DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A•••••• C•••••• M•••••••••
Legal name A•••••• C•••••• M••••••••• L••
Latest filing Feb 23, 2026
First filing on the tape Aug 6, 2021 · 9 filings
SEC status approved since Sep 16, 2021
RAUM
$5.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$5.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$5.2M
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
9 filings and snapshots on the tape
RAUM$5.2M as of Feb 23, 2026
Feb 8, 2022$1.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 23, 2026
Feb 8, 20221 then
Employees (5.A)1 as of Feb 23, 2026
Feb 8, 20221 then
Private funds: no history
RAUM +38% over the last fiscal year+20% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 23, 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
- $5.2MderivedRAUM 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
- $25,451derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +38%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 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)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$5.2M100%
- Individual clients
- 205reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 205reported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• L•• S•• | San Francisco, Ca | Jan 6, 2023 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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••• R••••••• L•• · Managing Partner And Chief Compliance Officercontrolsince 07/2021 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Feb 23, 2026performance-based compensation (Item 5.E.6): yes on the filing of 2025-02-07, no on the filing of 2026-02-23peers: independent wealth managers, under $100M (707)
What changed
consecutive filings, newest first
- Accounts · 189 to 205Feb 7, 2025 to Feb 23, 2026
- Individual clients · unset to 205.0Feb 7, 2025 to Feb 23, 2026
- Discretionary RAUM · $3.8M to $5.2MFeb 7, 2025 to Feb 23, 2026
- Individual RAUM · $3.8M to $5.2MFeb 7, 2025 to Feb 23, 2026
- RAUM · $3.8M to $5.2MFeb 7, 2025 to Feb 23, 2026
- Accounts · 19 to 189Mar 13, 2024 to Feb 7, 2025
- Financial planning clients · unset to Mar 13, 2024 to Feb 7, 2025
- HQ city · unset to Mar 13, 2024 to Feb 7, 2025
- HQ state · unset to Mar 13, 2024 to Feb 7, 2025
- Discretionary RAUM · $2.7M to $3.8MMar 13, 2024 to Feb 7, 2025
- Individual RAUM · $2.7M to $3.8MMar 13, 2024 to Feb 7, 2025
- RAUM · $2.7M to $3.8MMar 13, 2024 to Feb 7, 2025
- Accounts · 16 to 19Aug 15, 2023 to Mar 13, 2024
- Discretionary RAUM · $2.5M to $2.7MAug 15, 2023 to Mar 13, 2024
- Individual RAUM · $2.5M to $2.7MAug 15, 2023 to Mar 13, 2024
- RAUM · $2.5M to $2.7MAug 15, 2023 to Mar 13, 2024
- Discretionary RAUM · $3.0M to $2.5MJan 19, 2023 to Aug 15, 2023
- Individual RAUM · $3.0M to $2.5MJan 19, 2023 to Aug 15, 2023
- RAUM · $3.0M to $2.5MJan 19, 2023 to Aug 15, 2023
- Accounts · 3 to 16Feb 8, 2022 to Jan 19, 2023
- Discretionary RAUM · $1.0M to $3.0MFeb 8, 2022 to Jan 19, 2023
- Individual RAUM · $1.0M to $3.0MFeb 8, 2022 to Jan 19, 2023
- RAUM · $1.0M to $3.0MFeb 8, 2022 to Jan 19, 2023
- Accounts · 0 to 3Sep 2, 2021 to Feb 8, 2022
- Discretionary RAUM · $0 to $1.0MSep 2, 2021 to Feb 8, 2022
- Individual RAUM · unset to 1000000.0Sep 2, 2021 to Feb 8, 2022
- RAUM · $0 to $1.0MSep 2, 2021 to Feb 8, 2022
Signals
1 dated events
- A•••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Aug 6, 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
- s••••••@a••••••.capitalreportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/alphaaireportedpublic record, Form ADV, Sep 21, 2026
- Website
- a••••••.capitalreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 913-549-8289reportedpublic record, Form ADV, Feb 23, 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
- $5.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026