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S••••••••• C•••••• M••••••••• C•••••••••

Independent wealth managerSEC-registered1 private funds· Armonk, New Yorkwebsite

Independent wealth manager, based in Armonk, New York, reporting $43.0M of regulatory assets across 1 registered advisors.

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

As of 2026-03-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $43.0M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +20%
Private clients: 82%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+20.2%
RAUM, one year
RAUM $35.8M to $43M (+20.2%) on the Form ADV filed 29 Mar 2026, while advisors on the filing fell 2 to 1 and offices fell 1 to 0.
The filed advisor count fell, but the IAPD registrations show net 0 in 12 months; the two sources disagree, so read the filing before reading departures into it.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 111998 · SEC 801-14169 · 24 filingsShow

CRD 111998SEC 801-14169First filing on the tape Dec 20, 2011, latest Mar 29, 2026SEC status approved since Nov 16, 1978IAPD

RAUM

$43.0M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

82%

$35.3M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$43.0M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

24 filings and snapshots on the tape

RAUM +5.5% a year over three years · the tape starts Dec 20, 2011

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

RAUM$43.0M as of Mar 29, 2026

Mar 8, 2012$151M then

HNW client RAUM$29.9M as of Mar 29, 2026

Mar 29, 2019$5.1M then

State-registered IARs (5.B.3)1 as of Mar 29, 2026

Mar 18, 20130 then

Employees (5.A)2 as of Mar 29, 2026

Mar 18, 20134 then

Private funds1 as of Mar 29, 2026

Mar 8, 20121 then

RAUM +20% over the last fiscal year+5.5% a year over threeIARs 2 to 1offices 1 to 0

Practice profile

derived from the filing of Mar 29, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $43.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 36derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.0MderivedHNW RAUM over HNW clients
Average account: $895,764derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +20%derivedbetween the last two annual amendments
Advisor growth, one year: -50%derivedItem 5.B.3 between annual amendments
Client growth, one year: +33%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
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

69% high-net-worth individuals, 15% pension and profit-sharing plans, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow

High-net-worth individuals$29.9M69%
Pension and profit-sharing plans$6.5M15%
Individuals$5.4M13%
Charitable organizations$1.1M2.5%
Pooled investment vehicles$110,4000.3%

Individual clients: 30reported
HNW clients: 6reported
Pension plan clients: 1reported
Charitable clients: 1reported
Accounts: 48reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 82% private clients, 0% pooled funds, 18% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
J••• B•••• C•••••	Armonk, Ny	Jan 2, 1998	48 y	0

Private funds

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

Fund	Type	Gross assets	Owners	First reported
S••••••••• P•••••••• L•	Hedge Fund	$110,400	3	Mar 8, 2012

Owners and control persons

Schedule A and B, latest filing

C•••••• J•••• B•••• · President/Chairman/Chief Compliance Officercontrol
since 12/2007 · owns 75% or more
M••••••••• K••••••••• M• · Treasurercontrol
since 12/2007 · owns less than 5%
C•••••••• V••••••• C•••••• · Director
since 12/2019 · owns less than 5%

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

S••••••••• C•••••• P•••••••• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

, 1 employee

What changed

consecutive filings, newest first

Accounts · 30 to 48
Mar 21, 2025 to Mar 29, 2026
Advisory employees · 2 to 1
Mar 21, 2025 to Mar 29, 2026
HNW clients · 7 to 6
Mar 21, 2025 to Mar 29, 2026
Individual clients · 20 to 30
Mar 21, 2025 to Mar 29, 2026
Employees · 3 to 2
Mar 21, 2025 to Mar 29, 2026

Full history · 80 changes

State-registered IARs · 2 to 1
Mar 21, 2025 to Mar 29, 2026
Other offices · 1 to 0
Mar 21, 2025 to Mar 29, 2026
Discretionary RAUM · $35.8M to $43.0M
Mar 21, 2025 to Mar 29, 2026
HNW RAUM · $23.6M to $29.9M
Mar 21, 2025 to Mar 29, 2026
Individual RAUM · $4.0M to $5.4M
Mar 21, 2025 to Mar 29, 2026
Pension RAUM · $7.3M to $6.5M
Mar 21, 2025 to Mar 29, 2026
Pooled vehicle RAUM · $73,248 to $110,400
Mar 21, 2025 to Mar 29, 2026
RAUM · $35.8M to $43.0M
Mar 21, 2025 to Mar 29, 2026
Accounts · 56 to 30
Mar 19, 2024 to Mar 21, 2025
Individual clients · 23 to 20
Mar 19, 2024 to Mar 21, 2025
Financial planning clients · unset to
Mar 19, 2024 to Mar 21, 2025
Discretionary RAUM · $37.5M to $35.8M
Mar 19, 2024 to Mar 21, 2025
HNW RAUM · $20.3M to $23.6M
Mar 19, 2024 to Mar 21, 2025
Individual RAUM · $6.1M to $4.0M
Mar 19, 2024 to Mar 21, 2025
Pension RAUM · $10.3M to $7.3M
Mar 19, 2024 to Mar 21, 2025
Pooled vehicle RAUM · $74,903 to $73,248
Mar 19, 2024 to Mar 21, 2025
RAUM · $37.5M to $35.8M
Mar 19, 2024 to Mar 21, 2025
Accounts · 59 to 56
Mar 30, 2023 to Mar 19, 2024
Charity clients · unset to 1.0
Mar 30, 2023 to Mar 19, 2024
Individual clients · 25 to 23
Mar 30, 2023 to Mar 19, 2024
Pension plan clients · 0 to 1
Mar 30, 2023 to Mar 19, 2024
Discretionary RAUM · $36.6M to $37.5M
Mar 30, 2023 to Mar 19, 2024
HNW RAUM · $17.7M to $20.3M
Mar 30, 2023 to Mar 19, 2024
Individual RAUM · $7.2M to $6.1M
Mar 30, 2023 to Mar 19, 2024
Pension RAUM · unset to 10337759.0
Mar 30, 2023 to Mar 19, 2024
Pooled vehicle RAUM · $98,600 to $74,903
Mar 30, 2023 to Mar 19, 2024
RAUM · $36.6M to $37.5M
Mar 30, 2023 to Mar 19, 2024
Charity clients · 1.0 to unset
Nov 2, 2022 to Mar 30, 2023
HNW clients · 8 to 7
Nov 2, 2022 to Mar 30, 2023
Individual clients · 23 to 25
Nov 2, 2022 to Mar 30, 2023
Pension plan clients · 2 to 0
Nov 2, 2022 to Mar 30, 2023
State-registered IARs · 0 to 2
Nov 2, 2022 to Mar 30, 2023
Discretionary RAUM · $44.5M to $36.6M
Nov 2, 2022 to Mar 30, 2023
HNW RAUM · $20.7M to $17.7M
Nov 2, 2022 to Mar 30, 2023
Individual RAUM · $7.4M to $7.2M
Nov 2, 2022 to Mar 30, 2023
Pension RAUM · 15318923.0 to unset
Nov 2, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $150,000 to $98,600
Nov 2, 2022 to Mar 30, 2023
RAUM · $44.5M to $36.6M
Nov 2, 2022 to Mar 30, 2023
Accounts · 67 to 59
Mar 31, 2021 to Mar 30, 2022
Charity clients · 2 to 1
Mar 31, 2021 to Mar 30, 2022
HNW clients · 6 to 8
Mar 31, 2021 to Mar 30, 2022
Individual clients · 29 to 23
Mar 31, 2021 to Mar 30, 2022
Discretionary RAUM · $43.3M to $44.5M
Mar 31, 2021 to Mar 30, 2022
HNW RAUM · $16.2M to $20.7M
Mar 31, 2021 to Mar 30, 2022
Individual RAUM · $9.3M to $7.4M
Mar 31, 2021 to Mar 30, 2022
Pension RAUM · $16.6M to $15.3M
Mar 31, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $209,300 to $150,000
Mar 31, 2021 to Mar 30, 2022
RAUM · $43.3M to $44.5M
Mar 31, 2021 to Mar 30, 2022
Accounts · 68 to 67
Jun 29, 2020 to Mar 31, 2021
Charity clients · unset to 2.0
Jun 29, 2020 to Mar 31, 2021
HNW clients · unset to 6.0
Jun 29, 2020 to Mar 31, 2021
Individual clients · 59 to 29
Jun 29, 2020 to Mar 31, 2021
Pension plan clients · 5 to 2
Jun 29, 2020 to Mar 31, 2021
Discretionary RAUM · $51.3M to $43.3M
Jun 29, 2020 to Mar 31, 2021
HNW RAUM · $6.9M to $16.2M
Jun 29, 2020 to Mar 31, 2021
Individual RAUM · $19.5M to $9.3M
Jun 29, 2020 to Mar 31, 2021
Pension RAUM · $23.8M to $16.6M
Jun 29, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $123,458 to $209,300
Jun 29, 2020 to Mar 31, 2021
RAUM · $51.3M to $43.3M
Jun 29, 2020 to Mar 31, 2021
Accounts · 93 to 68
Mar 29, 2019 to Mar 31, 2020
Advisory employees · 3 to 2
Mar 29, 2019 to Mar 31, 2020
Advisory activities · 4 to 3
Mar 29, 2019 to Mar 31, 2020
Individual clients · 78 to 59
Mar 29, 2019 to Mar 31, 2020
Pension plan clients · 11 to 5
Mar 29, 2019 to Mar 31, 2020
Employees · 4 to 3
Mar 29, 2019 to Mar 31, 2020
Financial planning clients · 1-10 to unset
Mar 29, 2019 to Mar 31, 2020
Discretionary RAUM · $102M to $51.3M
Mar 29, 2019 to Mar 31, 2020
HNW RAUM · $5.1M to $6.9M
Mar 29, 2019 to Mar 31, 2020
Individual RAUM · $23.9M to $19.5M
Mar 29, 2019 to Mar 31, 2020
Pension RAUM · $68.1M to $23.8M
Mar 29, 2019 to Mar 31, 2020
Pooled vehicle RAUM · $226,000 to $123,458
Mar 29, 2019 to Mar 31, 2020
RAUM · $102M to $51.3M
Mar 29, 2019 to Mar 31, 2020
Accounts · 101 to 93
Dec 13, 2018 to Mar 29, 2019
Individual clients · 85 to 78
Dec 13, 2018 to Mar 29, 2019
Discretionary RAUM · $137M to $102M
Dec 13, 2018 to Mar 29, 2019

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 24, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 29, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 29, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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: $43.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026