%
O••••••• T•••• · Chief Operating Officercontrol
since 08/2019 · owns less than 5%
B•••••••• M•••••• A•••• · President And Ceocontrol
since 02/2014 · owns 50% to 75% of C•••• F••••••••• L••
O••••••• T•••• · Chief Operating Officercontrol
since 02/2014 · owns 25% to 50% of C•••• F••••••••• L••

Entity owners

C•••• F••••••••• L•• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

C•••• U• C•••••••• L••
bankn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · unset to 0.0
Mar 21, 2024 to Mar 19, 2025
Financial planning clients · 0 to 0
Mar 21, 2024 to Mar 19, 2025
HQ state · unset to
Mar 21, 2024 to Mar 19, 2025
Discretionary RAUM · unset to 0.0
Mar 21, 2024 to Mar 19, 2025
Non-discretionary RAUM · unset to 0.0
Mar 21, 2024 to Mar 19, 2025
RAUM · unset to 0.0
Mar 21, 2024 to Mar 19, 2025
Accounts · 211.0 to unset
May 20, 2021 to Aug 9, 2023
Individual clients · 38.0 to unset
May 20, 2021 to Aug 9, 2023
Pooled vehicle clients · 1.0 to unset
May 20, 2021 to Aug 9, 2023
Discretionary RAUM · 20673000.0 to unset
May 20, 2021 to Aug 9, 2023
Individual RAUM · 19173000.0 to unset
May 20, 2021 to Aug 9, 2023
Non-discretionary RAUM · 0.0 to unset
May 20, 2021 to Aug 9, 2023
Pooled vehicle RAUM · 1500000.0 to unset
May 20, 2021 to Aug 9, 2023
RAUM · 20673000.0 to unset
May 20, 2021 to Aug 9, 2023
Accounts · 39 to 211
Jul 8, 2020 to May 20, 2021
Discretionary RAUM · $3.4M to $20.7M
Jul 8, 2020 to May 20, 2021
Individual RAUM · $1.9M to $19.2M
Jul 8, 2020 to May 20, 2021
RAUM · $3.4M to $20.7M
Jul 8, 2020 to May 20, 2021
Legal name · C•••• US C••••••• CTAS LLC to C•••• F••••••••• S••
Apr 13, 2020 to Jun 14, 2020

Signals

2 dated events

M•••• A•••••• G•••• B•••• (Chief Compliance Officer) appeared on Schedule A of C•••• F•••••••••
Jul 8, 2020 · Control person joined · fact
C•••• F••••••••• filed its initial SEC registration (Form ADV)
Apr 13, 2020 · 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

Website: Instagram@carta.financierareportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: +17607822734reportedpublic record, Form ADV, Mar 24, 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: No RAUM reportedderiveda 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