DFX Intelligence

RIA Intelligence

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C••••••• A•••••••

No RAUM reportedSEC-registered· Stamford, Connecticutwebsite

No RAUM reported, based in Stamford, Connecticut.

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

Advisors
1
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · 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 342338 · SEC 801-136352 · 3 filingsShow
CRD 342338SEC 801-136352Legal name C••••••• A•••••••• L••First filing on the tape May 20, 2026, latest Jul 23, 2026SEC status approved since May 27, 2026IAPD
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
Not computed
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape

Filed figures over time · the tape starts May 20, 2026

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$0 as of Jul 23, 2026
May 20, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 23, 2026
May 20, 20260 then
Employees (5.A)5 as of Jul 23, 2026
May 20, 20265 then
Private funds: no history
Practice profile
derived from the filing of Jul 23, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 rulesShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
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
5.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 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
otherreportedItem 5.E
Advisory activities
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
  • a related person acts as qualified custodian (9.D.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
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
RAUM: 0% private clients, 0% pooled funds, 0% institutions; a related broker-dealer; a 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 departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      S•••• S••••••••New York, Ny Jun 5, 202610 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• A••••••• J•••• T•••• · Presidentcontrol
        since 07/2025 · owns less than 5%
      • C••••• G••••• C•••••• · Chief Compliance Officercontrol
        since 10/2024 · owns less than 5%
      • L••••• M•••• J••••• · Chief Operating Officercontrol
        since 08/2024 · owns less than 5%
      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
      • Other offices · 0 to 1
        May 20, 2026 to Jun 17, 2026
      Signals
      1 dated events
      • ••• Locked
        May 20, 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
      Website
      ••• Lockedreportedpublic record, Form ADV, Jul 23, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jul 23, 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.