DFX Intelligence
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V•••••
Independent wealth manager, based in New York, New York, reporting $40,000 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
- $40,000
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- Not established
- Private clients
- 100% of RAUM, $40,000
Form ADV
IAPD
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 333196 · SEC 801-131253 · 8 filingsShowHide
CRD 333196SEC 801-131253Legal name V••••• I•••First filing on the tape Sep 5, 2024, latest Jul 23, 2026SEC status approved since Nov 1, 2024IAPD
RAUM
$40,000
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$40,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
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$40,000 as of Jul 23, 2026
Feb 27, 2025$0 then
HNW client RAUM$0 as of Jul 23, 2026
Mar 23, 2026$0 then
State-registered IARs (5.B.3)0 as of Jul 23, 2026
Feb 27, 20250 then
Employees (5.A)4 as of Jul 23, 2026
Feb 27, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- 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
- $4,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 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 assetsreportedItem 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)
- 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
- Individuals$40,000100%
- Individual clients
- 250reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 10reported
- 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=1.0derived
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
- A•••• A•••••• · Chief Executive Officer / Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- A•••• A•••••• · Shareholdercontrolsince 12/2021 · owns 75% or more of G•• F•••••••• I••
Entity owners
- G•• F•••••••• I•• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
0 against comparable advisers; where to look, not conclusions
Nothing stands out against peers.
Data quality: total accounts (5.F.2.f) is below the private client count (5.D) by half or more on the filing of 2026-07-23
What changed
consecutive filings, newest first
- Legal name · G•• I••••• L•• to V••••• I•••Mar 23, 2026 to Jul 23, 2026
- Organization form · Limited Liability Company to CorporationMar 23, 2026 to Jul 23, 2026
- Accounts · 0 to 10Feb 27, 2025 to Mar 23, 2026
- BD registered reps · 0 to 1Feb 27, 2025 to Mar 23, 2026
- Business name · G•• I••••• L•• to V•••••Feb 27, 2025 to Mar 23, 2026
- Charity clients · unset to 0.0Feb 27, 2025 to Mar 23, 2026
- Corporate clients · unset to 0.0Feb 27, 2025 to Mar 23, 2026
- HNW clients · unset to 0.0Feb 27, 2025 to Mar 23, 2026
- Individual clients · unset to 250.0Feb 27, 2025 to Mar 23, 2026
- Pension plan clients · unset to 0.0Feb 27, 2025 to Mar 23, 2026
- Pooled vehicle clients · unset to 0.0Feb 27, 2025 to Mar 23, 2026
- Employees · 2 to 4Feb 27, 2025 to Mar 23, 2026
- HNW RAUM · unset to 0.0Feb 27, 2025 to Mar 23, 2026
- Individual RAUM · unset to 40000.0Feb 27, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $0 to $40,000Feb 27, 2025 to Mar 23, 2026
- Pension RAUM · unset to 0.0Feb 27, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · unset to 0.0Feb 27, 2025 to Mar 23, 2026
- RAUM · $0 to $40,000Feb 27, 2025 to Mar 23, 2026
- Financial planning clients · unset to 0Oct 30, 2024 to Feb 27, 2025
- Commission compensation · true to falseOct 29, 2024 to Oct 30, 2024
- Accounts · unset to 0.0Sep 5, 2024 to Oct 28, 2024
- Discretionary RAUM · unset to 0.0Sep 5, 2024 to Oct 28, 2024
- Non-discretionary RAUM · unset to 0.0Sep 5, 2024 to Oct 28, 2024
- RAUM · unset to 0.0Sep 5, 2024 to Oct 28, 2024
Signals
1 dated events
- ••• LockedSep 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
- ••• Lockedreportedpublic record, Form ADV, Jul 23, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jul 23, 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