DFX Intelligence
RIA Intelligence
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SEC-registered adviser
M•• A•••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Apr 3, 2012 · 24 filings
SEC status approved since Jul 7, 1999
RAUM
$141M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
83%
$118M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$141M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$141M as of Mar 30, 2026
Apr 3, 2012$112M then
HNW client RAUM$101M as of Mar 30, 2026
Mar 23, 2018$76.4M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Apr 3, 20130 then
Employees (5.A)1 as of Mar 30, 2026
Apr 3, 20132 then
Private funds: no history
RAUM +7.3% over the last fiscal year+10% 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
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $141MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $477,635derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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
- 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$101M71%
- Corporations and businesses$21.0M15%
- Individuals$17.4M12%
- Pension and profit-sharing plans$2.5M1.7%
- Individual clients
- 61reported
- HNW clients
- 38reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 296reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• H•••• B••••••Chartered Financial Analyst | New York, Ny | Dec 13, 2021 | 29 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
- B••••••• R••••••• H•••• · Managing Member And Chief Compliance Officercontrolsince 04/1997 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 87.0% to 71.0% between the annual amendments of 2025-03-23 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 276 to 296Mar 23, 2025 to Mar 30, 2026
- Corporate clients · 1 to 8Mar 23, 2025 to Mar 30, 2026
- HNW clients · 32 to 38Mar 23, 2025 to Mar 30, 2026
- Individual clients · 59 to 61Mar 23, 2025 to Mar 30, 2026
- Discretionary RAUM · $130M to $139MMar 23, 2025 to Mar 30, 2026
- HNW RAUM · $114M to $101MMar 23, 2025 to Mar 30, 2026
- Individual RAUM · $15.1M to $17.4MMar 23, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $2.2M to $2.5MMar 23, 2025 to Mar 30, 2026
- Pension RAUM · $2.0M to $2.5MMar 23, 2025 to Mar 30, 2026
- RAUM · $132M to $141MMar 23, 2025 to Mar 30, 2026
- Accounts · 293 to 276Feb 14, 2024 to Mar 23, 2025
- Corporate clients · 0 to 1Feb 14, 2024 to Mar 23, 2025
- HNW clients · 25 to 32Feb 14, 2024 to Mar 23, 2025
- Individual clients · 65 to 59Feb 14, 2024 to Mar 23, 2025
- Pension plan clients · 0 to 1Feb 14, 2024 to Mar 23, 2025
- Financial planning clients · 1-10 to 1-10Feb 14, 2024 to Mar 23, 2025
- Discretionary RAUM · $107M to $130MFeb 14, 2024 to Mar 23, 2025
- HNW RAUM · $86.1M to $114MFeb 14, 2024 to Mar 23, 2025
- Individual RAUM · $22.4M to $15.1MFeb 14, 2024 to Mar 23, 2025
- Non-discretionary RAUM · $1.1M to $2.2MFeb 14, 2024 to Mar 23, 2025
- Pension RAUM · $0 to $2.0MFeb 14, 2024 to Mar 23, 2025
- RAUM · $109M to $132MFeb 14, 2024 to Mar 23, 2025
- Accounts · 269 to 293Feb 2, 2023 to Feb 14, 2024
- Corporate clients · 1 to 0Feb 2, 2023 to Feb 14, 2024
- HNW clients · 18 to 25Feb 2, 2023 to Feb 14, 2024
- Individual clients · 82 to 65Feb 2, 2023 to Feb 14, 2024
- Discretionary RAUM · $105M to $107MFeb 2, 2023 to Feb 14, 2024
- HNW RAUM · $73.3M to $86.1MFeb 2, 2023 to Feb 14, 2024
- Individual RAUM · $31.7M to $22.4MFeb 2, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $442,710 to $1.1MFeb 2, 2023 to Feb 14, 2024
- RAUM · $105M to $109MFeb 2, 2023 to Feb 14, 2024
- Employees · 2 to 1Feb 1, 2023 to Feb 2, 2023
- Accounts · 233 to 269Jun 7, 2022 to Feb 1, 2023
- Charity clients · unset to 0.0Jun 7, 2022 to Feb 1, 2023
- Corporate clients · unset to 1.0Jun 7, 2022 to Feb 1, 2023
- HNW clients · 25 to 18Jun 7, 2022 to Feb 1, 2023
- Individual clients · 68 to 82Jun 7, 2022 to Feb 1, 2023
- Pension plan clients · 1 to 0Jun 7, 2022 to Feb 1, 2023
- Pooled vehicle clients · unset to 0.0Jun 7, 2022 to Feb 1, 2023
- Discretionary RAUM · $88.4M to $105MJun 7, 2022 to Feb 1, 2023
Signals
1 dated events
- M•• A•••• M••••••••• L•• reported RAUM $105.1M, down 56% from $241.4M (2022-06-07 to 2023-02-01)Feb 1, 2023 · 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
- Website
- w••.m••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-333-3733reportedpublic 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
- $141Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026