DFX Intelligence
RIA Intelligence
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SEC-registered adviser
D••• C•••••• M•••••••••
Legal name D••• C•••••• M••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Jan 5, 2024 · 4 filings
SEC status approved since Feb 16, 2024
RAUM
$269M
reported, Item 5.F
Discretionary
100%
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
27
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$269M as of Mar 19, 2026
Mar 27, 2025$188M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 27, 20250 then
Employees (5.A)27 as of Mar 19, 2026
Mar 27, 202523 then
Private funds: no history
RAUM +43% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 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
- $269MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +43%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $269M, 1 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$269M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $269M for 1 clientsreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=5.0derived
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•••••• M•••••• H••••••• · Presidentcontrolsince 01/2010 · owns less than 5%
- D•••••• J••••• R•••••• · Ceocontrolsince 03/2016 · owns less than 5%
- D•••••• D••••• E••••• · General Counsel & Ccocontrolsince 06/2008 · owns less than 5%
- K•••••• D••••• A•••• · Cfocontrolsince 03/2016 · owns less than 5%
- B•••••• M•••••• H••••••• · Ownercontrolsince 01/2010 · owns 75% or more of M••••• H• B••••• D••• I••••••• T••••
Entity owners
- M••••• H• B••••• D••• I••••••• T•••• · Owner, Trusteedirect · owns 75% or more
Related persons
Schedule D 7.A
- D••• S••••••••• L••broker-dealery
- F•••••••• C••••••••• I•••••••••banky
- H•••••• A•••• M••••••••• L••investment adviseryRAUM $2.0B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 6Mar 27, 2025 to Mar 19, 2026
- BD registered reps · 6 to 5Mar 27, 2025 to Mar 19, 2026
- Assets in custody · $188M to $269MMar 27, 2025 to Mar 19, 2026
- Employees · 23 to 27Mar 27, 2025 to Mar 19, 2026
- Discretionary RAUM · $188M to $269MMar 27, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $188M to $269MMar 27, 2025 to Mar 19, 2026
- RAUM · $188M to $269MMar 27, 2025 to Mar 19, 2026
- Advisory employees · 6 to 5Apr 12, 2024 to Mar 27, 2025
- Advisory activities · 1 to 2Apr 12, 2024 to Mar 27, 2025
- BD registered reps · 5 to 6Apr 12, 2024 to Mar 27, 2025
- Assets in custody · $163M to $188MApr 12, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Apr 12, 2024 to Mar 27, 2025
- Discretionary RAUM · $163M to $188MApr 12, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $163M to $188MApr 12, 2024 to Mar 27, 2025
- RAUM · $163M to $188MApr 12, 2024 to Mar 27, 2025
Signals
2 dated events
- Melissa Sprafkin (Cco) no longer on Schedule A of D••• C•••••• M••••••••• (listed 2024-01-05, absent 2024-04-12)Apr 12, 2024 · Control person left · inference
- D••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Jan 5, 2024 · 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
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 772-286-4777reportedpublic record, Form ADV, Mar 19, 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