DFX Intelligence

RIA Intelligence

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SEC-registered adviser

A•••• I••••••••• C••••••• I•••

Independent wealth managerNew York, New YorkCRD 106981SEC 801-2423website IAPD

Latest filing Jan 26, 2026

First filing on the tape Feb 28, 2012 · 25 filings

SEC status approved since Dec 16, 1960

RAUM

$137M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

85%

$117M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$27.5M

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

25 filings and snapshots on the tape

RAUM$137M as of Jan 26, 2026

Feb 28, 2012$221M then

HNW client RAUM$24.0M as of Jan 26, 2026

Jan 25, 2018$4.4M then

State-registered IARs (5.B.3)6 as of Jan 26, 2026

Feb 28, 20120 then

Employees (5.A)8 as of Jan 26, 2026

Feb 1, 20133 then

Private funds1 as of Jan 25, 2017

Feb 28, 20121 then

RAUM -16% over the last fiscal year+2.3% a year over threeIARs 6 to 6

Practice profile

derived from the filing of Jan 26, 2026; every figure names its basis

Archetypes, each a printed rule

Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM

RAUM per advisor: $27.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 56derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.0MderivedHNW RAUM over HNW clients
Average account: $481,728derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.6derivedItem 5.A over advisors
Advisors per office: 5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -16%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +15%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, 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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$92.7M68%
High-net-worth individuals$24.0M18%
Pension and profit-sharing plans$15.0M11%
Charitable organizations$5.5M4.0%

Individual clients: 274reported
HNW clients: 8reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 285reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.85 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

5 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
D•••• M•••• P•••••	Stamford, Ct	Mar 10, 2003	32 y	0
K•••• M•••••• H•••	New York, Ny	Apr 29, 2019	21 y	0
J••• M• E•••	New York, Ny	Jun 6, 2019	37 y	0
R•••••• A•••••• C••••	New York, Ny	Aug 27, 2020	24 y	2
T••••• C•••••	New York, Ny	May 23, 2022	23 y	0

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

R•••••• A•••••• C•••• from A•••••• A••••••• S•••••••
Aug 27, 2020 · Other

Every departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
T•• A•••• D••••••••• E••••• F•••• L•••••• P•••••••••no longer reported	Private Equity Fund	$29,755	6	Feb 28, 2012

Owners and control persons

Schedule A and B, latest filing

C••••••• D••••• D• · Directorcontrol
since 07/1991 · owns less than 5%
W••••••• S•••••• D• · Chairman, President, Secretary And Directorcontrol
since 07/1991 · owns less than 5%
H•••• K••••• M•••••• · Cco
since 11/2018 · owns less than 5%

Entity owners

T•• A•••• R••••••• G••••• I••• · Parent Company
direct · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
New York, Ny · principal	4	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

3 against comparable advisers; where to look, not conclusions

institutional to wealth shiftCombination · filing Jan 26, 2026
institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $164,146,702 to $137,292,344, advisors 6 to 6, private clients 245 to 282, offices 0 to 0 (2025-01-23 to 2026-01-26)
peers: independent wealth managers, $100M to $500M (5,678)
client mix shiftChange between filings · filing Jan 26, 2026
private-client share of RAUM moved from 66.0% to 85.0% between the annual amendments of 2025-01-23 and 2026-01-26
peers: independent wealth managers, $100M to $500M (5,678)
institutional asset share shiftChange between filings · filing Jan 26, 2026
institutional share of RAUM moved from 34.0% to 15.0% between the annual amendments of 2025-01-23 and 2026-01-26
peers: independent wealth managers, $100M to $500M (5,678)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 286 to 285
Jan 23, 2025 to Jan 26, 2026
Advisory employees · 5 to 6
Jan 23, 2025 to Jan 26, 2026
Advisory activities · 3 to 2
Jan 23, 2025 to Jan 26, 2026
HNW clients · 7 to 8
Jan 23, 2025 to Jan 26, 2026
Individual clients · 238 to 274
Jan 23, 2025 to Jan 26, 2026
Employees · 9 to 8
Jan 23, 2025 to Jan 26, 2026
Discretionary RAUM · $164M to $137M
Jan 23, 2025 to Jan 26, 2026
HNW RAUM · $22.5M to $24.0M
Jan 23, 2025 to Jan 26, 2026
Individual RAUM · $85.5M to $92.7M
Jan 23, 2025 to Jan 26, 2026
Pension RAUM · $50.3M to $15.0M
Jan 23, 2025 to Jan 26, 2026
RAUM · $164M to $137M
Jan 23, 2025 to Jan 26, 2026
Accounts · 284 to 286
Aug 14, 2024 to Jan 23, 2025
HNW clients · 5 to 7
Aug 14, 2024 to Jan 23, 2025
Individual clients · 273 to 238
Aug 14, 2024 to Jan 23, 2025
Employees · 7 to 9
Aug 14, 2024 to Jan 23, 2025
Financial planning clients · unset to
Aug 14, 2024 to Jan 23, 2025
Discretionary RAUM · $143M to $164M
Aug 14, 2024 to Jan 23, 2025
HNW RAUM · $12.6M to $22.5M
Aug 14, 2024 to Jan 23, 2025
Individual RAUM · $60.9M to $85.5M
Aug 14, 2024 to Jan 23, 2025
Pension RAUM · $65.2M to $50.3M
Aug 14, 2024 to Jan 23, 2025
RAUM · $143M to $164M
Aug 14, 2024 to Jan 23, 2025
HQ city · STAMFORD to NEW YORK
Jan 12, 2024 to Aug 14, 2024
HQ state · CT to NY
Jan 12, 2024 to Aug 14, 2024
Other offices · 1 to 0
Jan 12, 2024 to Aug 14, 2024
Accounts · 279 to 284
Feb 13, 2023 to Jan 12, 2024
Advisory employees · 4 to 5
Feb 13, 2023 to Jan 12, 2024
Individual clients · 270 to 273
Feb 13, 2023 to Jan 12, 2024
Discretionary RAUM · $128M to $143M
Feb 13, 2023 to Jan 12, 2024
HNW RAUM · $10.6M to $12.6M
Feb 13, 2023 to Jan 12, 2024
Individual RAUM · $53.4M to $60.9M
Feb 13, 2023 to Jan 12, 2024
Pension RAUM · $59.7M to $65.2M
Feb 13, 2023 to Jan 12, 2024
RAUM · $128M to $143M
Feb 13, 2023 to Jan 12, 2024
Accounts · 220 to 279
Jan 24, 2022 to Jan 10, 2023
HNW clients · unset to 5.0
Jan 24, 2022 to Jan 10, 2023
Individual clients · 209 to 270
Jan 24, 2022 to Jan 10, 2023
Employees · 6 to 7
Jan 24, 2022 to Jan 10, 2023
State-registered IARs · 5 to 6
Jan 24, 2022 to Jan 10, 2023
Discretionary RAUM · $168M to $128M
Jan 24, 2022 to Jan 10, 2023
HNW RAUM · $9.5M to $10.6M
Jan 24, 2022 to Jan 10, 2023
Individual RAUM · $57.9M to $53.4M
Jan 24, 2022 to Jan 10, 2023

Signals

1 dated events

A•••• I••••••••• C••••••• I••• reported RAUM $209.3M, down 38% from $338.5M (2017-05-30 to 2018-01-25)
Jan 25, 2018 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

A•••• I••••••••• C••••••• I••• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Business phone: 203-316-9000reportedpublished by the firm, firm site, Sep 16, 2026
Firm profile: LINKEDIN.COM/COMPANY/58149reportedpublic record, Form ADV, Sep 21, 2026
Website: A••••INVEST.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 212-425-7500reportedpublic record, Form ADV, Jan 26, 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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $27.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026