DFX Intelligence
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SEC-registered adviser
N•••••••• C••••••
Legal name N•••••••• C•••••• P•• L••
Latest filing Aug 24, 2026
First filing on the tape Feb 26, 2025 · 4 filings
SEC status approved since Feb 28, 2025
RAUM
$12B
reported, Item 5.F
Discretionary
99%
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
33
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$12B as of Aug 24, 2026
Feb 26, 2025$9.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 24, 2026
Feb 26, 20250 then
Employees (5.A)33 as of Aug 24, 2026
Feb 26, 202531 then
Private funds: no history
RAUM +35% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $473MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 68%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.1%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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
- Pension and profit-sharing plans$4.2B34%
- State and municipal entities$2.5B20%
- Corporations and businesses$1.7B14%
- Sovereign wealth funds$1.7B14%
- Other investment advisers$1.3B11%
- Pooled investment vehicles$851M6.9%
- Banks and thrifts$86.2M0.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.18 institutional_share=0.68 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
- C••••••••• S•••• M•••••• · Chief Operating Officercontrolsince 01/2024 · owns less than 5%
- M••••••••• C••••• J••• · Directorcontrolsince 12/2004 · owns less than 5%
- O•••••• K••••• M•••• · Directorcontrolsince 06/2025 · owns less than 5%
- R•••••• P••••••• F•••••• · Directorcontrolsince 07/2008 · owns less than 5%
- R•••• M••••••• S•••• · Director / Ceo / Ccocontrolsince 03/2018 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Pooled vehicle clients · 2 to 3Apr 22, 2026 to Aug 24, 2026
- Employees · 32 to 33Apr 22, 2026 to Aug 24, 2026
- Discretionary RAUM · $9.9B to $12BApr 22, 2026 to Aug 24, 2026
- Non-discretionary RAUM · $98.3M to $86.2MApr 22, 2026 to Aug 24, 2026
- Pension RAUM · $4.2B to $4.2BApr 22, 2026 to Aug 24, 2026
- Pooled vehicle RAUM · $715M to $851MApr 22, 2026 to Aug 24, 2026
- RAUM · $10.0B to $12BApr 22, 2026 to Aug 24, 2026
- Advisory employees · 17 to 14Feb 26, 2025 to Sep 3, 2025
- Corporate clients · 2.0 to unsetFeb 26, 2025 to Sep 3, 2025
- Pooled vehicle clients · 3 to 2Feb 26, 2025 to Sep 3, 2025
- Employees · 31 to 32Feb 26, 2025 to Sep 3, 2025
- Discretionary RAUM · $9.0B to $9.9BFeb 26, 2025 to Sep 3, 2025
- Non-discretionary RAUM · $93.0M to $98.3MFeb 26, 2025 to Sep 3, 2025
- Pension RAUM · $3.8B to $4.2BFeb 26, 2025 to Sep 3, 2025
- Pooled vehicle RAUM · $726M to $715MFeb 26, 2025 to Sep 3, 2025
- RAUM · $9.1B to $10.0BFeb 26, 2025 to Sep 3, 2025
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
- n••••••••.c••.aureportedpublic record, Form ADV, Aug 24, 2026
- Principal office phone
- 02-8234-3623reportedpublic record, Form ADV, Aug 24, 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
- Other 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