DFX Intelligence
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B••••••• F•••••••• P••••••• L••
Independent wealth manager, based in Brooklyn, New York, reporting $240M of regulatory assets across 3 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $240M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +17%
- Private clients
- 100% of RAUM, $240M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $205MRAUM now $240M
- Contact points 9
Every filed figure, and the identifiersCRD 125291 · SEC 801-77668 · 25 filingsShowHide
CRD 125291SEC 801-77668First filing on the tape Feb 19, 2013, latest Mar 2, 2026SEC status approved since Feb 27, 2013IAPD
RAUM
$240M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$240M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$79.9M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$240M as of Mar 2, 2026
Mar 19, 2014$49.3M then
HNW client RAUM$235M as of Mar 2, 2026
Mar 26, 2018$84.8M then
State-registered IARs (5.B.3)3 as of Mar 2, 2026
Mar 19, 20141 then
Employees (5.A)3 as of Mar 2, 2026
Mar 19, 20144 then
Private funds: no history
RAUM +17% over the last fiscal year+17% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $79.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $379,327derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $115M, 94 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$235M98%
- Individuals$4.6M1.9%
- Insurance companies$174,6450.1%
- Individual clients
- 13reported
- HNW clients
- 105reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 632reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $115M for 94 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•• J•• L••••••Certified Financial Planner | Brooklyn, Ny | Apr 9, 2021 | 18 y | 0 |
| C•••••• E•••••• S•••• B•••••••Certified Financial Planner | Brooklyn, Ny | Nov 14, 2021 | 19 y | 0 |
| E•••• L••••••• A•••• | Brooklyn, Ny | Feb 29, 2024 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• C••••••• E•••••• S•••• · Managing Member, Chief Compliance Officercontrolsince 04/2001 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Brooklyn, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 612 to 632Sep 2, 2025 to Mar 2, 2026
- HNW clients · 103 to 105Sep 2, 2025 to Mar 2, 2026
- Individual clients · 15 to 13Sep 2, 2025 to Mar 2, 2026
- Pension plan clients · 1 to 0Sep 2, 2025 to Mar 2, 2026
- Assets in custody · $113M to $115MSep 2, 2025 to Mar 2, 2026
- Employees · 4 to 3Sep 2, 2025 to Mar 2, 2026
- Discretionary RAUM · $202M to $238MSep 2, 2025 to Mar 2, 2026
- HNW RAUM · $200M to $235MSep 2, 2025 to Mar 2, 2026
- Individual RAUM · $4.7M to $4.6MSep 2, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $3.1M to $1.7MSep 2, 2025 to Mar 2, 2026
- Pension RAUM · $154,492 to $0Sep 2, 2025 to Mar 2, 2026
- RAUM · $205M to $240MSep 2, 2025 to Mar 2, 2026
- Financial planning clients · 51-100 to 51-100Mar 11, 2025 to May 21, 2025
- Accounts · 597 to 612Aug 14, 2024 to Mar 11, 2025
- Advisory employees · 2 to 3Aug 14, 2024 to Mar 11, 2025
- HNW clients · 93 to 103Aug 14, 2024 to Mar 11, 2025
- Individual clients · 22 to 15Aug 14, 2024 to Mar 11, 2025
- Assets in custody · $91.8M to $113MAug 14, 2024 to Mar 11, 2025
- State-registered IARs · 2 to 3Aug 14, 2024 to Mar 11, 2025
- Discretionary RAUM · $176M to $202MAug 14, 2024 to Mar 11, 2025
- HNW RAUM · $164M to $200MAug 14, 2024 to Mar 11, 2025
- Individual RAUM · $11.8M to $4.7MAug 14, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $333,874 to $3.1MAug 14, 2024 to Mar 11, 2025
- Pension RAUM · $142,470 to $154,492Aug 14, 2024 to Mar 11, 2025
- RAUM · $176M to $205MAug 14, 2024 to Mar 11, 2025
- HNW RAUM · $142M to $164MMar 9, 2023 to Feb 26, 2024
- Individual RAUM · $8.9M to $11.8MMar 9, 2023 to Feb 26, 2024
- Pension RAUM · $138,381 to $142,470Mar 9, 2023 to Feb 26, 2024
- RAUM · $151M to $176MMar 9, 2023 to Feb 26, 2024
- Accounts · 555 to 597Mar 9, 2023 to Feb 26, 2024
- HNW clients · 90 to 93Mar 9, 2023 to Feb 26, 2024
- Individual clients · 19 to 22Mar 9, 2023 to Feb 26, 2024
- Assets in custody · $85.1M to $91.8MMar 9, 2023 to Feb 26, 2024
- Discretionary RAUM · $151M to $176MMar 9, 2023 to Feb 26, 2024
- Accounts · 549 to 555Mar 14, 2022 to Mar 9, 2023
- Advisory activities · 6 to 4Mar 14, 2022 to Mar 9, 2023
- HNW clients · 88 to 90Mar 14, 2022 to Mar 9, 2023
- Individual clients · 17 to 19Mar 14, 2022 to Mar 9, 2023
- Pension plan clients · 3 to 1Mar 14, 2022 to Mar 9, 2023
- Assets in custody · $95.9M to $85.1MMar 14, 2022 to Mar 9, 2023
Signals
1 dated events
- ••• LockedFeb 19, 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
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- ••• 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, Mar 2, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 2, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- 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
- $79.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026