DFX Intelligence

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SEC-registered adviser

A••••••••• F•••••••• ••••••• L••

Other adviserGrand C•••••, CRD 335337SEC 801-136110websiteIAPD
Latest filing Sep 11, 2026
First filing on the tape Jun 3, 2026 · 2 filings
SEC status approved since Aug 19, 2026
RAUM
$5.8B
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
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$5.8B as of Sep 11, 2026
Jun 3, 2026$5.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 11, 2026
Jun 3, 20260 then
Employees (5.A)5 as of Sep 11, 2026
Jun 3, 20265 then
Private funds: 1
Practice profile
derived from the filing of Sep 11, 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
$823MderivedRAUM 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
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, 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
  • 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)
  • 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
  • Pooled investment vehicles$3.4B59%
  • Corporations and businesses$2.4B41%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=0.59 institutional_share=0.0 related_bd= related_bank= 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••• D•••• · Directorcontrol
        since 05/2026 · owns less than 5%
      • S••••• E••••••• D••••••• P• · Directorcontrol
        since 05/2026 · owns less than 5%
      • G••••••• P••••• R•••••• · Chief Compliance Officer
        since 02/2026 · owns less than 5%
      Entity owners
      • A••••••••• P•• · Trustee Of T•• A••••••••• S••• T••••
        direct · owns less than 5%
      • T•• A••••••••• S••• T•••• · Shareholder
        direct · 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
      • Financial planning clients · to unset
        Jun 3, 2026 to Sep 11, 2026
      • HQ state · to unset
        Jun 3, 2026 to Sep 11, 2026
      • Private funds · 1 to unset
        Jun 3, 2026 to Sep 11, 2026
      • Related adviser · false to unset
        Jun 3, 2026 to Sep 11, 2026
      • Related bank · false to unset
        Jun 3, 2026 to Sep 11, 2026
      • Related broker-dealer · false to unset
        Jun 3, 2026 to Sep 11, 2026
      • Related insurance company · false to unset
        Jun 3, 2026 to Sep 11, 2026
      • Succession · false to unset
        Jun 3, 2026 to Sep 11, 2026
      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
      a•••••••••.comreportedpublic record, Form ADV, Sep 11, 2026
      Principal office phone
      345-745-2782reportedpublic record, Form ADV, Sep 11, 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