DFX Intelligence
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SEC-registered adviser
F•••••••• M•••••
Legal name M••••• F•••••••• J• P•
Latest filing Mar 23, 2026
First filing on the tape Mar 8, 2022 · 9 filings
SEC status approved since Mar 18, 2022
RAUM
$180M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$180M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$180M
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$180M as of Mar 23, 2026
Feb 1, 2023$125M then
HNW client RAUM$180M as of Mar 23, 2026
Feb 1, 2023$125M then
State-registered IARs (5.B.3)1 as of Mar 23, 2026
Feb 1, 20231 then
Employees (5.A)1 as of Mar 23, 2026
Feb 1, 20231 then
Private funds: no history
RAUM +10.0% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $180MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $15.0MderivedHNW RAUM over HNW clients
- Average account
- $15.0MderivedRAUM 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
- +10.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 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
- High-net-worth individuals$180M100%
- Individual clients
- 0reported
- HNW clients
- 12reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 12reported
- Financial planning clients
- reported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• E•••••• F••••••• | New York, Ny | Apr 15, 2022 | 34 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
- F•••••••• M•••••• E•••••• · Managing Member & Chief Compliance Officercontrolsince 10/2003 · 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
0 against comparable advisers; where to look, not conclusions
Nothing stands out against peers.
Data quality: RAUM $124,868,009 then $1,147,446,827 then $163,776,601 on consecutive annual amendments (2024-03-29, 2025-03-28); the middle value is likely a filing error
What changed
consecutive filings, newest first
- Discretionary RAUM · $164M to $180MMar 28, 2025 to Mar 23, 2026
- HNW RAUM · $164M to $180MMar 28, 2025 to Mar 23, 2026
- RAUM · $164M to $180MMar 28, 2025 to Mar 23, 2026
- Accounts · 24 to 12Jun 14, 2024 to Mar 28, 2025
- HNW clients · 24 to 12Jun 14, 2024 to Mar 28, 2025
- Financial planning clients · unset to Jun 14, 2024 to Mar 28, 2025
- HQ city · unset to Jun 14, 2024 to Mar 28, 2025
- HQ state · unset to Jun 14, 2024 to Mar 28, 2025
- Discretionary RAUM · $147M to $164MJun 14, 2024 to Mar 28, 2025
- HNW RAUM · $147M to $164MJun 14, 2024 to Mar 28, 2025
- RAUM · $147M to $164MJun 14, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.1B to $147MMar 29, 2024 to Jun 14, 2024
- HNW RAUM · $1.1B to $147MMar 29, 2024 to Jun 14, 2024
- RAUM · $1.1B to $147MMar 29, 2024 to Jun 14, 2024
- Accounts · 39 to 24Feb 1, 2023 to Mar 29, 2024
- HNW clients · 12 to 24Feb 1, 2023 to Mar 29, 2024
- Discretionary RAUM · $125M to $1.1BFeb 1, 2023 to Mar 29, 2024
- HNW RAUM · $125M to $1.1BFeb 1, 2023 to Mar 29, 2024
- RAUM · $125M to $1.1BFeb 1, 2023 to Mar 29, 2024
- Accounts · 13 to 39Jun 28, 2022 to Feb 1, 2023
- HNW clients · 5 to 12Jun 28, 2022 to Feb 1, 2023
- Individual clients · 4 to 0Jun 28, 2022 to Feb 1, 2023
- Discretionary RAUM · $29.0M to $125MJun 28, 2022 to Feb 1, 2023
- HNW RAUM · $23.6M to $125MJun 28, 2022 to Feb 1, 2023
- Individual RAUM · $5.4M to $0Jun 28, 2022 to Feb 1, 2023
- RAUM · $29.0M to $125MJun 28, 2022 to Feb 1, 2023
- Accounts · 4 to 13Mar 8, 2022 to Jun 20, 2022
- Charity clients · unset to 0.0Mar 8, 2022 to Jun 20, 2022
- Corporate clients · unset to 0.0Mar 8, 2022 to Jun 20, 2022
- HNW clients · unset to 5.0Mar 8, 2022 to Jun 20, 2022
- Individual clients · unset to 4.0Mar 8, 2022 to Jun 20, 2022
- Pension plan clients · unset to 0.0Mar 8, 2022 to Jun 20, 2022
- Pooled vehicle clients · unset to 0.0Mar 8, 2022 to Jun 20, 2022
- Discretionary RAUM · $20.0M to $29.0MMar 8, 2022 to Jun 20, 2022
- HNW RAUM · $20.0M to $23.6MMar 8, 2022 to Jun 20, 2022
- Individual RAUM · unset to 5375000.0Mar 8, 2022 to Jun 20, 2022
- Pension RAUM · unset to 0.0Mar 8, 2022 to Jun 20, 2022
- Pooled vehicle RAUM · unset to 0.0Mar 8, 2022 to Jun 20, 2022
- RAUM · $20.0M to $29.0MMar 8, 2022 to Jun 20, 2022
Signals
3 dated events
- F•••••••• M••••• reported RAUM $147.4M, down 87% from $1.1B (2024-03-29 to 2024-06-14)Jun 14, 2024 · RAUM change · derived
- F•••••••• M••••• reported RAUM $1.1B, up 819% from $124.9M (2023-02-01 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- F•••••••• M••••• filed its initial SEC registration (Form ADV)Mar 8, 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
- 212-767-7307reportedpublic record, Form ADV, Mar 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
- $180Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026