DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P•••••• W•• C•••••• M••••••••• L••
Latest filing Aug 3, 2026
First filing on the tape May 2, 2025 · 5 filings
SEC status approved since May 22, 2025
RAUM
$34B
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
8
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
9
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$34B as of Aug 3, 2026
May 2, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 3, 2026
May 2, 20250 then
Employees (5.A)8 as of Aug 3, 2026
May 2, 20253 then
Private funds9 as of Aug 3, 2026
Nov 19, 20259 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 3, 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
- $3.1BderivedRAUM 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
- unknownderived2 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 fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$34B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
- B•••• A••••••••• C••••••••• · Secretarycontrolsince 09/2025 · owns less than 5%
- D•••••••• S•••••• M••••••• · Chief Investment Officercontrolsince 12/2024 · owns less than 5%
- F•••••• E••• J•••• G•••••• · Directorcontrolsince 09/2025 · owns less than 5%
- P•••• D••••• W•••• · Directorcontrolsince 09/2025 · owns less than 5%
- R•••••••• A••••• R••• · Directorcontrolsince 09/2025 · owns less than 5%
- S•••••••• R••••••• J••••• · Directorcontrolsince 09/2025 · owns less than 5%
- T•••••• K••••• E•••••••• · Directorcontrolsince 09/2025 · owns less than 5%
- V••••••••• P•••• · Chief Compliance Officercontrolsince 11/2025 · owns less than 5%
Entity owners
- P•••••• W•• H•••••••• L• · Ownerdirect · 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.
What changed
consecutive filings, newest first
- Accounts · 12 to 11Nov 19, 2025 to Mar 31, 2026
- Advisory employees · 3 to 4Nov 19, 2025 to Mar 31, 2026
- Pooled vehicle clients · 12 to 11Nov 19, 2025 to Mar 31, 2026
- Employees · 4 to 8Nov 19, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.7B to $34BNov 19, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.7B to $34BNov 19, 2025 to Mar 31, 2026
- RAUM · $1.7B to $34BNov 19, 2025 to Mar 31, 2026
- Accounts · 0 to 12Jun 11, 2025 to Nov 19, 2025
- Pooled vehicle clients · unset to 12.0Jun 11, 2025 to Nov 19, 2025
- Employees · 3 to 4Jun 11, 2025 to Nov 19, 2025
- Financial planning clients · 0 to 0Jun 11, 2025 to Nov 19, 2025
- Other offices · 0 to 1Jun 11, 2025 to Nov 19, 2025
- Private funds · unset to 9Jun 11, 2025 to Nov 19, 2025
- Discretionary RAUM · $0 to $1.7BJun 11, 2025 to Nov 19, 2025
- Pooled vehicle RAUM · unset to 1695445834.0Jun 11, 2025 to Nov 19, 2025
- RAUM · $0 to $1.7BJun 11, 2025 to Nov 19, 2025
Signals
1 dated events
- P•••••• W•• C•••••• M••••••••• L•• reported RAUM $33.6B, up 1880% from $1.7B (2025-11-19 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
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
- Principal office phone
- 646-893-4859reportedpublic record, Form ADV, Aug 3, 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