DFX Intelligence
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W•••••••
Independent wealth manager, reporting $26.2M of regulatory assets.
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
- $26.2M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +10363%
- Private clients
- 100% of RAUM, $26.2M
Form ADV
IAPD
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 $250,818RAUM now $26.2M
- Contact points 2
Every filed figure, and the identifiersCRD 331220 · SEC 801-130228 · 8 filingsShowHide
CRD 331220SEC 801-130228Legal name W••• I•••First filing on the tape Apr 8, 2024, latest Mar 31, 2026SEC status approved since Sep 25, 2024IAPD
RAUM
$26.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$26.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$26.2M as of Mar 31, 2026
Jan 22, 2025$196,330 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jan 22, 20250 then
Employees (5.A)6 as of Mar 31, 2026
Jan 22, 20256 then
Private funds: no history
RAUM +10363% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $814derivedRAUM 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
- +10363%derivedbetween 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, subscriptionreportedItem 5.E
- Advisory activities
- 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$26.2M100%
- Individual clients
- 32,225reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 32,225reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
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
- G••••••• N••••••• A••••• · Internal Compliance Managercontrolsince 07/2024 · owns 25% to 50%
- R•••••• A••••• M••••• · Chief Excecutive Officercontrolsince 07/2024 · owns 50% to 75%
- R•••••• A••••• R••••• · Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
Related persons
Schedule D 7.A
- Q••••• I•••••••••investment advisernRAUM $8.2M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,333 to 32,225May 12, 2025 to Mar 31, 2026
- Individual clients · 2,333 to 32,225May 12, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.0M to $26.2MMay 12, 2025 to Mar 31, 2026
- Individual RAUM · $4.0M to $26.2MMay 12, 2025 to Mar 31, 2026
- RAUM · $4.0M to $26.2MMay 12, 2025 to Mar 31, 2026
- Related adviser · true to falseMay 12, 2025 to Mar 31, 2026
- Accounts · 11 to 2,333Mar 24, 2025 to May 12, 2025
- Individual clients · 11 to 2,333Mar 24, 2025 to May 12, 2025
- Financial planning clients · 0 to 0Mar 24, 2025 to May 12, 2025
- Discretionary RAUM · $250,818 to $4.0MMar 24, 2025 to May 12, 2025
- Individual RAUM · $250,818 to $4.0MMar 24, 2025 to May 12, 2025
- RAUM · $250,818 to $4.0MMar 24, 2025 to May 12, 2025
- Accounts · 4 to 11Jan 22, 2025 to Mar 24, 2025
- Individual clients · unset to 11.0Jan 22, 2025 to Mar 24, 2025
- HQ city · PONCE to Jan 22, 2025 to Mar 24, 2025
- HQ state · PR to Jan 22, 2025 to Mar 24, 2025
- Discretionary RAUM · $196,330 to $250,818Jan 22, 2025 to Mar 24, 2025
- Individual RAUM · $196,330 to $250,818Jan 22, 2025 to Mar 24, 2025
- RAUM · $196,330 to $250,818Jan 22, 2025 to Mar 24, 2025
- Accounts · 0 to 4Sep 24, 2024 to Jan 22, 2025
- Individual clients · 0.0 to unsetSep 24, 2024 to Jan 22, 2025
- Employees · 5 to 6Sep 24, 2024 to Jan 22, 2025
- Discretionary RAUM · $0 to $196,330Sep 24, 2024 to Jan 22, 2025
- Individual RAUM · $0 to $196,330Sep 24, 2024 to Jan 22, 2025
- RAUM · $0 to $196,330Sep 24, 2024 to Jan 22, 2025
- Related adviser · false to trueJul 30, 2024 to Sep 24, 2024
- Advisory activities · 2 to 1Apr 8, 2024 to May 7, 2024
- Commission compensation · true to falseApr 8, 2024 to May 7, 2024
Signals
6 dated events
- ••• LockedJul 30, 2024 · Control person joined · fact
- ••• LockedJul 30, 2024 · Control person joined · fact
- ••• LockedJul 30, 2024 · Control person left · inference
- ••• LockedJul 30, 2024 · Control person left · inference
- ••• LockedMay 7, 2024 · Control person joined · fact
- ••• LockedApr 8, 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
- ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 31, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026