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Independent wealth managerSEC-registered· New York, New York

Independent wealth manager, based in New York, New York, reporting $48.6M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$48.6M
Advisors
0
RAUM change, 1 year
+0.9%
Private clients
54%
of RAUM, $26.4M
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
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 108507 · SEC 801-41752 · 16 filingsShow
CRD 108507SEC 801-41752First filing on the tape Jan 27, 2012, latest Feb 25, 2026SEC status approved since Jun 18, 1992IAPD
RAUM
$48.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
54%
$26.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape

RAUM +4.4% a year over three years · the tape starts Jan 27, 2012

Peer group: Independent wealth managers, under $100M, 707 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$48.6M as of Feb 25, 2026
Jan 27, 2012$31.9M then
HNW client RAUM$23.6M as of Feb 25, 2026
Feb 5, 2018$7.8M then
State-registered IARs (5.B.3)0 as of Feb 25, 2026
Jan 27, 20120 then
Employees (5.A)2 as of Feb 25, 2026
Jan 30, 20132 then
Private funds: no history
RAUM +0.9% over the last fiscal year+4.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 25, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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
$2.6MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
+0.9%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$24.2M, 10 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing

79% high-net-worth individuals, 9.3% individuals, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow
  • High-net-worth individuals$23.6M79%
  • Individuals$2.8M9.3%
  • Pension and profit-sharing plans$1.9M6.4%
  • Corporations and businesses$1.4M4.6%
  • Charitable organizations$304,4521.0%
Individual clients
8reported
HNW clients
9reported
Pension plan clients
1reported
Charitable clients
1reported
Accounts
42reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$24.2M for 10 clientsreported
Compensation
% of AUM, fixedreported
Class basis
RAUM: 54% private clients, 0% pooled funds, 5% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      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
      • L••••• S••••• · President, Chief Compliance Officercontrol
        since 05/1992 · owns 75% or more
      Ownership changes
      Schedule A, between consecutive filings
      No owner or control person joined or left between filings on the tape.
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      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
      • Accounts · 41 to 42
        Jan 31, 2025 to Feb 25, 2026
      • Assets in custody · $24.5M to $24.2M
        Jan 31, 2025 to Feb 25, 2026
      • Discretionary RAUM · $48.2M to $48.6M
        Jan 31, 2025 to Feb 25, 2026
      • HNW RAUM · $23.0M to $23.6M
        Jan 31, 2025 to Feb 25, 2026
      • Individual RAUM · $2.8M to $2.8M
        Jan 31, 2025 to Feb 25, 2026
      Full history · 80 changes
      • Pension RAUM · $1.8M to $1.9M
        Jan 31, 2025 to Feb 25, 2026
      • RAUM · $48.2M to $48.6M
        Jan 31, 2025 to Feb 25, 2026
      • Assets in custody · $24.5M to $24.5M
        Jan 31, 2024 to Jan 31, 2025
      • Financial planning clients · unset to
        Jan 31, 2024 to Jan 31, 2025
      • Discretionary RAUM · $44.7M to $48.2M
        Jan 31, 2024 to Jan 31, 2025
      • HNW RAUM · $19.5M to $23.0M
        Jan 31, 2024 to Jan 31, 2025
      • Individual RAUM · $2.9M to $2.8M
        Jan 31, 2024 to Jan 31, 2025
      • Pension RAUM · $1.7M to $1.8M
        Jan 31, 2024 to Jan 31, 2025
      • RAUM · $44.7M to $48.2M
        Jan 31, 2024 to Jan 31, 2025
      • Accounts · 40 to 41
        Jan 24, 2023 to Jan 31, 2024
      • Individual clients · 9 to 8
        Jan 24, 2023 to Jan 31, 2024
      • Assets in custody · $24.2M to $24.5M
        Jan 24, 2023 to Jan 31, 2024
      • Discretionary RAUM · $42.6M to $44.7M
        Jan 24, 2023 to Jan 31, 2024
      • HNW RAUM · $17.3M to $19.5M
        Jan 24, 2023 to Jan 31, 2024
      • Individual RAUM · $3.3M to $2.9M
        Jan 24, 2023 to Jan 31, 2024
      • Pension RAUM · $1.5M to $1.7M
        Jan 24, 2023 to Jan 31, 2024
      • RAUM · $42.6M to $44.7M
        Jan 24, 2023 to Jan 31, 2024
      • Accounts · 44 to 40
        Jan 25, 2022 to Jan 24, 2023
      • Individual clients · 12 to 9
        Jan 25, 2022 to Jan 24, 2023
      • Assets in custody · $24.9M to $24.2M
        Jan 25, 2022 to Jan 24, 2023
      • Discretionary RAUM · $45.0M to $42.6M
        Jan 25, 2022 to Jan 24, 2023
      • HNW RAUM · $18.6M to $17.3M
        Jan 25, 2022 to Jan 24, 2023
      • Individual RAUM · $3.9M to $3.3M
        Jan 25, 2022 to Jan 24, 2023
      • Pension RAUM · $1.4M to $1.5M
        Jan 25, 2022 to Jan 24, 2023
      • RAUM · $45.0M to $42.6M
        Jan 25, 2022 to Jan 24, 2023
      • Accounts · 47 to 44
        Feb 6, 2021 to Jan 25, 2022
      • Individual clients · 14 to 12
        Feb 6, 2021 to Jan 25, 2022
      • Assets in custody · $25.4M to $24.9M
        Feb 6, 2021 to Jan 25, 2022
      • Discretionary RAUM · $45.7M to $45.0M
        Feb 6, 2021 to Jan 25, 2022
      • HNW RAUM · $17.9M to $18.6M
        Feb 6, 2021 to Jan 25, 2022
      • Individual RAUM · $4.9M to $3.9M
        Feb 6, 2021 to Jan 25, 2022
      • Pension RAUM · $1.3M to $1.4M
        Feb 6, 2021 to Jan 25, 2022
      • RAUM · $45.7M to $45.0M
        Feb 6, 2021 to Jan 25, 2022
      • Accounts · 48 to 47
        Jun 25, 2020 to Feb 6, 2021
      • HNW clients · 7 to 9
        Jun 25, 2020 to Feb 6, 2021
      • Individual clients · 15 to 14
        Jun 25, 2020 to Feb 6, 2021
      • Assets in custody · $25.0M to $25.4M
        Jun 25, 2020 to Feb 6, 2021
      • Discretionary RAUM · $46.4M to $45.7M
        Jun 25, 2020 to Feb 6, 2021
      • HNW RAUM · $14.9M to $17.9M
        Jun 25, 2020 to Feb 6, 2021
      • Individual RAUM · $5.5M to $4.9M
        Jun 25, 2020 to Feb 6, 2021
      • Pension RAUM · $1.2M to $1.3M
        Jun 25, 2020 to Feb 6, 2021
      • RAUM · $46.4M to $45.7M
        Jun 25, 2020 to Feb 6, 2021
      • Accounts · 50 to 48
        Jan 30, 2019 to Feb 19, 2020
      • HNW clients · 6 to 7
        Jan 30, 2019 to Feb 19, 2020
      • Individual clients · 16 to 15
        Jan 30, 2019 to Feb 19, 2020
      • Custody of client assets · false to true
        Jan 30, 2019 to Feb 19, 2020
      • Discretionary RAUM · $41.3M to $46.4M
        Jan 30, 2019 to Feb 19, 2020
      • HNW RAUM · $10.4M to $14.9M
        Jan 30, 2019 to Feb 19, 2020
      • Individual RAUM · $6.5M to $5.5M
        Jan 30, 2019 to Feb 19, 2020
      • Pension RAUM · $1.0M to $1.2M
        Jan 30, 2019 to Feb 19, 2020
      • RAUM · $41.3M to $46.4M
        Jan 30, 2019 to Feb 19, 2020
      • Accounts · 52 to 50
        Feb 5, 2018 to Jan 30, 2019
      • Individual clients · 17 to 16
        Feb 5, 2018 to Jan 30, 2019
      • Assets in custody · $26.7M to $25.0M
        Feb 5, 2018 to Jan 30, 2019
      • Discretionary RAUM · $41.3M to $41.3M
        Feb 5, 2018 to Jan 30, 2019
      • HNW RAUM · $7.8M to $10.4M
        Feb 5, 2018 to Jan 30, 2019
      • Individual RAUM · $6.5M to $6.5M
        Feb 5, 2018 to Jan 30, 2019
      • Pension RAUM · $1.0M to $1.0M
        Feb 5, 2018 to Jan 30, 2019
      • RAUM · $41.3M to $41.3M
        Feb 5, 2018 to Jan 30, 2019
      • Charity clients · unset to 1.0
        Jan 30, 2017 to Feb 5, 2018
      • Corporate clients · unset to 1.0
        Jan 30, 2017 to Feb 5, 2018
      • HNW clients · unset to 6.0
        Jan 30, 2017 to Feb 5, 2018
      • Individual clients · unset to 17.0
        Jan 30, 2017 to Feb 5, 2018
      • Pension plan clients · unset to 1.0
        Jan 30, 2017 to Feb 5, 2018
      • Pooled vehicle clients · unset to 0.0
        Jan 30, 2017 to Feb 5, 2018
      • Assets in custody · $26.7M to $26.7M
        Jan 30, 2017 to Feb 5, 2018
      • Other offices · unset to 0.0
        Jan 30, 2017 to Feb 5, 2018
      • Discretionary RAUM · $40.5M to $41.3M
        Jan 30, 2017 to Feb 5, 2018
      • HNW RAUM · unset to 7805153.0
        Jan 30, 2017 to Feb 5, 2018
      • Individual RAUM · unset to 6512566.0
        Jan 30, 2017 to Feb 5, 2018
      • Pension RAUM · unset to 1004676.0
        Jan 30, 2017 to Feb 5, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Jan 30, 2017 to Feb 5, 2018
      • RAUM · $40.5M to $41.3M
        Jan 30, 2017 to Feb 5, 2018
      • Accounts · 50 to 52
        Jan 26, 2016 to Jan 30, 2017
      • Assets in custody · $26.3M to $26.7M
        Jan 26, 2016 to Jan 30, 2017
      Signals
      1 dated events
      • ••• Locked
        Feb 25, 2026 · ria majority owner change · fact
      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
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Feb 25, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.