DFX Intelligence
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K••••• I••••••••• L••
Asset manager (funds and pooled vehicles), based in Palm Beach Gardens, Florida, reporting $250M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $250M
- Advisors
- 0
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV
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 342420 · SEC 801-136356 · 3 filingsShowHide
CRD 342420SEC 801-136356First filing on the tape May 18, 2026, latest Sep 21, 2026SEC status 120-day approval since May 26, 2026IAPD
RAUM
$250M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$250M as of Sep 21, 2026
May 18, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 21, 2026
May 18, 20260 then
Employees (5.A)3 as of Sep 21, 2026
May 18, 20263 then
Private funds: no history
Practice profile
derived from the filing of Sep 21, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShowHide
- 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
- $125MderivedRAUM 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
- 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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)
- 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
- Other investment advisers$250M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Advisors registered through the firm
0 on IAPD today; the 10 longest tenured
No representative is registered through this CRD on IAPD.
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• R••••• H• · Founder & Chief Investment Officercontrolsince 04/2026 · owns 50% to 75%
- L•••• M••••••• J•••••• · Partner, Chief Operating Officer & Chief Compliance Officer Professionalcontrolsince 04/2026 · owns 25% to 50%
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
- HQ city · to PALM BEACH GARDENSMay 18, 2026 to Sep 14, 2026
- Accounts · 0 to 2May 18, 2026 to Sep 14, 2026
- Individual clients · 0.0 to unsetMay 18, 2026 to Sep 14, 2026
- Financial planning clients · 0 to 0May 18, 2026 to Sep 14, 2026
- HQ state · to FLMay 18, 2026 to Sep 14, 2026
Full history · 13 changesShow fewer
- Discretionary RAUM · $0 to $250MMay 18, 2026 to Sep 14, 2026
- Individual RAUM · 0.0 to unsetMay 18, 2026 to Sep 14, 2026
- RAUM · $0 to $250MMay 18, 2026 to Sep 14, 2026
- Related adviser · false to unsetMay 18, 2026 to Sep 14, 2026
- Related bank · false to unsetMay 18, 2026 to Sep 14, 2026
- Related broker-dealer · false to unsetMay 18, 2026 to Sep 14, 2026
- Related insurance company · false to unsetMay 18, 2026 to Sep 14, 2026
- Succession · false to unsetMay 18, 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
- ••• Lockedreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Sep 21, 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
- Asset manager (funds and pooled vehicles)deriveda 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: net advisor flow, 12 months, RAUM change, last fiscal year.