DFX Intelligence

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Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $193M of regulatory assets across 1 registered advisors.

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

As of 2026-02-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $193M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +19%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-02-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 26 Feb 2026, RAUM $163M to $193M (+18.6%) on the Form ADV filed 26 Feb 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 323473 · SEC 801-132484 · 2 filingsShow

CRD 323473SEC 801-132484First filing on the tape Mar 20, 2025, latest Feb 26, 2026SEC status approved since Apr 21, 2025IAPD

RAUM

$193M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$193M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$193M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

2 filings and snapshots on the tape

RAUM +19% over the last fiscal year · the tape starts Mar 20, 2025

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$193M as of Feb 26, 2026

Mar 20, 2025$163M then

HNW client RAUM$193M as of Feb 26, 2026

Mar 20, 2025$163M then

State-registered IARs (5.B.3)1 as of Feb 26, 2026

Mar 20, 20251 then

Employees (5.A)1 as of Feb 26, 2026

Mar 20, 20251 then

Private funds: no history

RAUM +19% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Feb 26, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $193MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 69derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.1MderivedHNW RAUM over HNW clients
Average account: $957,002derivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year: +19%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 assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody: $20.3M, 7 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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% high-net-worth individuals, 0.3% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$193M100%
Individuals$493,5800.3%

Individual clients: 7reported
HNW clients: 62reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 202reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $20.3M for 7 clientsreported
Compensation: % of AUMreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

T••• A••• F•••••••• from F••••••• P••••••• A•• W•••••••• A•••••••
Oct 21, 2022 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
T••• A••• F••••••••Certified Financial Planner	Prosper, Tx	Oct 21, 2022	30 y	2

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F••••••••• T•••• A••• · Managing Member / Chief Compliance Officercontrol
since 10/2022 · 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 · 149 to 202
Mar 20, 2025 to Feb 26, 2026
HNW clients · 46 to 62
Mar 20, 2025 to Feb 26, 2026
Individual clients · unset to 7.0
Mar 20, 2025 to Feb 26, 2026
Assets in custody · $8.2M to $20.3M
Mar 20, 2025 to Feb 26, 2026
Discretionary RAUM · $163M to $193M
Mar 20, 2025 to Feb 26, 2026

Full history · 8 changes

HNW RAUM · $163M to $193M
Mar 20, 2025 to Feb 26, 2026
Individual RAUM · $83,048 to $493,580
Mar 20, 2025 to Feb 26, 2026
RAUM · $163M to $193M
Mar 20, 2025 to Feb 26, 2026

Signals

No event on the tape.

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 phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Feb 26, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 26, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $193Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026