DFX Intelligence

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O••••• A•••• M••••••••• L••

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

Independent wealth manager, based in New York, New York, reporting $233M of regulatory assets across 1 registered advisors.

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

As of 2026-05-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $233M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +33%
Private clients: 92%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-05-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+33.2%
RAUM, one year
RAUM $175M to $233M (+33.2%) on the Form ADV filed 1 May 2026, while advisors on the filing held at 1.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 123494 · SEC 801-71358 · 29 filingsShow

CRD 123494SEC 801-71358First filing on the tape Mar 30, 2012, latest May 1, 2026SEC status approved since Apr 19, 2010IAPD

RAUM

$233M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

92%

$214M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$233M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

29 filings and snapshots on the tape

RAUM +24% a year over three years · the tape starts Mar 30, 2012

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

RAUM$233M as of May 1, 2026

May 1, 2012$67.8M then

HNW client RAUM$210M as of May 1, 2026

Mar 29, 2018$89.5M then

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

May 1, 20120 then

Employees (5.A)4 as of May 1, 2026

Mar 28, 20133 then

Private funds1 as of May 1, 2026

May 1, 20121 then

RAUM +33% over the last fiscal year+24% a year over threeIARs 1 to 1

Practice profile

derived from the filing of May 1, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

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

RAUM per advisor: $233MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 47derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.3MderivedHNW RAUM over HNW clients
Average account: $2.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 4.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +33%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +6.8%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $34.5M, 18 clientsreportedItem 9.A
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)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
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

90% high-net-worth individuals, 7.4% pooled investment vehicles, and 3 other client types

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

High-net-worth individuals$210M90%
Pooled investment vehicles$17.2M7.4%
Individuals$3.3M1.4%
Pension and profit-sharing plans$1.2M0.5%
Corporations and businesses$783,7260.3%

Individual clients: 7reported
HNW clients: 40reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 108reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $34.5M for 18 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 92% private clients, 7% pooled funds, 1% 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••••• H• B••••••Chartered Financial Analyst	New York, Ny	Dec 3, 2025	25 y	1

Private funds

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

Fund	Type	Gross assets	Owners	First reported
O••••• I• L•••	Hedge Fund	$18.1M	8	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

B••••••• D•••••• H• · Membercontrol
since 02/2002 · owns 75% or more

Related persons

Schedule D 7.A

O•• G• I• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 97 to 108
Mar 28, 2025 to Mar 27, 2026
HNW clients · 33 to 40
Mar 28, 2025 to Mar 27, 2026
Individual clients · 11 to 7
Mar 28, 2025 to Mar 27, 2026
Assets in custody · $16.4M to $34.5M
Mar 28, 2025 to Mar 27, 2026
Discretionary RAUM · $175M to $233M
Mar 28, 2025 to Mar 27, 2026

Full history · 80 changes

HNW RAUM · $151M to $210M
Mar 28, 2025 to Mar 27, 2026
Individual RAUM · $8.6M to $3.3M
Mar 28, 2025 to Mar 27, 2026
Pension RAUM · $1.1M to $1.2M
Mar 28, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $14.0M to $17.2M
Mar 28, 2025 to Mar 27, 2026
RAUM · $175M to $233M
Mar 28, 2025 to Mar 27, 2026
Accounts · 98 to 97
May 6, 2024 to Mar 28, 2025
HNW clients · 35 to 33
May 6, 2024 to Mar 28, 2025
Assets in custody · $12.2M to $16.4M
May 6, 2024 to Mar 28, 2025
Financial planning clients · 0 to 0
May 6, 2024 to Mar 28, 2025
Discretionary RAUM · $139M to $175M
May 6, 2024 to Mar 28, 2025
HNW RAUM · $120M to $151M
May 6, 2024 to Mar 28, 2025
Individual RAUM · $6.8M to $8.6M
May 6, 2024 to Mar 28, 2025
Pension RAUM · $1.0M to $1.1M
May 6, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $11.2M to $14.0M
May 6, 2024 to Mar 28, 2025
RAUM · $139M to $175M
May 6, 2024 to Mar 28, 2025
Accounts · 99 to 98
Mar 27, 2023 to Mar 26, 2024
HNW clients · 36 to 35
Mar 27, 2023 to Mar 26, 2024
Assets in custody · $11.0M to $12.2M
Mar 27, 2023 to Mar 26, 2024
Discretionary RAUM · $124M to $139M
Mar 27, 2023 to Mar 26, 2024
HNW RAUM · $107M to $120M
Mar 27, 2023 to Mar 26, 2024
Individual RAUM · $5.8M to $6.8M
Mar 27, 2023 to Mar 26, 2024
Pension RAUM · $1.0M to $1.0M
Mar 27, 2023 to Mar 26, 2024
Pooled vehicle RAUM · $10.0M to $11.2M
Mar 27, 2023 to Mar 26, 2024
RAUM · $124M to $139M
Mar 27, 2023 to Mar 26, 2024
Accounts · 98 to 99
May 16, 2022 to Mar 27, 2023
Assets in custody · $13.7M to $11.0M
May 16, 2022 to Mar 27, 2023
Discretionary RAUM · $145M to $124M
May 16, 2022 to Mar 27, 2023
HNW RAUM · $119M to $107M
May 16, 2022 to Mar 27, 2023
Individual RAUM · $6.7M to $5.8M
May 16, 2022 to Mar 27, 2023
Pension RAUM · $1.2M to $1.0M
May 16, 2022 to Mar 27, 2023
Pooled vehicle RAUM · $18.4M to $10.0M
May 16, 2022 to Mar 27, 2023
RAUM · $145M to $124M
May 16, 2022 to Mar 27, 2023
Accounts · 97 to 98
Apr 30, 2021 to Mar 30, 2022
HNW clients · 35 to 36
Apr 30, 2021 to Mar 30, 2022
Individual clients · 10 to 11
Apr 30, 2021 to Mar 30, 2022
Assets in custody · $9.8M to $13.7M
Apr 30, 2021 to Mar 30, 2022
State-registered IARs · 0 to 1
Apr 30, 2021 to Mar 30, 2022
Discretionary RAUM · $130M to $145M
Apr 30, 2021 to Mar 30, 2022
HNW RAUM · $106M to $119M
Apr 30, 2021 to Mar 30, 2022
Individual RAUM · $5.4M to $6.7M
Apr 30, 2021 to Mar 30, 2022
Pension RAUM · $1.1M to $1.2M
Apr 30, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $18.3M to $18.4M
Apr 30, 2021 to Mar 30, 2022
RAUM · $130M to $145M
Apr 30, 2021 to Mar 30, 2022
Accounts · 95 to 97
Jun 30, 2020 to Mar 29, 2021
HNW clients · 36 to 35
Jun 30, 2020 to Mar 29, 2021
Individual clients · 9 to 10
Jun 30, 2020 to Mar 29, 2021
Assets in custody · $8.9M to $9.8M
Jun 30, 2020 to Mar 29, 2021
Discretionary RAUM · $133M to $130M
Jun 30, 2020 to Mar 29, 2021
HNW RAUM · $106M to $106M
Jun 30, 2020 to Mar 29, 2021
Individual RAUM · $5.3M to $5.4M
Jun 30, 2020 to Mar 29, 2021
Pension RAUM · $3.5M to $1.1M
Jun 30, 2020 to Mar 29, 2021
Pooled vehicle RAUM · $18.2M to $18.3M
Jun 30, 2020 to Mar 29, 2021
RAUM · $133M to $130M
Jun 30, 2020 to Mar 29, 2021
Accounts · 93 to 95
Apr 23, 2019 to Mar 30, 2020
HNW clients · 30 to 36
Apr 23, 2019 to Mar 30, 2020
Individual clients · 10 to 9
Apr 23, 2019 to Mar 30, 2020
Assets in custody · $6.6M to $8.9M
Apr 23, 2019 to Mar 30, 2020
Discretionary RAUM · $119M to $133M
Apr 23, 2019 to Mar 30, 2020
HNW RAUM · $85.3M to $106M
Apr 23, 2019 to Mar 30, 2020
Individual RAUM · $4.7M to $5.3M
Apr 23, 2019 to Mar 30, 2020
Pension RAUM · $7.1M to $3.5M
Apr 23, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $21.6M to $18.2M
Apr 23, 2019 to Mar 30, 2020
RAUM · $119M to $133M
Apr 23, 2019 to Mar 30, 2020
Accounts · 91 to 93
May 22, 2018 to Mar 21, 2019
Advisory employees · 5 to 4
May 22, 2018 to Mar 21, 2019
Assets in custody · $7.8M to $6.6M
May 22, 2018 to Mar 21, 2019
Employees · 5 to 4
May 22, 2018 to Mar 21, 2019
Discretionary RAUM · $120M to $119M
May 22, 2018 to Mar 21, 2019
HNW RAUM · $89.5M to $85.3M
May 22, 2018 to Mar 21, 2019
Individual RAUM · $4.8M to $4.7M
May 22, 2018 to Mar 21, 2019
Pension RAUM · $7.7M to $7.1M
May 22, 2018 to Mar 21, 2019
Pooled vehicle RAUM · $18.1M to $21.6M
May 22, 2018 to Mar 21, 2019
RAUM · $120M to $119M
May 22, 2018 to Mar 21, 2019
Accounts · 89 to 91
May 23, 2017 to Mar 29, 2018
Advisory employees · 4 to 5
May 23, 2017 to Mar 29, 2018

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

Website: ••• Lockedreportedpublic record, Form ADV, May 1, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, May 1, 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: $233Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026