DFX Intelligence

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SEC-registered adviser

P••••••

No RAUM reportedNew Haven, ConnecticutCRD 314583SEC 801-123352websiteIAPD
Legal name A•••••• F••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jan 31, 2022 · 7 filings
SEC status approved since Nov 9, 2022
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2026
Apr 2, 2025$0 then
HNW client RAUM$0 as of Mar 31, 2026
Jun 1, 2023$0 then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Jun 1, 20231 then
Employees (5.A)4 as of Mar 31, 2026
Jun 1, 20234 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
5,500derivedindividual 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
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
Financial planning clients
5,500reportedItem 5.H
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
  • marketing includes hypothetical performance (5.L.3)
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
5,500reported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
5,500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
private_client_share=0.0 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••••• M••••• · Chief Compliance Officercontrol
        since 01/2017 · owns 25% to 50%
      • G•••••••• S••••• K•••• · Cofoundercontrol
        since 01/2017 · owns 50% to 75%
      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
      • Individual clients · 0 to 5,500
        Apr 2, 2025 to Mar 31, 2026
      • Accounts · unset to 0.0
        Apr 3, 2024 to Apr 2, 2025
      • Advisory activities · 2 to 3
        Apr 3, 2024 to Apr 2, 2025
      • Financial planning clients · More than 500 to More than 500
        Apr 3, 2024 to Apr 2, 2025
      • Discretionary RAUM · unset to 0.0
        Apr 3, 2024 to Apr 2, 2025
      • Non-discretionary RAUM · unset to 0.0
        Apr 3, 2024 to Apr 2, 2025
      • RAUM · unset to 0.0
        Apr 3, 2024 to Apr 2, 2025
      • Advisory activities · 1 to 2
        Jun 1, 2023 to Apr 3, 2024
      • Financial planning clients · unset to More than 500
        Jun 1, 2023 to Apr 3, 2024
      Signals
      1 dated events
      • Plootus filed its initial SEC registration (Form ADV)
        Jan 31, 2022 · 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
      Firm profile
      linkedin.com/company/plootusreportedpublic record, Form ADV, Sep 21, 2026
      Website
      plootus.comreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      4752092079reportedpublic record, Form ADV, Mar 31, 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