DFX Intelligence
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SEC-registered adviser
D•••• C••••••
Legal name R•• C••••••
Latest filing Sep 14, 2026
First filing on the tape Jan 27, 2026 · 3 filings
SEC status approved since Jan 27, 2026
RAUM
$11.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$11.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$765,553 as of Mar 26, 2026
Jan 27, 2026$1.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Jan 27, 20260 then
Employees (5.A)2 as of Mar 26, 2026
Jan 27, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 14, 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
- $381,855derivedHNW RAUM over HNW clients
- Average account
- $381,855derivedRAUM 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
- unknownderived3 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
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$11.1M100%
- Individual clients
- n/areported
- HNW clients
- 29reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 29reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• R•••••• J••• · Chief Compliance Officercontrolsince 11/2025 · owns 50% to 75%
- S••••••• L••• · Ceocontrolsince 11/2025 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Sep 14, 2026performance-based compensation (Item 5.E.6): no on the filing of 2026-03-26, yes on the filing of 2026-09-14peers: independent wealth managers, under $100M (708)
What changed
consecutive filings, newest first
- Accounts · 6 to 29Mar 26, 2026 to Sep 14, 2026
- Advisory activities · 1 to 2Mar 26, 2026 to Sep 14, 2026
- HNW clients · unset to 29.0Mar 26, 2026 to Sep 14, 2026
- Individual clients · 6.0 to unsetMar 26, 2026 to Sep 14, 2026
- Employees · 2 to 3Mar 26, 2026 to Sep 14, 2026
- Financial planning clients · 11-25 to 11-25Mar 26, 2026 to Sep 14, 2026
- HQ city · SANTANA DE PARNAÍBA, SÃO PAULO to SANTANA DE PARNAIBAMar 26, 2026 to Sep 14, 2026
- HQ state · to unsetMar 26, 2026 to Sep 14, 2026
- Other offices · 1 to 2Mar 26, 2026 to Sep 14, 2026
- Discretionary RAUM · $765,553 to $11.1MMar 26, 2026 to Sep 14, 2026
- HNW RAUM · unset to 11073802.0Mar 26, 2026 to Sep 14, 2026
- Individual RAUM · 765553.0 to unsetMar 26, 2026 to Sep 14, 2026
- RAUM · $765,553 to $11.1MMar 26, 2026 to Sep 14, 2026
- Related adviser · false to unsetMar 26, 2026 to Sep 14, 2026
- Related bank · false to unsetMar 26, 2026 to Sep 14, 2026
- Related broker-dealer · false to unsetMar 26, 2026 to Sep 14, 2026
- Related insurance company · false to unsetMar 26, 2026 to Sep 14, 2026
- Succession · false to unsetMar 26, 2026 to Sep 14, 2026
- Accounts · 11 to 6Jan 27, 2026 to Mar 26, 2026
- Individual clients · 11 to 6Jan 27, 2026 to Mar 26, 2026
- Discretionary RAUM · $1.9M to $765,553Jan 27, 2026 to Mar 26, 2026
- Individual RAUM · $1.9M to $765,553Jan 27, 2026 to Mar 26, 2026
- RAUM · $1.9M to $765,553Jan 27, 2026 to Mar 26, 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
- d•••••••••.comreportedpublic record, Form ADV, Sep 14, 2026
- Principal office phone
- 2107990214reportedpublic record, Form ADV, Sep 14, 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