DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

I••••••• W••••• P•••••••• L••

Former SEC-registered adviserCRD 317153SEC 801-122744website IAPD

Latest filing Dec 10, 2024

First filing on the tape Oct 22, 2021 · 31 filings

SEC status approved since Nov 26, 2021

RAUM

$42.0M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

96%

$40.1M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$42.0M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

31 filings and snapshots on the tape

RAUM$35.1M as of Mar 28, 2024

Mar 23, 2022$33.0M then

HNW client RAUM$13.7M as of Mar 28, 2024

Mar 23, 2022$14.0M then

State-registered IARs (5.B.3)2 as of Mar 28, 2024

Mar 23, 20221 then

Employees (5.A)2 as of Mar 28, 2024

Mar 23, 20221 then

Private funds: no history

RAUM +19% over the last fiscal yearIARs 1 to 2offices 1 to 0

Practice profile

derived from the filing of Dec 10, 2024; every figure names its basis

RAUM per advisor: $42.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 116derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.7MderivedHNW RAUM over HNW clients
Average account: $358,974derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +0.0%derivedbetween the last two annual amendments
Advisor growth, one year: +100%derivedItem 5.B.3 between annual amendments
Client growth, one year: +0.0%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody: $35.1M, 114 clientsreportedItem 9.A
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$21.6M51%
Individuals$18.5M44%
Corporations and businesses$1.9M4.5%

Individual clients: 103reported
HNW clients: 13reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 117reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $35.1M for 114 clientsreported
Compensation: % of AUM, fixedreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
D•••• N••• N•••••Certified Financial Planner, Chartered Financial Consultant	Melbourne Beach, Fl	May 11, 2022	20 y	1

Advisor movement

1 left, 0 joined in 12 months

net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months

Left, latest

D••• F••••• to T••••••••• W••••• M•••••••••
Feb 27, 2026 · RIA to a state-registered adviser

Joined, latest

D••• F••••• from E•••• S••••••••• L••
Aug 11, 2023 · Affiliated broker-dealer or bank to independent RIA
D•••• N••• N••••• from E•••• S••••••••• L••
May 11, 2022 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

N•••••• D••••• N••• · Managing Member/Chief Compliance Officercontrol
since 10/2021 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Melbourne Beach, Fl	1	0	1

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 114 to 117
Apr 11, 2024 to Apr 26, 2024
HNW clients · 6 to 13
Apr 11, 2024 to Apr 26, 2024
Individual clients · 104 to 103
Apr 11, 2024 to Apr 26, 2024
Pension plan clients · 3.0 to unset
Apr 11, 2024 to Apr 26, 2024
Discretionary RAUM · $35.1M to $42.0M
Apr 11, 2024 to Apr 26, 2024
HNW RAUM · $13.7M to $21.6M
Apr 11, 2024 to Apr 26, 2024
Individual RAUM · $18.4M to $18.5M
Apr 11, 2024 to Apr 26, 2024
Pension RAUM · 1187229.0 to unset
Apr 11, 2024 to Apr 26, 2024
RAUM · $35.1M to $42.0M
Apr 11, 2024 to Apr 26, 2024
Advisory activities · 3 to 5
Feb 21, 2024 to Mar 28, 2024
Other offices · 1 to 0
Feb 21, 2024 to Mar 28, 2024
Assets in custody · unset to 35147988.0
Jan 12, 2024 to Feb 9, 2024
Custody of client assets · false to true
Jan 12, 2024 to Feb 9, 2024
Advisory employees · 1 to 2
Aug 11, 2023 to Aug 14, 2023
Employees · 1 to 2
Aug 11, 2023 to Aug 14, 2023
State-registered IARs · 1 to 2
Aug 11, 2023 to Aug 14, 2023
Accounts · 207 to 114
May 18, 2022 to Jan 30, 2023
HNW clients · 11 to 6
May 18, 2022 to Jan 30, 2023
Individual clients · 95 to 104
May 18, 2022 to Jan 30, 2023
Pension plan clients · unset to 3.0
May 18, 2022 to Jan 30, 2023
HQ city · MADISON to unset
May 18, 2022 to Jan 30, 2023
HQ state · WI to unset
May 18, 2022 to Jan 30, 2023
Discretionary RAUM · $33.0M to $35.1M
May 18, 2022 to Jan 30, 2023
HNW RAUM · $14.0M to $13.7M
May 18, 2022 to Jan 30, 2023
Individual RAUM · $17.0M to $18.4M
May 18, 2022 to Jan 30, 2023
Pension RAUM · unset to 1187229.0
May 18, 2022 to Jan 30, 2023
RAUM · $33.0M to $35.1M
May 18, 2022 to Jan 30, 2023
Accounts · unset to 207.0
Jan 12, 2022 to Mar 23, 2022
Corporate clients · unset to 1.0
Jan 12, 2022 to Mar 23, 2022
HNW clients · unset to 11.0
Jan 12, 2022 to Mar 23, 2022
Individual clients · unset to 95.0
Jan 12, 2022 to Mar 23, 2022
Discretionary RAUM · unset to 33000000.0
Jan 12, 2022 to Mar 23, 2022
HNW RAUM · unset to 14000000.0
Jan 12, 2022 to Mar 23, 2022
Individual RAUM · unset to 17000000.0
Jan 12, 2022 to Mar 23, 2022
Non-discretionary RAUM · unset to 0.0
Jan 12, 2022 to Mar 23, 2022
RAUM · unset to 33000000.0
Jan 12, 2022 to Mar 23, 2022
BD registered reps · 1 to 0
Oct 29, 2021 to Jan 12, 2022
Insurance-licensed employees · 1 to 0
Oct 29, 2021 to Jan 12, 2022
HQ city · CHEYENNE to MADISON
Oct 29, 2021 to Jan 12, 2022
HQ state · WY to WI
Oct 29, 2021 to Jan 12, 2022

Signals

3 dated events

D••• F••••• left I••••••• W••••• P•••••••• L•• for T••••••••• W••••• M••••••••• (registered 2026-02-27)
Feb 27, 2026 · Advisor changed firm · fact
I••••••• W••••• P•••••••• L•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $42.0M)
Feb 3, 2025 · Left the SEC roster · derived
I••••••• W••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
Oct 22, 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

Website: i•••••••••.comreportedpublic record, Form ADV, Sep 21, 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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $42.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026