DFX Intelligence

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No RAUM reportedSEC-registered· Pasadena, Californiawebsite

No RAUM reported, based in Pasadena, California.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-08-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Advisors: 2
Net advisor flow, 12 months: 0

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-08-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 341591 · SEC 801-136690 · 2 filingsShow

CRD 341591SEC 801-136690First filing on the tape Jul 8, 2026, latest Aug 25, 2026SEC status 120-day approval since Jul 8, 2026IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

2 filings and snapshots on the tape

Filed figures over time · the tape starts Jul 8, 2026

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$0 as of Aug 25, 2026

Jul 8, 2026$0 then

HNW client RAUM: no history

State-registered IARs (5.B.3)2 as of Aug 25, 2026

Jul 8, 20262 then

Employees (5.A)2 as of Aug 25, 2026

Jul 8, 20262 then

Private funds: no history

Practice profile

derived from the filing of Aug 25, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office 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 individuals, selection of other advisersreportedItem 5.G
Wrap fee program: participatesreportedItem 5.I
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

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 0reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 0% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
S•••••• J••• D••••Chartered Financial Analyst	Pasadena, Ca	Jul 21, 2026	29 y	0
D••••• D••••• S•••••Chartered Financial Analyst	Pasadena, Ca	Aug 17, 2026	13 y	0

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.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Pasadena, Ca · principal	2	2	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

One filing, no change to show.

Signals

1 dated events

••• Locked
Jul 8, 2026 · First SEC registration · derived

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 email: ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Aug 25, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 25, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: No RAUM reportedderiveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: regulatory AUM, RAUM change, 1 year, private clients.