DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Proxy International

Former SEC-registered adviserNew York, New YorkCRD 325499SEC 801-127950IAPD
Legal name Proxy International LLC
Latest filing Aug 21, 2024
First filing on the tape Apr 10, 2023 · 8 filings
RAUM
$26.4M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$26.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$26.4M as of Aug 21, 2024
Apr 10, 2023$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 21, 2024
Apr 10, 20231 then
Employees (5.A)1 as of Aug 21, 2024
Apr 10, 20231 then
Private funds: no history
Practice profile
derived from the filing of Aug 21, 2024; every figure names its basis
RAUM per advisor
$26.4MderivedRAUM 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
$800,000derivedRAUM 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
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
$26.4MreportedItem 5.I
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
  • Individuals$26.4M100%
Individual clients
33reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
33reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
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
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
    • Wayne Arthur Potter · Ccocontrol
      since 07/2024 · owns less than 5%
    • Bryan Caulkins · Ownercontrol
      since 07/2022 · owns 50% to 75% of Proxy Financial Corp
    • James Christopher Davidson · Ownercontrol
      since 07/2022 · owns 50% to 75% of Proxy Financial Corp
    Entity owners
    • Proxy Financial Corp · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Advisers that list Proxy International as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    New York, Ny · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 33
      May 10, 2023 to Sep 16, 2023
    • Individual clients · unset to 33.0
      May 10, 2023 to Sep 16, 2023
    • Individual RAUM · unset to 26400000.0
      May 10, 2023 to Sep 16, 2023
    • Non-discretionary RAUM · $0 to $26.4M
      May 10, 2023 to Sep 16, 2023
    • RAUM · $0 to $26.4M
      May 10, 2023 to Sep 16, 2023
    Signals
    4 dated events
    • Wayne Arthur Potter (Cco) appeared on Schedule A of Proxy International
      Aug 21, 2024 · Control person joined · fact
    • Oleg Zviagin (Cco) no longer on Schedule A of Proxy International (listed 2023-10-31, absent 2024-08-21)
      Aug 21, 2024 · Control person left · inference
    • Oleg N. Zviagin left Proxy International for Proxy Freedom (registered 2023-07-06)
      Jul 17, 2024 · Advisor changed firm · fact
    • Proxy International filed its initial SEC registration (Form ADV)
      Apr 10, 2023 · 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.
    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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026