DFX Intelligence
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SEC-registered adviser
O•••••• I••••••••• M••••••••• L••
Latest filing Jul 9, 2026
First filing on the tape Mar 1, 2021 · 8 filings
SEC status approved since Apr 2, 2021
RAUM
$105M
reported, Item 5.F
Discretionary
0.1%
of RAUM
Private clients
100%
$105M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$105M as of Jul 9, 2026
Mar 31, 2022$18.9M then
HNW client RAUM$105M as of Jul 9, 2026
Mar 31, 2026$97.7M then
State-registered IARs (5.B.3)0 as of Jul 9, 2026
Mar 31, 20220 then
Employees (5.A)2 as of Jul 9, 2026
Mar 31, 20224 then
Private funds: 1
RAUM +12% over the last fiscal year-12% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Jul 9, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $105MderivedHNW RAUM over HNW clients
- Average account
- $35.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.1%derivedof RAUM
- Institutional
- 0.1%derivedpensions, 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
- +4.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 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, selection of other advisers, otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$105M100%
- State and municipal entities$60,0000.1%
- Corporations and businesses$30,0000.0%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- 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
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• F•••••• E•••• · Managercontrolsince 12/2022 · owns less than 5%
- S••••• S••••••• M••• · Chief Compliance Officer, Managercontrolsince 01/2021 · owns less than 5%
- W•••• C••••••••• S•••• · Managercontrolsince 01/2021 · owns 75% or more
Entity owners
- G••••••••• C•••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- O•••••• A••••••• L••••••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 0.0% to 100.0% between the annual amendments of 2025-02-11 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Accounts · 1 to 3Mar 31, 2026 to Jul 9, 2026
- Advisory activities · 2 to 3Mar 31, 2026 to Jul 9, 2026
- Corporate clients · unset to 1.0Mar 31, 2026 to Jul 9, 2026
- HQ city · AYLSHAM to DALLASMar 31, 2026 to Jul 9, 2026
- HQ state · to TXMar 31, 2026 to Jul 9, 2026
- Other offices · 1 to 0Mar 31, 2026 to Jul 9, 2026
- Discretionary RAUM · $0 to $90,000Mar 31, 2026 to Jul 9, 2026
- HNW RAUM · $97.7M to $105MMar 31, 2026 to Jul 9, 2026
- Non-discretionary RAUM · $97.7M to $105MMar 31, 2026 to Jul 9, 2026
- RAUM · $97.7M to $105MMar 31, 2026 to Jul 9, 2026
- Related adviser · true to falseMar 31, 2026 to Jul 9, 2026
- Accounts · 2 to 1Feb 11, 2025 to Mar 31, 2026
- Advisory employees · 1 to 2Feb 11, 2025 to Mar 31, 2026
- Advisory activities · 3 to 2Feb 11, 2025 to Mar 31, 2026
- Business name · O•••••• U•• L•• to O•••••• I••••••••• M••••••••• L••Feb 11, 2025 to Mar 31, 2026
- HNW clients · unset to 1.0Feb 11, 2025 to Mar 31, 2026
- Pooled vehicle clients · 1.0 to unsetFeb 11, 2025 to Mar 31, 2026
- HQ city · LONDON to AYLSHAMFeb 11, 2025 to Mar 31, 2026
- Legal name · O•••••• U•• L•• to O•••••• I••••••••• M••••••••• L••Feb 11, 2025 to Mar 31, 2026
- Private funds · 1 to unsetFeb 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $2 to $0Feb 11, 2025 to Mar 31, 2026
- HNW RAUM · unset to 97684740.0Feb 11, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $93.7M to $97.7MFeb 11, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · 2.0 to unsetFeb 11, 2025 to Mar 31, 2026
- RAUM · $93.7M to $97.7MFeb 11, 2025 to Mar 31, 2026
- Accounts · 1 to 2Mar 29, 2024 to Feb 11, 2025
- Advisory employees · 3 to 1Mar 29, 2024 to Feb 11, 2025
- Advisory activities · 2 to 3Mar 29, 2024 to Feb 11, 2025
- Pooled vehicle clients · unset to 1.0Mar 29, 2024 to Feb 11, 2025
- Assets in custody · 0.0 to unsetMar 29, 2024 to Feb 11, 2025
- Employees · 5 to 2Mar 29, 2024 to Feb 11, 2025
- Financial planning clients · unset to Mar 29, 2024 to Feb 11, 2025
- HQ state · unset to Mar 29, 2024 to Feb 11, 2025
- Private funds · unset to 1Mar 29, 2024 to Feb 11, 2025
- Discretionary RAUM · $84.5M to $2Mar 29, 2024 to Feb 11, 2025
- Non-discretionary RAUM · $0 to $93.7MMar 29, 2024 to Feb 11, 2025
- Pooled vehicle RAUM · unset to 2.0Mar 29, 2024 to Feb 11, 2025
- RAUM · $84.5M to $93.7MMar 29, 2024 to Feb 11, 2025
- Accounts · 3 to 1Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 2 to 3Mar 31, 2023 to Mar 29, 2024
Signals
2 dated events
- ••• LockedMar 31, 2023 · Control person joined · fact
- ••• LockedMar 1, 2021 · 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
- c•••••••••@o•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- i•••@o•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 833-689-6003reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- o•••••••••.comreportedpublic record, Form ADV, Jul 9, 2026
- Principal office phone
- +1 833 689 6003reportedpublic record, Form ADV, Jul 9, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026