DFX Intelligence

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SEC-registered adviser

B•••• H•••• W••••• M•••••••••

Independent wealth managerCRD 308427SEC 801-123230website IAPD

Legal name B•••• H•••• W••••• M••••••••• L••

Latest filing Jan 7, 2026

First filing on the tape Apr 3, 2020 · 16 filings

SEC status approved since Feb 14, 2022

RAUM

$166M

reported, Item 5.F

Discretionary

31%

of RAUM

Private clients

99%

$165M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$166M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM$166M as of Jan 7, 2026

Jan 13, 2023$103M then

HNW client RAUM$161M as of Jan 7, 2026

Jan 13, 2023$101M then

State-registered IARs (5.B.3)1 as of Jan 7, 2026

Jan 13, 20231 then

Employees (5.A)1 as of Jan 7, 2026

Jan 13, 20231 then

Private funds: no history

RAUM +4.7% over the last fiscal year+17% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Jan 7, 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
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: $166MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 19derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $13.4MderivedHNW RAUM over HNW clients
Average account: $2.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 31%derivedof RAUM
Institutional: 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +4.7%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -9.5%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Custody: $3.5M, 5 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$161M97%
Individuals$3.4M2.1%
Pension and profit-sharing plans$928,3480.6%

Individual clients: 7reported
HNW clients: 12reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 73reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $3.5M for 5 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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
M••••• E•••• M••••••Certified Financial Planner	San Diego, Ca	May 5, 2020	13 y	1

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

M••••• E•••• M•••••• from J••• M••••• S••••••••• L••
May 5, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M••••••• M•••••• E•••• · Managing Member & Chief Compliance Officercontrol
since 04/2020 · 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 · 71 to 73
Jan 8, 2025 to Jan 7, 2026
HNW clients · 13 to 12
Jan 8, 2025 to Jan 7, 2026
Individual clients · 8 to 7
Jan 8, 2025 to Jan 7, 2026
Assets in custody · $9.2M to $3.5M
Jan 8, 2025 to Jan 7, 2026
Discretionary RAUM · $47.3M to $50.9M
Jan 8, 2025 to Jan 7, 2026
HNW RAUM · $153M to $161M
Jan 8, 2025 to Jan 7, 2026
Individual RAUM · $4.0M to $3.4M
Jan 8, 2025 to Jan 7, 2026
Non-discretionary RAUM · $111M to $115M
Jan 8, 2025 to Jan 7, 2026
Pension RAUM · $1.0M to $928,348
Jan 8, 2025 to Jan 7, 2026
RAUM · $158M to $166M
Jan 8, 2025 to Jan 7, 2026
Accounts · 67 to 71
Feb 6, 2024 to Jan 8, 2025
HNW clients · 7 to 13
Feb 6, 2024 to Jan 8, 2025
Individual clients · 11 to 8
Feb 6, 2024 to Jan 8, 2025
Pension plan clients · 1.0 to unset
Feb 6, 2024 to Jan 8, 2025
Assets in custody · $8.0M to $9.2M
Feb 6, 2024 to Jan 8, 2025
Financial planning clients · 0 to 0
Feb 6, 2024 to Jan 8, 2025
HQ city · unset to
Feb 6, 2024 to Jan 8, 2025
HQ state · unset to
Feb 6, 2024 to Jan 8, 2025
Discretionary RAUM · $41.7M to $47.3M
Feb 6, 2024 to Jan 8, 2025
HNW RAUM · $134M to $153M
Feb 6, 2024 to Jan 8, 2025
Individual RAUM · $3.3M to $4.0M
Feb 6, 2024 to Jan 8, 2025
Non-discretionary RAUM · $96.7M to $111M
Feb 6, 2024 to Jan 8, 2025
Pension RAUM · $976,583 to $1.0M
Feb 6, 2024 to Jan 8, 2025
RAUM · $138M to $158M
Feb 6, 2024 to Jan 8, 2025
Accounts · 65 to 67
Jan 13, 2023 to Feb 6, 2024
HNW clients · 10 to 7
Jan 13, 2023 to Feb 6, 2024
Individual clients · 8 to 11
Jan 13, 2023 to Feb 6, 2024
Pension plan clients · unset to 1.0
Jan 13, 2023 to Feb 6, 2024
Assets in custody · unset to 7968652.0
Jan 13, 2023 to Feb 6, 2024
Custody of client assets · false to true
Jan 13, 2023 to Feb 6, 2024
Discretionary RAUM · $33.0M to $41.7M
Jan 13, 2023 to Feb 6, 2024
HNW RAUM · $101M to $134M
Jan 13, 2023 to Feb 6, 2024
Individual RAUM · $1.6M to $3.3M
Jan 13, 2023 to Feb 6, 2024
Non-discretionary RAUM · $69.6M to $96.7M
Jan 13, 2023 to Feb 6, 2024
Pension RAUM · unset to 976583.0
Jan 13, 2023 to Feb 6, 2024
RAUM · $103M to $138M
Jan 13, 2023 to Feb 6, 2024
Accounts · 61 to 65
Sep 13, 2022 to Jan 13, 2023
HNW clients · 11 to 10
Sep 13, 2022 to Jan 13, 2023
Individual clients · 9 to 8
Sep 13, 2022 to Jan 13, 2023
Discretionary RAUM · $35.1M to $33.0M
Sep 13, 2022 to Jan 13, 2023

Signals

1 dated events

••• Locked
Apr 3, 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

Business email: m••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 408-316-6364reportedpublished by the firm, firm site, Sep 17, 2026
Website: b•••••••••.comreportedpublic record, Form ADV, Jan 7, 2026
Principal office phone: 408-316-6364reportedpublic record, Form ADV, Jan 7, 2026
Contact form: b•••••••••.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: $166Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026