DFX Intelligence
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SEC-registered adviser
X••••• A•••••••
Legal name A••••••• I•••
Latest filing Jun 10, 2025
First filing on the tape May 7, 2021 · 13 filings
SEC status approved since Jun 12, 2021
RAUM
$300
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$300 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$300 as of Jun 10, 2025
Mar 2, 2022$50,600 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 10, 2025
Mar 2, 20220 then
Employees (5.A)0 as of Jun 10, 2025
Mar 2, 20220 then
Private funds: no history
RAUM -99% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 10, 2025; 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
- $100derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +242%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$300100%
- Individual clients
- 3reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- S•••• K••••• N•••••••• · Chief Compliance Officer, Presidentcontrolsince 04/2021 · 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
- Financial planning clients · unset to 1-10Feb 25, 2024 to Jun 10, 2025
- Discretionary RAUM · $95,308 to $300Feb 25, 2024 to Jun 10, 2025
- Individual RAUM · $95,308 to $300Feb 25, 2024 to Jun 10, 2025
- RAUM · $95,308 to $300Feb 25, 2024 to Jun 10, 2025
- Individual clients · 2 to 3Jul 14, 2023 to Feb 25, 2024
- Discretionary RAUM · $44,000 to $95,308Jul 14, 2023 to Feb 25, 2024
- Individual RAUM · $44,000 to $95,308Jul 14, 2023 to Feb 25, 2024
- RAUM · $44,000 to $95,308Jul 14, 2023 to Feb 25, 2024
- Accounts · 2 to 3Jul 10, 2023 to Jul 14, 2023
- Advisory activities · 3 to 2Jul 10, 2023 to Jul 14, 2023
- Discretionary RAUM · $32,520 to $44,000Jul 10, 2023 to Jul 14, 2023
- Individual RAUM · $32,520 to $44,000Jul 10, 2023 to Jul 14, 2023
- RAUM · $32,520 to $44,000Jul 10, 2023 to Jul 14, 2023
- Discretionary RAUM · $27,900 to $32,520Mar 30, 2023 to Jul 10, 2023
- Individual RAUM · $27,900 to $32,520Mar 30, 2023 to Jul 10, 2023
- RAUM · $27,900 to $32,520Mar 30, 2023 to Jul 10, 2023
- Discretionary RAUM · $50,600 to $27,900Dec 2, 2022 to Mar 30, 2023
- Individual RAUM · $50,600 to $27,900Dec 2, 2022 to Mar 30, 2023
- RAUM · $50,600 to $27,900Dec 2, 2022 to Mar 30, 2023
- Accounts · 3 to 2Sep 16, 2021 to Mar 2, 2022
- Individual clients · unset to 2.0Sep 16, 2021 to Mar 2, 2022
- Discretionary RAUM · $80,000 to $50,600Sep 16, 2021 to Mar 2, 2022
- Individual RAUM · $80,000 to $50,600Sep 16, 2021 to Mar 2, 2022
- RAUM · $80,000 to $50,600Sep 16, 2021 to Mar 2, 2022
- Accounts · unset to 3.0Jun 9, 2021 to Sep 16, 2021
- Discretionary RAUM · unset to 80000.0Jun 9, 2021 to Sep 16, 2021
- Individual RAUM · unset to 80000.0Jun 9, 2021 to Sep 16, 2021
- Non-discretionary RAUM · unset to 0.0Jun 9, 2021 to Sep 16, 2021
- RAUM · unset to 80000.0Jun 9, 2021 to Sep 16, 2021
Signals
1 dated events
- ••• LockedMay 7, 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•@x•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- x•••••.comreportedpublic record, Form ADV, Jun 10, 2025
- Principal office phone
- 650-870-1343reportedpublic record, Form ADV, Jun 10, 2025
- Contact form
- x•••••.comreportedpublished by the firm, firm site, Sep 16, 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