DFX Intelligence
RIA Intelligence
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SEC-registered adviser
R•••• L•••• L••
Latest filing Jan 12, 2026
First filing on the tape May 29, 2025 · 3 filings
SEC status approved since Jun 30, 2025
RAUM
$65.0M
reported, Item 5.F
Discretionary
68%
of RAUM
Private clients
34%
$21.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$65.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$65.0M as of Jan 12, 2026
May 29, 2025$0 then
HNW client RAUM$21.8M as of Jan 12, 2026
Jul 30, 2025$8.3M then
State-registered IARs (5.B.3)1 as of Jan 12, 2026
May 29, 20251 then
Employees (5.A)1 as of Jan 12, 2026
May 29, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $65.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 68%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
- Corporations and businesses$43.0M66%
- High-net-worth individuals$21.8M34%
- Individuals$165,3660.3%
- Individual clients
- n/areported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 37reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.34 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• C•••• D••••••••• | New York, Ny | Jun 30, 2025 | 12 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- P•••• C•••• D••••••••• from K•• A•••••••• L••Jun 30, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• P••••• C•••• · Managing Member & Chief Compliance Officercontrolsince 05/2025 · 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 · 17 to 37Jul 30, 2025 to Jan 12, 2026
- HNW clients · 14 to 15Jul 30, 2025 to Jan 12, 2026
- Individual clients · 2.0 to unsetJul 30, 2025 to Jan 12, 2026
- Discretionary RAUM · $37.5M to $44.1MJul 30, 2025 to Jan 12, 2026
- HNW RAUM · $8.3M to $21.8MJul 30, 2025 to Jan 12, 2026
- Individual RAUM · $194,817 to $165,366Jul 30, 2025 to Jan 12, 2026
- Non-discretionary RAUM · $575,981 to $20.9MJul 30, 2025 to Jan 12, 2026
- RAUM · $38.1M to $65.0MJul 30, 2025 to Jan 12, 2026
- Accounts · 0 to 17May 29, 2025 to Jul 30, 2025
- HNW clients · unset to 14.0May 29, 2025 to Jul 30, 2025
- Individual clients · unset to 2.0May 29, 2025 to Jul 30, 2025
- Financial planning clients · unset to 0May 29, 2025 to Jul 30, 2025
- Discretionary RAUM · $0 to $37.5MMay 29, 2025 to Jul 30, 2025
- HNW RAUM · unset to 8324643.0May 29, 2025 to Jul 30, 2025
- Individual RAUM · unset to 194817.0May 29, 2025 to Jul 30, 2025
- Non-discretionary RAUM · $0 to $575,981May 29, 2025 to Jul 30, 2025
- RAUM · $0 to $38.1MMay 29, 2025 to Jul 30, 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
- Business phone
- 646-479-9965reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- r••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 646 479 9965reportedpublic record, Form ADV, Jan 12, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $65.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026