DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
M•• I••••••• I••••••••• L••
Latest filing Apr 9, 2026
First filing on the tape Sep 29, 2025 · 4 filings
SEC status 120-day approval since Nov 18, 2025
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$0 as of Apr 9, 2026
Sep 29, 2025$0 then
HNW client RAUM$0 as of Apr 9, 2026
Sep 29, 2025$0 then
State-registered IARs (5.B.3)2 as of Apr 9, 2026
Sep 29, 20252 then
Employees (5.A)2 as of Apr 9, 2026
Sep 29, 20254 then
Private funds1 as of Apr 9, 2026
Sep 29, 20251 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 9, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, pension consulting, educational seminars, otherreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• D•••••• K•••••Certified Financial Planner | Sedona, Az | Mar 30, 2026 | 25 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- K•••••• D•••••• K••••• from S••••• W••••• A•••••••• I•••Mar 30, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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
- State-registered IARs · 0 to 2Mar 31, 2026 to Apr 9, 2026
- State-registered IARs · 1 to 0Feb 27, 2026 to Mar 31, 2026
- Advisory employees · 3 to 2Sep 29, 2025 to Feb 27, 2026
- Advisory activities · 8 to 4Sep 29, 2025 to Feb 27, 2026
- Employees · 4 to 2Sep 29, 2025 to Feb 27, 2026
- State-registered IARs · 2 to 1Sep 29, 2025 to Feb 27, 2026
- Other offices · 1 to 2Sep 29, 2025 to Feb 27, 2026
- Related adviser · true to falseSep 29, 2025 to Feb 27, 2026
Signals
1 dated events
- M•• I••••••• I••••••••• L•• no longer on the SEC adviser roster (last listed 2026-08-03)Sep 1, 2026 · Left the SEC roster · derived
Across DFX
shared identifiers only, never a name match
- M•• I••••••• I••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 19, 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
- Former SEC-registered 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