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T•• M••••• C••••••• I•••

Independent wealth managerSEC-registered· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $340M of regulatory assets.

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

As of 2026-03-20 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $340M
Advisors: 0
RAUM change, 1 year: +0.9%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-20 · 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 109288 · SEC 801-54747 · 17 filingsShow

CRD 109288SEC 801-54747First filing on the tape Feb 8, 2012, latest Mar 20, 2026SEC status approved since Jul 31, 1997IAPD

RAUM

$340M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$340M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM +11% a year over three years · the tape starts Feb 8, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$340M as of Mar 20, 2026

Feb 8, 2012$107M then

HNW client RAUM$340M as of Mar 20, 2026

Feb 2, 2018$277M then

State-registered IARs (5.B.3)0 as of Mar 20, 2026

Feb 1, 20130 then

Employees (5.A)8 as of Mar 20, 2026

Feb 1, 20136 then

Private funds: no history

RAUM +0.9% over the last fiscal year+11% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 20, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $1.6MderivedHNW RAUM over HNW clients
Average account: $1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%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: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% high-net-worth individuals

The breakdown by client type, and the client counts1 client typesShow

High-net-worth individuals$340M100%

Individual clients: n/areported
HNW clients: 210reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 210reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every 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

M•••••• R••••••• C•••••• · President/Chief Compliance Officercontrol
since 01/2001 · owns 50% to 75%
M•••••• S••••••• M••• · Chairmancontrol
since 07/1997 · owns 25% to 50%

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 · 216 to 210
Mar 26, 2025 to Mar 20, 2026
HNW clients · 216 to 210
Mar 26, 2025 to Mar 20, 2026
Discretionary RAUM · $337M to $340M
Mar 26, 2025 to Mar 20, 2026
HNW RAUM · $337M to $340M
Mar 26, 2025 to Mar 20, 2026
RAUM · $337M to $340M
Mar 26, 2025 to Mar 20, 2026

Full history · 69 changes

Financial planning clients · unset to
Mar 19, 2024 to Mar 26, 2025
Discretionary RAUM · $296M to $337M
Mar 19, 2024 to Mar 26, 2025
HNW RAUM · $296M to $337M
Mar 19, 2024 to Mar 26, 2025
RAUM · $296M to $337M
Mar 19, 2024 to Mar 26, 2025
Accounts · 225 to 216
Mar 17, 2023 to Mar 19, 2024
HNW clients · 225 to 216
Mar 17, 2023 to Mar 19, 2024
Discretionary RAUM · $251M to $296M
Mar 17, 2023 to Mar 19, 2024
HNW RAUM · $251M to $296M
Mar 17, 2023 to Mar 19, 2024
RAUM · $251M to $296M
Mar 17, 2023 to Mar 19, 2024
Accounts · 234 to 225
Mar 28, 2022 to Mar 17, 2023
HNW clients · 234 to 225
Mar 28, 2022 to Mar 17, 2023
Discretionary RAUM · $343M to $251M
Mar 28, 2022 to Mar 17, 2023
HNW RAUM · $343M to $251M
Mar 28, 2022 to Mar 17, 2023
RAUM · $343M to $251M
Mar 28, 2022 to Mar 17, 2023
Accounts · 227 to 234
Feb 17, 2021 to Mar 28, 2022
HNW clients · 227 to 234
Feb 17, 2021 to Mar 28, 2022
Discretionary RAUM · $297M to $343M
Feb 17, 2021 to Mar 28, 2022
HNW RAUM · $297M to $343M
Feb 17, 2021 to Mar 28, 2022
RAUM · $297M to $343M
Feb 17, 2021 to Mar 28, 2022
Accounts · 243 to 227
Jun 30, 2020 to Feb 17, 2021
Advisory activities · 2 to 1
Jun 30, 2020 to Feb 17, 2021
HNW clients · 243 to 227
Jun 30, 2020 to Feb 17, 2021
Discretionary RAUM · $262M to $297M
Jun 30, 2020 to Feb 17, 2021
HNW RAUM · $262M to $297M
Jun 30, 2020 to Feb 17, 2021
RAUM · $262M to $297M
Jun 30, 2020 to Feb 17, 2021
Accounts · 256 to 243
Mar 15, 2019 to Feb 12, 2020
HNW clients · 256 to 243
Mar 15, 2019 to Feb 12, 2020
Discretionary RAUM · $227M to $262M
Mar 15, 2019 to Feb 12, 2020
HNW RAUM · $227M to $262M
Mar 15, 2019 to Feb 12, 2020
RAUM · $227M to $262M
Mar 15, 2019 to Feb 12, 2020
Accounts · 254 to 256
Feb 2, 2018 to Mar 15, 2019
HNW clients · 254 to 256
Feb 2, 2018 to Mar 15, 2019
Discretionary RAUM · $277M to $227M
Feb 2, 2018 to Mar 15, 2019
HNW RAUM · $277M to $227M
Feb 2, 2018 to Mar 15, 2019
RAUM · $277M to $227M
Feb 2, 2018 to Mar 15, 2019
Accounts · 258 to 254
Feb 17, 2017 to Feb 2, 2018
HNW clients · unset to 254.0
Feb 17, 2017 to Feb 2, 2018
Other offices · unset to 0.0
Feb 17, 2017 to Feb 2, 2018
Discretionary RAUM · $241M to $277M
Feb 17, 2017 to Feb 2, 2018
HNW RAUM · unset to 276950924.0
Feb 17, 2017 to Feb 2, 2018
RAUM · $241M to $277M
Feb 17, 2017 to Feb 2, 2018
Accounts · 274 to 258
Feb 26, 2016 to Feb 17, 2017
Employees · 9 to 8
Feb 26, 2016 to Feb 17, 2017
Discretionary RAUM · $218M to $241M
Feb 26, 2016 to Feb 17, 2017
RAUM · $218M to $241M
Feb 26, 2016 to Feb 17, 2017
Accounts · 294 to 274
Mar 13, 2015 to Feb 26, 2016
Discretionary RAUM · $241M to $218M
Mar 13, 2015 to Feb 26, 2016
RAUM · $241M to $218M
Mar 13, 2015 to Feb 26, 2016
Accounts · 281 to 294
Feb 5, 2014 to Mar 3, 2015
Advisory employees · 7 to 5
Feb 5, 2014 to Mar 3, 2015
Employees · 10 to 9
Feb 5, 2014 to Mar 3, 2015
Discretionary RAUM · $240M to $241M
Feb 5, 2014 to Mar 3, 2015
RAUM · $240M to $241M
Feb 5, 2014 to Mar 3, 2015
Accounts · 124 to 281
Feb 1, 2013 to Feb 5, 2014
Advisory employees · 5 to 7
Feb 1, 2013 to Feb 5, 2014
Employees · 6 to 10
Feb 1, 2013 to Feb 5, 2014
Discretionary RAUM · $108M to $240M
Feb 1, 2013 to Feb 5, 2014
RAUM · $108M to $240M
Feb 1, 2013 to Feb 5, 2014
Accounts · 125 to 124
Feb 8, 2012 to Feb 1, 2013
Advisory employees · unset to 5.0
Feb 8, 2012 to Feb 1, 2013
Employees · unset to 6.0
Feb 8, 2012 to Feb 1, 2013
State-registered IARs · unset to 0.0
Feb 8, 2012 to Feb 1, 2013
Discretionary RAUM · $107M to $108M
Feb 8, 2012 to Feb 1, 2013
RAUM · $107M to $108M
Feb 8, 2012 to Feb 1, 2013

Signals

No event on the tape.

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: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 20, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 20, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 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.