DFX Intelligence

M•••••• A••••••• S•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

M•••••• A••••••• S•••••••• I•••

CRD 132386

WHITE PLAINS, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Apr 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 10
On other graphs: 0
Observed: Jul 29, 2015 to Apr 3, 2026
46 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderived••• Locked
Regulatory AUM: $510M••• Locked
Discretionary RAUM: $510M
Private client RAUM: $505Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 11
RAUM per advisor: $46.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••••• B•••• O••••••	Certified Financial Planner	WHITE PLAINS, NY	11	33	1	yes
G••• R••••• S•••••••	n/a	WHITE PLAINS, NY	5	34

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• A•••••• J•••••	Member	C	yes	01/2021	Jul 29, 2015	Dec 24, 2024
M•••••• F••••• H••••••• L••	Owner	E	yes	01/2021	Mar 11, 2021	Dec 24, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••• P••••••• G••••• I••	n/a	n/a	n/a	N	yes	n/a
M•••••• L••••	n/a	n/a	n/a	Y	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Fayetteville	NY	United States	1	yes
LAKE WORTH	FL	United States	0	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	9.1%	0	0	0	0	2

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$510M	$429M	18.9%	$355M	12.8%	16	18	3	2

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
O•••• W•••••• I•••	6	Aug 5, 2021	Jul 11, 2021	WHITE PLAINS, NY	Team lift out	Ibd to RIA	0.3%

Relationships

Registered with (15)

← J••• F•••••••• M•••••Advisorregistration: current employment
Mar 26, 2026 to presentfactForm ADV
← J••••• C••• L••••••••Advisorregistration: current employment
Jun 13, 2025 to presentfactForm ADV
← T••• C• F•••••Advisorregistration: current employment
Jan 27, 2025 to presentfactForm ADV
← G•••••••• L•••• B•••••••

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
3 Apr 2026
Ria office opened
••• Locked
Form ADV
Occurred
19 Dec 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
12 Oct 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
2 Jun 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
10 Mar 2022
Regulatory AUM changed
••• Locked
Form ADV
$103M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 29, 2015
Last observed: Apr 3, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.