DFX Intelligence

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A•••••• F•••••••• S•••••••• I•••

Independent wealth managerSEC-registered· Chatham, New Yorkwebsite

Independent wealth manager, based in Chatham, New York, reporting $62.6M of regulatory assets across 1 registered advisors.

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

As of 2026-08-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $62.6M
Advisors: 1
Net advisor flow, 12 months: 0
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-08-03 · 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 118537 · SEC 801-113326 · 13 filingsShow

CRD 118537SEC 801-113326Legal name A•••••• F•••••••• S••••••• I••First filing on the tape Apr 30, 2018, latest Aug 3, 2026SEC status approved since May 29, 2018IAPD

RAUM

$62.6M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$62.5M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$62.6M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM +25% a year over three years · the tape starts Apr 30, 2018

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

RAUM$62.6M as of Aug 3, 2026

Apr 3, 2019$29.8M then

HNW client RAUM$38.0M as of Aug 3, 2026

Apr 3, 2019$11.0M then

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

Apr 3, 20190 then

Employees (5.A)2 as of Aug 3, 2026

Apr 3, 20192 then

Private funds: no history

RAUM n/a over the last fiscal year+25% a year over three

Practice profile

derived from the filing of Aug 3, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

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, and at most 25 employees (Item 5.A)

RAUM per advisor: $62.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 220derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.0MderivedHNW RAUM over HNW clients
Average account: $143,967derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 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

61% high-net-worth individuals, 39% individuals, and 3 other client types

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

High-net-worth individuals$38.0M61%
Individuals$24.5M39%
Pension and profit-sharing plans$109,0500.2%
Charitable organizations$19,3600.0%
Corporations and businesses$4,1690.0%

Individual clients: 182reported
HNW clients: 38reported
Pension plan clients: 1reported
Charitable clients: 1reported
Accounts: 435reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
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
D•••• C••• L•••Certified Financial Planner	Glen Allen, Va	Feb 6, 2018	31 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

L•••• D••••• C••• · Ccocontrol
since 01/1995 · owns 75% or more

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

L••• • C•••••• C•• P•••
insurancey

Offices

Schedule D 1.F, the 25 largest

Chatham, NY1 employee

What changed

consecutive filings, newest first

Accounts · 420 to 435
Jun 3, 2025 to Apr 1, 2026
Charity clients · 0 to 1
Jun 3, 2025 to Apr 1, 2026
Corporate clients · 0 to 1
Jun 3, 2025 to Apr 1, 2026
HNW clients · 20 to 38
Jun 3, 2025 to Apr 1, 2026
Individual clients · 199 to 182
Jun 3, 2025 to Apr 1, 2026

Full history · 77 changes

Pension plan clients · 0 to 1
Jun 3, 2025 to Apr 1, 2026
Discretionary RAUM · $56.0M to $62.6M
Jun 3, 2025 to Apr 1, 2026
HNW RAUM · $24.8M to $38.0M
Jun 3, 2025 to Apr 1, 2026
Individual RAUM · $31.2M to $24.5M
Jun 3, 2025 to Apr 1, 2026
Pension RAUM · $0 to $109,050
Jun 3, 2025 to Apr 1, 2026
RAUM · $56.0M to $62.6M
Jun 3, 2025 to Apr 1, 2026
Financial planning clients · 101-250 to 101-250
May 5, 2025 to Jun 3, 2025
Accounts · 396 to 420
Mar 30, 2024 to May 5, 2025
HNW clients · 16 to 20
Mar 30, 2024 to May 5, 2025
Individual clients · 293 to 199
Mar 30, 2024 to May 5, 2025
Employees · 3 to 2
Mar 30, 2024 to May 5, 2025
HQ city · GLEN ALLEN to CHATHAM
Mar 30, 2024 to May 5, 2025
HQ state · VA to NY
Mar 30, 2024 to May 5, 2025
Discretionary RAUM · $37.2M to $56.0M
Mar 30, 2024 to May 5, 2025
HNW RAUM · $12.2M to $24.8M
Mar 30, 2024 to May 5, 2025
Individual RAUM · $25.8M to $31.2M
Mar 30, 2024 to May 5, 2025
Non-discretionary RAUM · $741,105 to $0
Mar 30, 2024 to May 5, 2025
RAUM · $38.0M to $56.0M
Mar 30, 2024 to May 5, 2025
Accounts · 266 to 396
May 24, 2023 to Mar 30, 2024
HNW clients · 14 to 16
May 24, 2023 to Mar 30, 2024
Individual clients · 252 to 293
May 24, 2023 to Mar 30, 2024
Discretionary RAUM · $32.1M to $37.2M
May 24, 2023 to Mar 30, 2024
HNW RAUM · $11.7M to $12.2M
May 24, 2023 to Mar 30, 2024
Individual RAUM · $20.6M to $25.8M
May 24, 2023 to Mar 30, 2024
Non-discretionary RAUM · $215,000 to $741,105
May 24, 2023 to Mar 30, 2024
Pension RAUM · unset to 0.0
May 24, 2023 to Mar 30, 2024
Pooled vehicle RAUM · unset to 0.0
May 24, 2023 to Mar 30, 2024
RAUM · $32.3M to $38.0M
May 24, 2023 to Mar 30, 2024
Accounts · 290 to 266
Mar 29, 2022 to May 24, 2023
HNW clients · 11 to 14
Mar 29, 2022 to May 24, 2023
Individual clients · 279 to 252
Mar 29, 2022 to May 24, 2023
HQ city · CHATHAM to GLEN ALLEN
Mar 29, 2022 to May 24, 2023
HQ state · NY to VA
Mar 29, 2022 to May 24, 2023
Discretionary RAUM · $34.0M to $32.1M
Mar 29, 2022 to May 24, 2023
HNW RAUM · $11.0M to $11.7M
Mar 29, 2022 to May 24, 2023
Individual RAUM · $24.0M to $20.6M
Mar 29, 2022 to May 24, 2023
Non-discretionary RAUM · $1.0M to $215,000
Mar 29, 2022 to May 24, 2023
RAUM · $35.0M to $32.3M
Mar 29, 2022 to May 24, 2023
Accounts · 284 to 290
Apr 1, 2021 to Mar 29, 2022
HNW clients · 17 to 11
Apr 1, 2021 to Mar 29, 2022
Individual clients · 267 to 279
Apr 1, 2021 to Mar 29, 2022
Employees · 2 to 3
Apr 1, 2021 to Mar 29, 2022
Financial planning clients · 51-100 to 101-250
Apr 1, 2021 to Mar 29, 2022
Discretionary RAUM · $30.0M to $34.0M
Apr 1, 2021 to Mar 29, 2022
HNW RAUM · $12.0M to $11.0M
Apr 1, 2021 to Mar 29, 2022
Individual RAUM · $19.0M to $24.0M
Apr 1, 2021 to Mar 29, 2022
RAUM · $31.0M to $35.0M
Apr 1, 2021 to Mar 29, 2022
Accounts · 253 to 284
Jun 30, 2020 to Apr 1, 2021
HNW clients · 19 to 17
Jun 30, 2020 to Apr 1, 2021
Individual clients · 234 to 267
Jun 30, 2020 to Apr 1, 2021
Discretionary RAUM · $31.9M to $30.0M
Jun 30, 2020 to Apr 1, 2021
HNW RAUM · $14.5M to $12.0M
Jun 30, 2020 to Apr 1, 2021
Individual RAUM · $17.7M to $19.0M
Jun 30, 2020 to Apr 1, 2021
Non-discretionary RAUM · $326,000 to $1.0M
Jun 30, 2020 to Apr 1, 2021
RAUM · $32.2M to $31.0M
Jun 30, 2020 to Apr 1, 2021
Accounts · 376 to 253
Apr 3, 2019 to May 7, 2020
HNW clients · 8 to 19
Apr 3, 2019 to May 7, 2020
Individual clients · 260 to 234
Apr 3, 2019 to May 7, 2020
Financial planning clients · 251-500 to 51-100
Apr 3, 2019 to May 7, 2020
Discretionary RAUM · $29.0M to $31.9M
Apr 3, 2019 to May 7, 2020
HNW RAUM · $11.0M to $14.5M
Apr 3, 2019 to May 7, 2020
Individual RAUM · $18.9M to $17.7M
Apr 3, 2019 to May 7, 2020
Non-discretionary RAUM · $819,000 to $326,000
Apr 3, 2019 to May 7, 2020
RAUM · $29.8M to $32.2M
Apr 3, 2019 to May 7, 2020
Accounts · 363 to 376
May 23, 2018 to Apr 3, 2019
Individual clients · 240 to 260
May 23, 2018 to Apr 3, 2019
Employees · 3 to 2
May 23, 2018 to Apr 3, 2019
Discretionary RAUM · $25.4M to $29.0M
May 23, 2018 to Apr 3, 2019
HNW RAUM · $8.0M to $11.0M
May 23, 2018 to Apr 3, 2019
Individual RAUM · $17.8M to $18.9M
May 23, 2018 to Apr 3, 2019
Non-discretionary RAUM · $400,000 to $819,000
May 23, 2018 to Apr 3, 2019
RAUM · $25.8M to $29.8M
May 23, 2018 to Apr 3, 2019

Signals

4 dated events

••• Locked
Aug 3, 2026 · ria office opened · fact
••• Locked
Aug 3, 2026 · ria office closed · derived
••• Locked
May 5, 2025 · ria hq relocated · fact
••• Locked
Apr 30, 2018 · 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

Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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, Aug 3, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 3, 2026
Contact form: ••• 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: $62.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: RAUM change, 1 year.