DFX Intelligence

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S••••••• F•••••••• A••••••• I•••

Independent wealth managerSEC-registered· Millbrook, New Yorkwebsite

Independent wealth manager, based in Millbrook, New York, reporting $86.7M of regulatory assets across 1 registered advisors.

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

As of 2026-02-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $86.7M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +12%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-02-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 18 Feb 2026, RAUM $77.8M to $86.7M (+11.5%) on the Form ADV filed 18 Feb 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 117407 · SEC 801-77819 · 24 filingsShow

CRD 117407SEC 801-77819First filing on the tape Mar 21, 2013, latest Feb 18, 2026SEC status approved since Apr 4, 2013IAPD

RAUM

$86.7M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$86.7M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$86.7M

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 +13% a year over three years · the tape starts Mar 21, 2013

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

RAUM$86.7M as of Feb 18, 2026

Mar 5, 2014$36.1M then

HNW client RAUM$86.2M as of Feb 18, 2026

Feb 28, 2018$42.4M then

State-registered IARs (5.B.3)1 as of Feb 18, 2026

Mar 5, 20141 then

Employees (5.A)1 as of Feb 18, 2026

Mar 5, 20141 then

Private funds: no history

RAUM +12% over the last fiscal year+13% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Feb 18, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

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: $86.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 20derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.5MderivedHNW RAUM over HNW clients
Average account: $4.3MderivedRAUM 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: 0.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year: +12%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +0.0%derived
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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

99% high-net-worth individuals, 0.6% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$86.2M99%
Individuals$492,5280.6%

Individual clients: 1reported
HNW clients: 19reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 20reported
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

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
E••••• J••••••••	Millbrook, Ny	May 23, 2021	33 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

J••••••••• E••••• · President And Ccocontrol
since 09/1981 · owns 75% or more

Related persons

Schedule D 7.A

E••••• J••••••••
investment companyy

Offices

Schedule D 1.F, the 25 largest

, 1 employee

What changed

consecutive filings, newest first

Discretionary RAUM · $77.8M to $86.7M
Jan 6, 2025 to Feb 18, 2026
HNW RAUM · $77.2M to $86.2M
Jan 6, 2025 to Feb 18, 2026
Individual RAUM · $512,444 to $492,528
Jan 6, 2025 to Feb 18, 2026
RAUM · $77.8M to $86.7M
Jan 6, 2025 to Feb 18, 2026
Financial planning clients · unset to
Mar 6, 2024 to Jan 6, 2025

Full history · 74 changes

Discretionary RAUM · $69.3M to $77.8M
Mar 6, 2024 to Jan 6, 2025
HNW RAUM · $68.8M to $77.2M
Mar 6, 2024 to Jan 6, 2025
Individual RAUM · $478,820 to $512,444
Mar 6, 2024 to Jan 6, 2025
RAUM · $69.3M to $77.8M
Mar 6, 2024 to Jan 6, 2025
Accounts · 21 to 20
Feb 3, 2023 to Jan 12, 2024
HNW clients · 18 to 19
Feb 3, 2023 to Jan 12, 2024
Individual clients · 3 to 1
Feb 3, 2023 to Jan 12, 2024
Discretionary RAUM · $60.0M to $69.3M
Feb 3, 2023 to Jan 12, 2024
HNW RAUM · $58.4M to $68.8M
Feb 3, 2023 to Jan 12, 2024
Individual RAUM · $1.7M to $478,820
Feb 3, 2023 to Jan 12, 2024
RAUM · $60.0M to $69.3M
Feb 3, 2023 to Jan 12, 2024
Accounts · 69 to 21
Sep 20, 2022 to Feb 3, 2023
HNW clients · 16 to 18
Sep 20, 2022 to Feb 3, 2023
Individual clients · 4 to 3
Sep 20, 2022 to Feb 3, 2023
Discretionary RAUM · $68.9M to $60.0M
Sep 20, 2022 to Feb 3, 2023
HNW RAUM · $66.3M to $58.4M
Sep 20, 2022 to Feb 3, 2023
Individual RAUM · $2.6M to $1.7M
Sep 20, 2022 to Feb 3, 2023
RAUM · $68.9M to $60.0M
Sep 20, 2022 to Feb 3, 2023
Accounts · 20 to 69
Feb 8, 2021 to Jan 10, 2022
HNW clients · 18 to 16
Feb 8, 2021 to Jan 10, 2022
Individual clients · 2 to 4
Feb 8, 2021 to Jan 10, 2022
Discretionary RAUM · $54.6M to $68.9M
Feb 8, 2021 to Jan 10, 2022
HNW RAUM · $53.4M to $66.3M
Feb 8, 2021 to Jan 10, 2022
Individual RAUM · $1.2M to $2.6M
Feb 8, 2021 to Jan 10, 2022
RAUM · $54.6M to $68.9M
Feb 8, 2021 to Jan 10, 2022
Accounts · 18 to 20
May 5, 2020 to Feb 8, 2021
HNW clients · 16 to 18
May 5, 2020 to Feb 8, 2021
Discretionary RAUM · $52.4M to $54.6M
May 5, 2020 to Feb 8, 2021
HNW RAUM · $51.0M to $53.4M
May 5, 2020 to Feb 8, 2021
Individual RAUM · $1.3M to $1.2M
May 5, 2020 to Feb 8, 2021
RAUM · $52.4M to $54.6M
May 5, 2020 to Feb 8, 2021
Accounts · 64 to 18
Dec 3, 2019 to Feb 10, 2020
HNW clients · 14 to 16
Dec 3, 2019 to Feb 10, 2020
Individual clients · 4 to 2
Dec 3, 2019 to Feb 10, 2020
Discretionary RAUM · $41.2M to $52.4M
Dec 3, 2019 to Feb 10, 2020
HNW RAUM · $40.2M to $51.0M
Dec 3, 2019 to Feb 10, 2020
Individual RAUM · $1.0M to $1.3M
Dec 3, 2019 to Feb 10, 2020
RAUM · $41.2M to $52.4M
Dec 3, 2019 to Feb 10, 2020
Accounts · 56 to 64
Mar 2, 2018 to Jan 7, 2019
HNW clients · 13 to 14
Mar 2, 2018 to Jan 7, 2019
HQ city · unset to MILLBROOK
Mar 2, 2018 to Jan 7, 2019
HQ state · unset to NY
Mar 2, 2018 to Jan 7, 2019
Other offices · 1 to 3
Mar 2, 2018 to Jan 7, 2019
Discretionary RAUM · $42.7M to $41.2M
Mar 2, 2018 to Jan 7, 2019
HNW RAUM · $42.4M to $40.2M
Mar 2, 2018 to Jan 7, 2019
Individual RAUM · $1.7M to $1.0M
Mar 2, 2018 to Jan 7, 2019
Non-discretionary RAUM · $1.4M to $0
Mar 2, 2018 to Jan 7, 2019
RAUM · $44.0M to $41.2M
Mar 2, 2018 to Jan 7, 2019
Accounts · 52 to 56
Apr 13, 2017 to Feb 28, 2018
HNW clients · unset to 13.0
Apr 13, 2017 to Feb 28, 2018
Individual clients · unset to 4.0
Apr 13, 2017 to Feb 28, 2018
Other offices · unset to 1.0
Apr 13, 2017 to Feb 28, 2018
Discretionary RAUM · $35.9M to $42.7M
Apr 13, 2017 to Feb 28, 2018
HNW RAUM · unset to 42372575.0
Apr 13, 2017 to Feb 28, 2018
Individual RAUM · unset to 1675865.0
Apr 13, 2017 to Feb 28, 2018
Non-discretionary RAUM · $2.2M to $1.4M
Apr 13, 2017 to Feb 28, 2018
RAUM · $38.1M to $44.0M
Apr 13, 2017 to Feb 28, 2018
Accounts · 20 to 52
Mar 15, 2016 to Mar 14, 2017
Discretionary RAUM · $39.7M to $35.9M
Mar 15, 2016 to Mar 14, 2017
Non-discretionary RAUM · $0 to $2.2M
Mar 15, 2016 to Mar 14, 2017
RAUM · $39.7M to $38.1M
Mar 15, 2016 to Mar 14, 2017
Accounts · 17 to 20
Sep 14, 2015 to Feb 25, 2016
Discretionary RAUM · $38.8M to $39.7M
Sep 14, 2015 to Feb 25, 2016
RAUM · $38.8M to $39.7M
Sep 14, 2015 to Feb 25, 2016
Discretionary RAUM · $36.1M to $38.8M
Mar 5, 2014 to Mar 18, 2015
RAUM · $36.1M to $38.8M
Mar 5, 2014 to Mar 18, 2015
Accounts · 16 to 17
Mar 21, 2013 to Mar 5, 2014
Discretionary RAUM · $29.8M to $36.1M
Mar 21, 2013 to Mar 5, 2014
RAUM · $29.8M to $36.1M
Mar 21, 2013 to Mar 5, 2014

Signals

1 dated events

••• Locked
Mar 21, 2013 · First SEC registration · 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

Website: ••• Lockedreportedpublic record, Form ADV, Feb 18, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 18, 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: $86.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026