DFX Intelligence
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F•••
Independent wealth manager, reporting $68.0M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $68.0M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +61%
- Private clients
- 100% of RAUM, $68.0M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $42.2MRAUM now $68.0M
- hourly charges (Item 5.E.2) 0
- Contact points 2
Every filed figure, and the identifiersCRD 328620 · SEC 801-131862 · 5 filingsShowHide
CRD 328620SEC 801-131862Legal name F•••• I•••First filing on the tape Dec 20, 2024, latest Mar 30, 2026SEC status approved since Mar 19, 2025IAPD
RAUM
$68.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$68.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$68.0M
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
5 filings and snapshots on the tape
RAUM$68.0M as of Mar 30, 2026
Apr 30, 2025$42.2M then
HNW client RAUM$28.7M as of Mar 30, 2026
Apr 30, 2025$0 then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Apr 30, 20254 then
Employees (5.A)1 as of Mar 30, 2026
Apr 30, 20255 then
Private funds: no history
RAUM +61% over the last fiscal yearIARs 4 to 1
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $68.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 214derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $50,946derivedRAUM 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
- +61%derivedbetween the last two annual amendments
- Advisor growth, one year
- -75%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$39.3M58%
- High-net-worth individuals$28.7M42%
- Individual clients
- 201reported
- HNW clients
- 13reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,335reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- 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 |
|---|---|---|---|---|
| D••••• A• A••• | Nashville, Tn | Nov 27, 2023 | 11 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
- A•••• D•••••• A• · Ceo, President, Secretary, Treasurercontrolsince 05/2023 · owns 50% to 75%
- C••••••• S••••••• A•••••• A••••• · Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- M•••••••• B••••••• D••••• · Chief Technology Officercontrolsince 05/2023 · 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.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 0.0% to 42.0% between the annual amendments of 2025-04-30 and 2026-03-30peers: independent wealth managers, under $100M (706)
- compensation changedChange between filings · filing Mar 30, 2026hourly charges (Item 5.E.2): yes on the filing of 2026-01-05, no on the filing of 2026-03-30peers: independent wealth managers, under $100M (706)
What changed
consecutive filings, newest first
- Accounts · 1,276 to 1,335Jan 5, 2026 to Mar 30, 2026
- Advisory activities · 3 to 2Jan 5, 2026 to Mar 30, 2026
- HNW clients · unset to 13.0Jan 5, 2026 to Mar 30, 2026
- Individual clients · 209 to 201Jan 5, 2026 to Mar 30, 2026
- Discretionary RAUM · $68.7M to $68.0MJan 5, 2026 to Mar 30, 2026
- HNW RAUM · $0 to $28.7MJan 5, 2026 to Mar 30, 2026
- Individual RAUM · $68.7M to $39.3MJan 5, 2026 to Mar 30, 2026
- RAUM · $68.7M to $68.0MJan 5, 2026 to Mar 30, 2026
- Accounts · 1,071 to 1,276Nov 4, 2025 to Jan 5, 2026
- Advisory employees · 4 to 1Nov 4, 2025 to Jan 5, 2026
- Individual clients · 198 to 209Nov 4, 2025 to Jan 5, 2026
- Employees · 5 to 1Nov 4, 2025 to Jan 5, 2026
- State-registered IARs · 4 to 1Nov 4, 2025 to Jan 5, 2026
- Discretionary RAUM · $42.2M to $68.7MNov 4, 2025 to Jan 5, 2026
- Individual RAUM · $42.2M to $68.7MNov 4, 2025 to Jan 5, 2026
- RAUM · $42.2M to $68.7MNov 4, 2025 to Jan 5, 2026
- Accounts · 407 to 1,071Dec 20, 2024 to Apr 30, 2025
- HNW clients · 0.0 to unsetDec 20, 2024 to Apr 30, 2025
- Individual clients · 144 to 198Dec 20, 2024 to Apr 30, 2025
- Employees · 7 to 5Dec 20, 2024 to Apr 30, 2025
- Financial planning clients · 1-10 to 101-250Dec 20, 2024 to Apr 30, 2025
- HQ city · unset to Dec 20, 2024 to Apr 30, 2025
- HQ state · unset to Dec 20, 2024 to Apr 30, 2025
- Discretionary RAUM · $27.8M to $42.2MDec 20, 2024 to Apr 30, 2025
- Individual RAUM · $27.8M to $42.2MDec 20, 2024 to Apr 30, 2025
- RAUM · $27.8M to $42.2MDec 20, 2024 to Apr 30, 2025
Signals
7 dated events
- ••• LockedMar 30, 2026 · ria majority owner change · derived
- ••• LockedMar 30, 2026 · ria principal change · derived
- ••• LockedMar 30, 2026 · ria principal change · derived
- ••• LockedMar 30, 2026 · ria ownership band change · fact
- ••• LockedMar 30, 2026 · Control person left · inference
- ••• LockedMar 30, 2026 · Control person left · inference
- ••• LockedDec 20, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F•••• I••• · Venture Capitalshared cik · company
How to reach
public business contact points only, each with its source
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 30, 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
- $68.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026