DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

H••••• H••••••• C•••••• M••••••••• I•••

CRD 44357

CROTON-ON-H•••••, NY

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Search this name across graphsid dfx:ria:57dc689f-1e3c-906e-aa15-dad7f08c7042

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Apr 18, 2012 to Mar 23, 2026
20 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 managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=true related_bank=false bd_reps=12.0
Regulatory AUM: $129M••• Locked
Discretionary RAUM: $0
Private client RAUM: $124Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••••••• F•••••••• W••••••	VICE PRESIDENT	D	yes	09/1997	Apr 18, 2012	Mar 20, 2024
S••••••••• D••••••• T•••••	PRESIDENT, CHIEF COMPLIANCE OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL	D	yes	09/1997	Apr 18, 2012	Mar 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H••••• H••••••• C•••••• M••••••••• I•••	n/a	Independent wealth	$129M	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	yes

Regulatory AUM by fiscal year

••• Locked

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

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	$129M	$122M	5.7%	$107M	6.5%	12	12	1	1

Relationships

Affiliated with (1)

→ H••••• H••••••• C•••••• M••••••••• I•••Registered adviserother investment adviser, broker-dealer, control, common control
factForm ADV

Controls (2)

← P•••••••• F•••••••• W••••••OwnerVICE PRESIDENT, ownership code D, individual
Apr 18, 2012 to Mar 20, 2024factForm ADV
← S••••••••• D••••••• T•••••OwnerPRESIDENT, CHIEF COMPLIANCE OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL, ownership code D, individual
Apr 18, 2012 to Mar 20, 2024factForm ADV

Dated events

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

Show 1 bookkeeping events

Occurred
Mar 15, 2018
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:57dc689f-1e3c-906e-aa15-dad7f08c7042
First observed: Apr 18, 2012
Last observed: Mar 23, 2026 6 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.