DFX Intelligence

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W•••••••••

Independent wealth managerSEC-registered· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $105M of regulatory assets across 1 registered advisors.

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

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $105M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +16%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+16.4%
RAUM, one year
RAUM $90.4M to $105M (+16.4%) on the Form ADV filed 31 Mar 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 123567 · SEC 801-122440 · 14 filingsShow

CRD 123567SEC 801-122440Legal name W••••••••• L•••First filing on the tape Sep 3, 2021, latest Mar 31, 2026SEC status approved since Oct 1, 2021IAPD

RAUM

$105M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

100%

$105M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$105M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM +25% a year over three years · the tape starts Sep 3, 2021

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

RAUM$105M as of Mar 31, 2026

Mar 31, 2022$75.9M then

HNW client RAUM$105M as of Mar 31, 2026

Mar 31, 2022$75.9M then

State-registered IARs (5.B.3)1 as of Mar 31, 2026

Mar 31, 20221 then

Employees (5.A)1 as of Mar 31, 2026

Mar 31, 20221 then

Private funds: no history

RAUM +16% over the last fiscal year+25% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 31, 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: $105MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 87derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.2MderivedHNW RAUM over HNW clients
Average account: $1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%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: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +16%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -1.1%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% high-net-worth individuals

The breakdown by client type, and the client counts1 client typesShow

High-net-worth individuals$105M100%

Individual clients: 0reported
HNW clients: 87reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 87reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
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
G••••• S•• A•••••••••	New York, Ny	Oct 12, 2021	27 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A••••••••• G•••••• S•• · President/Ccocontrol
since 09/2002 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Santa Monica, CA1 employee

ADV anomalies

1 against comparable advisers; where to look, not conclusions

low discretionary shareStatic outlier · filing Mar 31, 2026
discretionary share of RAUM of 0% against a peer median of 100% (5683 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: independent wealth managers, $100M to $500M (5,683) · 0.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 88 to 87
Mar 28, 2025 to Mar 31, 2026
HNW clients · 88 to 87
Mar 28, 2025 to Mar 31, 2026
HNW RAUM · $90.4M to $105M
Mar 28, 2025 to Mar 31, 2026
Non-discretionary RAUM · $90.4M to $105M
Mar 28, 2025 to Mar 31, 2026
RAUM · $90.4M to $105M
Mar 28, 2025 to Mar 31, 2026

Full history · 26 changes

Accounts · 110 to 88
Mar 29, 2024 to Mar 28, 2025
HNW clients · 98 to 88
Mar 29, 2024 to Mar 28, 2025
Financial planning clients · unset to
Mar 29, 2024 to Mar 28, 2025
Other offices · 1 to 0
Mar 29, 2024 to Mar 28, 2025
HNW RAUM · $71.9M to $90.4M
Mar 29, 2024 to Mar 28, 2025
Non-discretionary RAUM · $71.9M to $90.4M
Mar 29, 2024 to Mar 28, 2025
RAUM · $71.9M to $90.4M
Mar 29, 2024 to Mar 28, 2025
Accounts · 98 to 110
Mar 31, 2023 to Mar 29, 2024
Discretionary RAUM · $53.3M to $0
Mar 31, 2023 to Mar 29, 2024
HNW RAUM · $53.3M to $71.9M
Mar 31, 2023 to Mar 29, 2024
Non-discretionary RAUM · $0 to $71.9M
Mar 31, 2023 to Mar 29, 2024
RAUM · $53.3M to $71.9M
Mar 31, 2023 to Mar 29, 2024
Accounts · 106 to 98
Jul 25, 2022 to Mar 31, 2023
HNW clients · 106 to 98
Jul 25, 2022 to Mar 31, 2023
Discretionary RAUM · $0 to $53.3M
Jul 25, 2022 to Mar 31, 2023
HNW RAUM · $75.9M to $53.3M
Jul 25, 2022 to Mar 31, 2023
Non-discretionary RAUM · $75.9M to $0
Jul 25, 2022 to Mar 31, 2023
RAUM · $75.9M to $53.3M
Jul 25, 2022 to Mar 31, 2023
HNW RAUM · $76.8M to $75.9M
Oct 12, 2021 to Mar 31, 2022
Non-discretionary RAUM · $76.8M to $75.9M
Oct 12, 2021 to Mar 31, 2022
RAUM · $76.8M to $75.9M
Oct 12, 2021 to Mar 31, 2022

Signals

2 dated events

••• Locked
Mar 31, 2026 · ria office closed · derived
••• Locked
Sep 3, 2021 · 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, Mar 31, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 31, 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: $105Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026