DFX Intelligence

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M••••• I••••••••• A•••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $146,896 of regulatory assets across 1 registered advisors.

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

As of 2026-08-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $146,896
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +2838%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-08-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

3 changes
ownership and control
2 control persons joined and 1 left Schedule A in the last 12 months.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
+2837.9%
RAUM, one year
RAUM $5K to $147K (+2837.9%) on the Form ADV filed 26 Aug 2026, while advisors on the filing held at 1.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 308500 · SEC 801-118747 · 15 filingsShow

CRD 308500SEC 801-118747First filing on the tape Apr 16, 2020, latest Aug 26, 2026SEC status approved since May 14, 2020IAPD

RAUM

$146,896

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$146,896 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$146,896

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM -49% a year over three years · the tape starts Apr 16, 2020

Peer group: Independent wealth managers, under $100M, 707 firms

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

RAUM$146,896 as of Aug 26, 2026

Feb 9, 2021$0 then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Aug 26, 2026

Feb 9, 20212 then

Employees (5.A)4 as of Aug 26, 2026

Feb 9, 20213 then

Private funds: no history

RAUM +2838% over the last fiscal year-49% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Aug 26, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $146,896derivedRAUM 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: $1,563derivedRAUM 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: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +2838%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, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for investment companiesreportedItem 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)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% individuals

The breakdown by client type, and the client counts1 client typesShow

Individuals$146,896100%

Individual clients: 93reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 94reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

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
K•••••• Z••••• A•••	Frisco, Tx	Oct 8, 2024	24 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A•••• K••••••• Z••••• · Ceo, Ccocontrol
since 04/2020 · owns less than 5%
A•••• K•••••• · Ceocontrol
since 02/2020 · owns 75% or more of A•••• I••••••••• I••

Entity owners

A•••• I••••••••• I•• · Member
direct · owns 75% or more

Ownership changes

1 Schedule A change between consecutive filings, latest first

Removed K•••••• K•••••• · Chief Compliance Officer control
filing of Mar 18, 2022, against Jan 10, 2022 · owns under 5%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

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 · 2 to 94
Jun 20, 2025 to Mar 25, 2026
Advisory activities · 1 to 2
Jun 20, 2025 to Mar 25, 2026
Individual clients · unset to 93.0
Jun 20, 2025 to Mar 25, 2026
Discretionary RAUM · $5,000 to $146,896
Jun 20, 2025 to Mar 25, 2026
Individual RAUM · $5,000 to $146,896
Jun 20, 2025 to Mar 25, 2026

Full history · 46 changes

RAUM · $5,000 to $146,896
Jun 20, 2025 to Mar 25, 2026
Related adviser · false to true
Jun 20, 2025 to Mar 25, 2026
Wrap assets (manager) · 1137356.0 to unset
Jun 20, 2025 to Mar 25, 2026
Wrap assets (sponsor) · 0.0 to unset
Jun 20, 2025 to Mar 25, 2026
Employees · 1 to 4
Jan 21, 2025 to Jun 20, 2025
Financial planning clients · unset to
Jan 21, 2025 to Jun 20, 2025
Accounts · 469 to 2
Nov 8, 2024 to Jan 21, 2025
Business name · A•••• I••••••••• A•••••••• L•• to M••••• I••••••••• A•••••••• L••
Nov 8, 2024 to Jan 21, 2025
Individual clients · 469.0 to unset
Nov 8, 2024 to Jan 21, 2025
Employees · 4 to 1
Nov 8, 2024 to Jan 21, 2025
HQ city · unset to
Nov 8, 2024 to Jan 21, 2025
HQ state · unset to
Nov 8, 2024 to Jan 21, 2025
Legal name · A•••• I••••••••• A•••••••• L•• to M••••• I••••••••• A•••••••• L••
Nov 8, 2024 to Jan 21, 2025
Discretionary RAUM · $915,337 to $5,000
Nov 8, 2024 to Jan 21, 2025
Individual RAUM · $915,337 to $5,000
Nov 8, 2024 to Jan 21, 2025
RAUM · $915,337 to $5,000
Nov 8, 2024 to Jan 21, 2025
Accounts · 1,357 to 469
Mar 30, 2023 to Feb 6, 2024
Individual clients · 622 to 469
Mar 30, 2023 to Feb 6, 2024
Discretionary RAUM · $1.1M to $915,337
Mar 30, 2023 to Feb 6, 2024
Individual RAUM · $1.1M to $915,337
Mar 30, 2023 to Feb 6, 2024
RAUM · $1.1M to $915,337
Mar 30, 2023 to Feb 6, 2024
Accounts · 1,160 to 1,357
Mar 18, 2022 to Mar 30, 2023
Individual clients · 1,160 to 622
Mar 18, 2022 to Mar 30, 2023
Employees · 12 to 4
Mar 18, 2022 to Mar 30, 2023
Discretionary RAUM · $1.1M to $1.1M
Mar 18, 2022 to Mar 30, 2023
Individual RAUM · $1.1M to $1.1M
Mar 18, 2022 to Mar 30, 2023
RAUM · $1.1M to $1.1M
Mar 18, 2022 to Mar 30, 2023
Wrap assets (manager) · $0 to $1.1M
Mar 18, 2022 to Mar 30, 2023
Accounts · 0 to 1,160
Jan 10, 2022 to Mar 18, 2022
Advisory employees · 2 to 1
Jan 10, 2022 to Mar 18, 2022
Individual clients · unset to 1160.0
Jan 10, 2022 to Mar 18, 2022
Employees · 3 to 12
Jan 10, 2022 to Mar 18, 2022
State-registered IARs · 2 to 1
Jan 10, 2022 to Mar 18, 2022
Discretionary RAUM · $0 to $1.1M
Jan 10, 2022 to Mar 18, 2022
Individual RAUM · unset to 1126539.0
Jan 10, 2022 to Mar 18, 2022
RAUM · $0 to $1.1M
Jan 10, 2022 to Mar 18, 2022
Wrap assets (manager) · $1 to $0
Sep 30, 2020 to Feb 9, 2021
Wrap assets (sponsor) · $1 to $0
Sep 30, 2020 to Feb 9, 2021
Advisory employees · 1 to 2
Jun 15, 2020 to Aug 10, 2020
Employees · 2 to 3
Jun 15, 2020 to Aug 10, 2020
State-registered IARs · 1 to 2
Jun 15, 2020 to Aug 10, 2020

Signals

14 dated events

••• Locked
Aug 26, 2026 · Control person joined · fact
••• Locked
Aug 26, 2026 · Control person left · inference
••• Locked
Aug 26, 2026 · Control person joined · fact
••• Locked
Aug 26, 2026 · ria indirect owner change · derived
••• Locked
Aug 26, 2026 · ria indirect owner change · fact

Full timeline · 14 events

••• Locked
Aug 26, 2026 · ria indirect owner change · fact
••• Locked
Aug 26, 2026 · ria indirect owner change · fact
••• Locked
Aug 26, 2026 · ria majority owner change · derived
••• Locked
Aug 26, 2026 · ria majority owner change · fact
••• Locked
Aug 26, 2026 · ria principal change · fact
••• Locked
Aug 26, 2026 · ria principal change · derived
••• Locked
Aug 26, 2026 · ria principal change · fact
••• Locked
Mar 18, 2022 · Control person left · inference
••• Locked
Apr 16, 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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (2), LinkedIn company page (1), Facebook (1), X (Twitter) (1), Instagram (1) · the addresses open with an account

5 earlier addresses on Form ADV filings, the earliest seen Nov 8, 2024

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Aug 26, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 26, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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: $146,896derivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026