DFX Intelligence
RIA Intelligence
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SEC-registered adviser
F•••••••• V•••••••• L••
Latest filing Jun 26, 2026
First filing on the tape Apr 18, 2025 · 5 filings
SEC status approved since May 20, 2025
RAUM
$780M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
116
49 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
3
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$780M as of Jun 26, 2026
Apr 18, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 26, 2026
Apr 18, 20250 then
Employees (5.A)116 as of Jun 26, 2026
Apr 18, 2025118 then
Private funds3 as of Jun 26, 2026
Sep 16, 20252 then
RAUM n/a over the last fiscal yearIARs 0 to 0offices 8 to 7
Practice profile
derived from the filing of Jun 26, 2026; 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
- $260MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived8 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 assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $780M, 3 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$780M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $780M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• Y••••• N•• · Board Membercontrolsince 11/2023 · owns less than 5%
- L••••••• A•••• N•• · Chief Executive Officer And Board Membercontrolsince 10/2014 · owns less than 5%
- P••••• O•••• N•• · Chief Investment Officercontrolsince 07/2016 · owns less than 5%
- R••••• J•••••• J•••• · Board Membercontrolsince 07/2025 · owns less than 5%
- R••••••••• R••••• B••••• · Chief Compliance Officer And General Counselcontrolsince 02/2019 · owns less than 5%
- Z•••••••• Z•••••••• N•• · Board Membercontrolsince 01/2024 · owns less than 5%
Entity owners
- P••••••••• I••••••••• L••• · Managing Memberdirect · 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 · 2 to 3Sep 16, 2025 to Mar 30, 2026
- Advisory employees · 46 to 49Sep 16, 2025 to Mar 30, 2026
- Pooled vehicle clients · 2 to 3Sep 16, 2025 to Mar 30, 2026
- Assets in custody · $227M to $780MSep 16, 2025 to Mar 30, 2026
- Employees · 118 to 116Sep 16, 2025 to Mar 30, 2026
- Other offices · 8 to 7Sep 16, 2025 to Mar 30, 2026
- Private funds · 2 to 3Sep 16, 2025 to Mar 30, 2026
- Discretionary RAUM · $227M to $704MSep 16, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $0 to $75.8MSep 16, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $227M to $780MSep 16, 2025 to Mar 30, 2026
- RAUM · $227M to $780MSep 16, 2025 to Mar 30, 2026
- Accounts · 0 to 2Jul 11, 2025 to Sep 16, 2025
- Advisory employees · 44 to 46Jul 11, 2025 to Sep 16, 2025
- Pooled vehicle clients · 0 to 2Jul 11, 2025 to Sep 16, 2025
- Assets in custody · unset to 227282727.0Jul 11, 2025 to Sep 16, 2025
- Custody of client assets · false to trueJul 11, 2025 to Sep 16, 2025
- Private funds · unset to 2Jul 11, 2025 to Sep 16, 2025
- Discretionary RAUM · $0 to $227MJul 11, 2025 to Sep 16, 2025
- Pooled vehicle RAUM · $0 to $227MJul 11, 2025 to Sep 16, 2025
- RAUM · $0 to $227MJul 11, 2025 to Sep 16, 2025
- Financial planning clients · unset to Apr 18, 2025 to Jul 11, 2025
Signals
1 dated events
- F•••••••• V•••••••• L•• reported RAUM $780.0M, up 243% from $227.3M (2025-09-16 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- F•••••••• V•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- F•••••••• V•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- f••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 408-609-3725reportedpublic record, Form ADV, Jun 26, 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
- Asset manager (funds and pooled vehicles)deriveda 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