DFX Intelligence

RIA Intelligence

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SEC-registered adviser

H••• R•••• I••••••••• I•••••••••

Other adviserCRD 341359SEC 801-135856websiteIAPD
Latest filing Sep 16, 2026
First filing on the tape Mar 19, 2026 · 4 filings
SEC status 120-day approval since Apr 15, 2026
RAUM
$169M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$84.3M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$0 as of Aug 24, 2026
Mar 19, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Aug 24, 2026
Mar 19, 20262 then
Employees (5.A)3 as of Aug 24, 2026
Mar 19, 20263 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
RAUM per advisor
$84.3MderivedRAUM 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
$169MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$169M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
H••••• R•• D••••••••Arlington, VaApr 15, 202610 y0
C•••• S• K••••••New Wilmington, Pa Apr 17, 202613 y0
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••••• D••••• A••••••• · Passive Ownercontrol
        since 03/2026 · owns 75% or more
      • D••••••••• H•••••• R•• · President, Chief Compliance Officer & Investment Adviser Representativecontrol
        since 03/2026 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Arlington, Va220
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Corporate clients · unset to 1.0
        Sep 14, 2026 to Sep 16, 2026
      • Accounts · 0 to 1
        Aug 24, 2026 to Sep 14, 2026
      • Financial planning clients · 0 to 0
        Aug 24, 2026 to Sep 14, 2026
      • HQ city · to unset
        Aug 24, 2026 to Sep 14, 2026
      • HQ state · to unset
        Aug 24, 2026 to Sep 14, 2026
      • Discretionary RAUM · $0 to $169M
        Aug 24, 2026 to Sep 14, 2026
      • RAUM · $0 to $169M
        Aug 24, 2026 to Sep 14, 2026
      • Related adviser · false to unset
        Aug 24, 2026 to Sep 14, 2026
      • Related bank · false to unset
        Aug 24, 2026 to Sep 14, 2026
      • Related broker-dealer · false to unset
        Aug 24, 2026 to Sep 14, 2026
      • Related insurance company · false to unset
        Aug 24, 2026 to Sep 14, 2026
      • Succession · false to unset
        Aug 24, 2026 to Sep 14, 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
      h•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      703-338-9419reportedpublic record, Form ADV, Sep 16, 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
      $84.3Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026