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SEC-registered adviser
M•••••••• A•••• M••••••••• I••
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 17 filings
SEC status approved since May 31, 1994
RAUM
$113M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$102M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$37.6M
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
17 filings and snapshots on the tape
RAUM$113M as of Mar 30, 2026
Mar 29, 2012$839M then
HNW client RAUM$99.4M as of Mar 30, 2026
Mar 31, 2018$130M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20120 then
Employees (5.A)3 as of Mar 30, 2026
Mar 28, 20136 then
Private funds: no history
RAUM +3.2% over the last fiscal year-1.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $37.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.2MderivedHNW RAUM over HNW clients
- Average account
- $4.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$99.4M96%
- Individuals$2.6M2.6%
- Corporations and businesses$1.5M1.5%
- Pension and profit-sharing plans$9,7840.0%
- Individual clients
- 5reported
- HNW clients
- 16reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 25reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| V••••• P•• D••• | Rye Brook, Ny | Nov 30, 2021 | 34 y | 0 |
| M•••• A•••••• M••••••• | Rye Brook, Ny | Nov 30, 2021 | 33 y | 0 |
| D•••• M••••••••• | Rye Brook, Ny | Dec 1, 2021 | 28 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• M••••• A•••••• · President, Director,Treasurer,Chief Compliance Officercontrolsince 04/1993 · owns 50% to 75%
- O•••••• J•••• J••••• · Retiredcontrolsince 10/2021 · owns 25% to 50%
- D•••• V•••••• P•• · Secretarysince 09/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Rye Brook, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $109M to $113MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $95.9M to $99.4MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $2.7M to $2.6MMar 31, 2025 to Mar 30, 2026
- Pension RAUM · $9,646 to $9,784Mar 31, 2025 to Mar 30, 2026
- RAUM · $109M to $113MMar 31, 2025 to Mar 30, 2026
- Accounts · 26 to 25Mar 29, 2024 to Mar 31, 2025
- HNW clients · 18 to 16Mar 29, 2024 to Mar 31, 2025
- Individual clients · unset to 5.0Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $121M to $109MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $109M to $95.9MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $2.0M to $2.7MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $9,463 to $9,646Mar 29, 2024 to Mar 31, 2025
- RAUM · $121M to $109MMar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $116M to $121MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $105M to $109MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $1.8M to $2.0MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $9,212 to $9,463Mar 31, 2023 to Mar 29, 2024
- RAUM · $116M to $121MMar 31, 2023 to Mar 29, 2024
- Accounts · 25 to 26Nov 21, 2022 to Mar 31, 2023
- HNW clients · 17 to 18Nov 21, 2022 to Mar 31, 2023
- Discretionary RAUM · $116M to $116MNov 21, 2022 to Mar 31, 2023
- HNW RAUM · $104M to $105MNov 21, 2022 to Mar 31, 2023
- Individual RAUM · $1.7M to $1.8MNov 21, 2022 to Mar 31, 2023
- Pension RAUM · $9,154 to $9,212Nov 21, 2022 to Mar 31, 2023
- RAUM · $116M to $116MNov 21, 2022 to Mar 31, 2023
- Accounts · 32 to 25Mar 31, 2022 to Nov 21, 2022
- Corporate clients · 2.0 to unsetMar 31, 2022 to Nov 21, 2022
- Individual clients · 4.0 to unsetMar 31, 2022 to Nov 21, 2022
- Pension plan clients · 1.0 to unsetMar 31, 2022 to Nov 21, 2022
- Discretionary RAUM · $352M to $116MMar 31, 2022 to Nov 21, 2022
- HNW RAUM · $115M to $104MMar 31, 2022 to Nov 21, 2022
- Individual RAUM · $1.8M to $1.7MMar 31, 2022 to Nov 21, 2022
- Pension RAUM · $9,324 to $9,154Mar 31, 2022 to Nov 21, 2022
- RAUM · $352M to $116MMar 31, 2022 to Nov 21, 2022
- Employees · 4 to 3Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $492M to $352MMar 31, 2021 to Mar 31, 2022
- HNW RAUM · $106M to $115MMar 31, 2021 to Mar 31, 2022
- Individual RAUM · $2.1M to $1.8MMar 31, 2021 to Mar 31, 2022
- Pension RAUM · $9,854 to $9,324Mar 31, 2021 to Mar 31, 2022
Signals
2 dated events
- M•••••••• A•••• M••••••••• I•• reported RAUM $115.9M, down 67% from $352.3M (2022-03-31 to 2022-11-21)Nov 21, 2022 · RAUM change · derived
- M•••••••• A•••• M••••••••• I•• reported RAUM $352.3M, down 28% from $491.7M (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
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
- Business email
- m••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-935-8313reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-935-8491reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-935-8313reportedpublic record, Form ADV, Mar 30, 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
- $37.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026