DFX Intelligence
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P•••••• A••••••• L••
Former SEC-registered adviser, based in Covington, Louisiana, reporting $119M of regulatory assets across 3 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
- Last reported RAUM
- $119M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- Not applicable
- Private clients
- 96% of RAUM, $114M
Form ADV
IAPD
IAPD registration history
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 1
Every filed figure, and the identifiersCRD 330658 · SEC 801-137207 · 1 filingsShowHide
RAUM
$119M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$114M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$39.7M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $119M
HNW client RAUM: $70.7M
State-registered IARs (5.B.3): 4
Employees (5.A): 4
Private funds: no history
Practice profile
derived from the filing of Aug 25, 2026; every figure names its basis
- RAUM per advisor
- $39.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $449,080derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$70.7M59%
- Individuals$43.4M36%
- Pension and profit-sharing plans$3.5M3.0%
- Insurance companies$836,7700.7%
- Charitable organizations$538,8190.5%
- Individual clients
- 147reported
- HNW clients
- 47reported
- Pension plan clients
- 10reported
- Charitable clients
- 2reported
- Accounts
- 265reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• E•••• G••••• | Covington, La | Aug 26, 2024 | 21 y | 0 |
| J••• B••••• | Covington, La | Sep 17, 2024 | 21 y | 3 |
| G•••••• M••••• | Covington, La | Oct 11, 2024 | 10 y | 1 |
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
- G•••••• M••••• from L•• F•••••••• L••Oct 11, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••• B••••• from O• I••••••••• M••••••••• C•Sep 17, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Covington, La · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
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
- Website
- ••• Lockedreportedpublic record, Form ADV, Aug 25, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $39.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026