DFX Intelligence

RIA Intelligence

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A••••••• E••••• I• E••••• L•••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $2.6M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$2.6M
Form ADV
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
-6.7%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $2.6M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 319225 · SEC 801-124964 · 9 filingsShow
CRD 319225SEC 801-124964First filing on the tape Apr 6, 2022, latest May 27, 2026SEC status approved since Jul 20, 2022IAPD
RAUM
$2.6M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$2.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 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$2.6M as of May 27, 2026
Mar 23, 2023$907,000 then
HNW client RAUM$0 as of May 27, 2026
Mar 23, 2023$0 then
State-registered IARs (5.B.3)0 as of May 27, 2026
Mar 23, 20230 then
Employees (5.A)3 as of May 27, 2026
Mar 23, 20232 then
Private funds: no history
RAUM -6.7% over the last fiscal year+43% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 27, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
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
$138,161derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-6.7%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+5.6%derived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$2.6M100%
Individual clients
19reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
19reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
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
      • C•••• J•••••• C•••••• · Chief Operating Officer And Chief Compliance Officercontrol
        since 01/2022 · owns 50% to 75%
      • G•••••• F••••• M••••• · Managing Directorcontrol
        since 01/2022 · 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
      • Accounts · 18 to 19
        Apr 15, 2025 to Mar 24, 2026
      • Advisory employees · 1 to 3
        Apr 15, 2025 to Mar 24, 2026
      • BD registered reps · 0 to 3
        Apr 15, 2025 to Mar 24, 2026
      • Individual clients · 18 to 19
        Apr 15, 2025 to Mar 24, 2026
      • Employees · 2 to 3
        Apr 15, 2025 to Mar 24, 2026
      • Individual RAUM · $2.8M to $2.6M
        Apr 15, 2025 to Mar 24, 2026
      • Non-discretionary RAUM · $2.8M to $2.6M
        Apr 15, 2025 to Mar 24, 2026
      • RAUM · $2.8M to $2.6M
        Apr 15, 2025 to Mar 24, 2026
      • Accounts · 17 to 18
        Jul 1, 2024 to Apr 15, 2025
      • Individual clients · 17 to 18
        Jul 1, 2024 to Apr 15, 2025
      • Financial planning clients · 0 to 0
        Jul 1, 2024 to Apr 15, 2025
      • HQ city · unset to
        Jul 1, 2024 to Apr 15, 2025
      • HQ state · unset to
        Jul 1, 2024 to Apr 15, 2025
      • Individual RAUM · $2.6M to $2.8M
        Jul 1, 2024 to Apr 15, 2025
      • Non-discretionary RAUM · $2.6M to $2.8M
        Jul 1, 2024 to Apr 15, 2025
      • RAUM · $2.6M to $2.8M
        Jul 1, 2024 to Apr 15, 2025
      • Accounts · 1 to 17
        Aug 17, 2023 to Mar 26, 2024
      • Advisory employees · 2 to 1
        Aug 17, 2023 to Mar 26, 2024
      • Advisory activities · 2 to 1
        Aug 17, 2023 to Mar 26, 2024
      • Individual clients · 1 to 17
        Aug 17, 2023 to Mar 26, 2024
      • Financial planning clients · 1-10 to 0
        Aug 17, 2023 to Mar 26, 2024
      • Individual RAUM · $907,000 to $2.6M
        Aug 17, 2023 to Mar 26, 2024
      • Non-discretionary RAUM · $907,000 to $2.6M
        Aug 17, 2023 to Mar 26, 2024
      • RAUM · $907,000 to $2.6M
        Aug 17, 2023 to Mar 26, 2024
      • Accounts · 0 to 1
        Apr 6, 2022 to Mar 23, 2023
      • Charity clients · unset to 0.0
        Apr 6, 2022 to Mar 23, 2023
      • Corporate clients · unset to 0.0
        Apr 6, 2022 to Mar 23, 2023
      • HNW clients · unset to 0.0
        Apr 6, 2022 to Mar 23, 2023
      • Individual clients · unset to 1.0
        Apr 6, 2022 to Mar 23, 2023
      • Pension plan clients · unset to 0.0
        Apr 6, 2022 to Mar 23, 2023
      • Pooled vehicle clients · unset to 0.0
        Apr 6, 2022 to Mar 23, 2023
      • Financial planning clients · 0 to 1-10
        Apr 6, 2022 to Mar 23, 2023
      • HQ city · COUNTY GALWAY, REPUBLIC OF IRELAND to unset
        Apr 6, 2022 to Mar 23, 2023
      • HNW RAUM · unset to 0.0
        Apr 6, 2022 to Mar 23, 2023
      • Individual RAUM · unset to 907000.0
        Apr 6, 2022 to Mar 23, 2023
      • Non-discretionary RAUM · $0 to $907,000
        Apr 6, 2022 to Mar 23, 2023
      • Pension RAUM · unset to 0.0
        Apr 6, 2022 to Mar 23, 2023
      • Pooled vehicle RAUM · unset to 0.0
        Apr 6, 2022 to Mar 23, 2023
      • RAUM · $0 to $907,000
        Apr 6, 2022 to Mar 23, 2023
      Signals
      1 dated events
      • ••• Locked
        Apr 6, 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
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, May 27, 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