DFX Intelligence

RIA Intelligence

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R••• A••••••• L••

No RAUM reportedSEC-registered· New York, New Yorkwebsite

No RAUM reported, based in New York, New York.

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

Regulatory AUM
Not established
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
Not established
Private clients
Not established
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 342371 · SEC 801-136565 · 2 filingsShow
CRD 342371SEC 801-136565First filing on the tape May 22, 2026, latest Sep 10, 2026SEC status 120-day approval since Jun 22, 2026IAPD
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM: $0
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 10, 2026
May 22, 20260 then
Employees (5.A)5 as of Sep 10, 2026
May 22, 20269 then
Private funds: no history
Practice profile
derived from the filing of Sep 10, 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
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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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 businesses and institutions, otherreportedItem 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
  • 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
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
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
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Y•••• K••• · Managercontrol
        since 07/2026 · owns less than 5%
      • G•••••• D•••••• T••••• · Cco
        since 04/2026 · owns less than 5%
      • R•••••• D•• · Chief Financial Officer
        since 08/2026 · 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
      • Accounts · 0.0 to unset
        May 22, 2026 to Sep 10, 2026
      • Advisory employees · 3 to 4
        May 22, 2026 to Sep 10, 2026
      • BD registered reps · 1 to 0
        May 22, 2026 to Sep 10, 2026
      • Employees · 9 to 5
        May 22, 2026 to Sep 10, 2026
      • Financial planning clients · to unset
        May 22, 2026 to Sep 10, 2026
      • Discretionary RAUM · 0.0 to unset
        May 22, 2026 to Sep 10, 2026
      • Non-discretionary RAUM · 0.0 to unset
        May 22, 2026 to Sep 10, 2026
      • RAUM · 0.0 to unset
        May 22, 2026 to Sep 10, 2026
      • Related adviser · false to unset
        May 22, 2026 to Sep 10, 2026
      • Related bank · false to unset
        May 22, 2026 to Sep 10, 2026
      • Related broker-dealer · false to unset
        May 22, 2026 to Sep 10, 2026
      • Related insurance company · false to unset
        May 22, 2026 to Sep 10, 2026
      • Succession · false to unset
        May 22, 2026 to Sep 10, 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
      ••• Lockedreportedpublic record, Form ADV, Sep 10, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Sep 10, 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
      No RAUM reportedderiveda 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