DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

X••••• F••••••••

Former SEC-registered adviserPalo Alto, CaliforniaCRD 315441SEC 801-122256IAPD
Legal name X••••• F••••••••• L••
Latest filing May 16, 2024
First filing on the tape Aug 4, 2021 · 12 filings
RAUM
n/a
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM: $58,000
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2023
Feb 24, 20220 then
Employees (5.A)1 as of Mar 28, 2023
Feb 24, 20221 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 16, 2024; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween 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
selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
      • P••••••• S•••• T••••• · Chief Compliance Officercontrol
        since 08/2021 · owns less than 5%
      Entity owners
      • X••••• I•• · Owner
        direct · 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 · 35.0 to unset
        Mar 28, 2023 to May 16, 2024
      • Individual clients · 35.0 to unset
        Mar 28, 2023 to May 16, 2024
      • Discretionary RAUM · 0.0 to unset
        Mar 28, 2023 to May 16, 2024
      • Individual RAUM · 58000.0 to unset
        Mar 28, 2023 to May 16, 2024
      • Non-discretionary RAUM · 58000.0 to unset
        Mar 28, 2023 to May 16, 2024
      • RAUM · 58000.0 to unset
        Mar 28, 2023 to May 16, 2024
      • Accounts · unset to 35.0
        Feb 1, 2023 to Mar 28, 2023
      • Individual clients · unset to 35.0
        Feb 1, 2023 to Mar 28, 2023
      • Discretionary RAUM · unset to 0.0
        Feb 1, 2023 to Mar 28, 2023
      • Individual RAUM · unset to 58000.0
        Feb 1, 2023 to Mar 28, 2023
      • Non-discretionary RAUM · unset to 58000.0
        Feb 1, 2023 to Mar 28, 2023
      • RAUM · unset to 58000.0
        Feb 1, 2023 to Mar 28, 2023
      • Accounts · 0.0 to unset
        Jan 7, 2022 to Feb 24, 2022
      • Discretionary RAUM · 0.0 to unset
        Jan 7, 2022 to Feb 24, 2022
      • Non-discretionary RAUM · 0.0 to unset
        Jan 7, 2022 to Feb 24, 2022
      • RAUM · 0.0 to unset
        Jan 7, 2022 to Feb 24, 2022
      Signals
      1 dated events
      • X••••• F•••••••• filed its initial SEC registration (Form ADV)
        Aug 4, 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.
      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
      Former SEC-registered adviserderiveda 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