DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

T••••• • D•••••• A••••••• I•••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $132M of regulatory assets across 2 registered advisors.

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

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $132M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +8.9%
Private clients: 96%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+8.9%
RAUM, one year
RAUM $121M to $132M (+8.9%) on the Form ADV filed 30 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 125801 · SEC 801-68024 · 18 filingsShow

CRD 125801SEC 801-68024First filing on the tape Dec 15, 2011, latest Mar 30, 2026SEC status approved since Jun 15, 2007IAPD

RAUM

$132M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

96%

$126M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$65.9M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM +11% a year over three years · the tape starts Dec 15, 2011

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

RAUM$132M as of Mar 30, 2026

Mar 27, 2012$32.7M then

HNW client RAUM$89.8M as of Mar 30, 2026

Mar 30, 2018$47.5M then

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Mar 27, 20120 then

Employees (5.A)3 as of Mar 30, 2026

Apr 1, 20132 then

Private funds: no history

RAUM +8.9% over the last fiscal year+11% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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, and at most 25 employees (Item 5.A)

RAUM per advisor: $65.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 65derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.7MderivedHNW RAUM over HNW clients
Average account: $1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +8.9%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -5.1%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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

68% high-net-worth individuals, 28% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$89.8M68%
Individuals$36.5M28%
Corporations and businesses$5.6M4.2%

Individual clients: 96reported
HNW clients: 33reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 130reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 96% 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

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
S•••• A••• H••••••	Baldwin, Ny	Jul 13, 2018	19 y	0
V•••••• T••••• D••••••	Baldwin, Ny	Sep 3, 2021	15 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D••••••• V••••••• T••••• · President, Chief Compliance Officercontrol
since 12/1997 · 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
Baldwin, Ny	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 137 to 130
Mar 28, 2025 to Mar 30, 2026
HNW clients · 38 to 33
Mar 28, 2025 to Mar 30, 2026
Individual clients · 98 to 96
Mar 28, 2025 to Mar 30, 2026
Employees · 4 to 3
Mar 28, 2025 to Mar 30, 2026
Discretionary RAUM · $121M to $132M
Mar 28, 2025 to Mar 30, 2026

Full history · 80 changes

HNW RAUM · $86.7M to $89.8M
Mar 28, 2025 to Mar 30, 2026
Individual RAUM · $31.0M to $36.5M
Mar 28, 2025 to Mar 30, 2026
RAUM · $121M to $132M
Mar 28, 2025 to Mar 30, 2026
Accounts · 143 to 137
Mar 28, 2024 to Mar 28, 2025
Advisory employees · 1 to 2
Mar 28, 2024 to Mar 28, 2025
HNW clients · 35 to 38
Mar 28, 2024 to Mar 28, 2025
Individual clients · 107 to 98
Mar 28, 2024 to Mar 28, 2025
Employees · 3 to 4
Mar 28, 2024 to Mar 28, 2025
Financial planning clients · unset to
Mar 28, 2024 to Mar 28, 2025
HQ city · unset to
Mar 28, 2024 to Mar 28, 2025
HQ state · unset to
Mar 28, 2024 to Mar 28, 2025
Discretionary RAUM · $108M to $121M
Mar 28, 2024 to Mar 28, 2025
HNW RAUM · $74.0M to $86.7M
Mar 28, 2024 to Mar 28, 2025
Individual RAUM · $31.4M to $31.0M
Mar 28, 2024 to Mar 28, 2025
RAUM · $108M to $121M
Mar 28, 2024 to Mar 28, 2025
Accounts · 147 to 143
Mar 28, 2023 to Mar 28, 2024
HNW clients · 34 to 35
Mar 28, 2023 to Mar 28, 2024
Individual clients · 112 to 107
Mar 28, 2023 to Mar 28, 2024
Discretionary RAUM · $97.5M to $108M
Mar 28, 2023 to Mar 28, 2024
HNW RAUM · $79.2M to $74.0M
Mar 28, 2023 to Mar 28, 2024
Individual RAUM · $15.6M to $31.4M
Mar 28, 2023 to Mar 28, 2024
RAUM · $97.5M to $108M
Mar 28, 2023 to Mar 28, 2024
Accounts · 151 to 147
Mar 28, 2022 to Mar 28, 2023
HNW clients · 40 to 34
Mar 28, 2022 to Mar 28, 2023
Individual clients · 110 to 112
Mar 28, 2022 to Mar 28, 2023
Discretionary RAUM · $108M to $97.5M
Mar 28, 2022 to Mar 28, 2023
HNW RAUM · $76.9M to $79.2M
Mar 28, 2022 to Mar 28, 2023
Individual RAUM · $28.2M to $15.6M
Mar 28, 2022 to Mar 28, 2023
RAUM · $108M to $97.5M
Mar 28, 2022 to Mar 28, 2023
Accounts · 147 to 151
Mar 31, 2021 to Mar 28, 2022
HNW clients · 28 to 40
Mar 31, 2021 to Mar 28, 2022
Individual clients · 118 to 110
Mar 31, 2021 to Mar 28, 2022
Discretionary RAUM · $87.6M to $108M
Mar 31, 2021 to Mar 28, 2022
HNW RAUM · $56.8M to $76.9M
Mar 31, 2021 to Mar 28, 2022
Individual RAUM · $28.3M to $28.2M
Mar 31, 2021 to Mar 28, 2022
RAUM · $87.6M to $108M
Mar 31, 2021 to Mar 28, 2022
Accounts · 152 to 147
Jun 29, 2020 to Mar 31, 2021
HNW clients · 31 to 28
Jun 29, 2020 to Mar 31, 2021
Individual clients · 120 to 118
Jun 29, 2020 to Mar 31, 2021
Discretionary RAUM · $85.9M to $87.6M
Jun 29, 2020 to Mar 31, 2021
HNW RAUM · $54.6M to $56.8M
Jun 29, 2020 to Mar 31, 2021
Individual RAUM · $28.4M to $28.3M
Jun 29, 2020 to Mar 31, 2021
RAUM · $85.9M to $87.6M
Jun 29, 2020 to Mar 31, 2021
Accounts · 158 to 152
Mar 27, 2019 to Mar 27, 2020
HNW clients · 25 to 31
Mar 27, 2019 to Mar 27, 2020
Individual clients · 132 to 120
Mar 27, 2019 to Mar 27, 2020
Discretionary RAUM · $69.3M to $85.9M
Mar 27, 2019 to Mar 27, 2020
HNW RAUM · $37.7M to $54.6M
Mar 27, 2019 to Mar 27, 2020
Individual RAUM · $29.3M to $28.4M
Mar 27, 2019 to Mar 27, 2020
RAUM · $69.3M to $85.9M
Mar 27, 2019 to Mar 27, 2020
Accounts · 157 to 158
Mar 30, 2018 to Mar 27, 2019
Corporate clients · unset to 1.0
Mar 30, 2018 to Mar 27, 2019
HNW clients · 27 to 25
Mar 30, 2018 to Mar 27, 2019
Individual clients · 129 to 132
Mar 30, 2018 to Mar 27, 2019
Discretionary RAUM · $74.8M to $69.3M
Mar 30, 2018 to Mar 27, 2019
HNW RAUM · $47.5M to $37.7M
Mar 30, 2018 to Mar 27, 2019
Individual RAUM · $24.5M to $29.3M
Mar 30, 2018 to Mar 27, 2019
RAUM · $74.8M to $69.3M
Mar 30, 2018 to Mar 27, 2019
Accounts · 164 to 157
Mar 31, 2017 to Mar 30, 2018
HNW clients · unset to 27.0
Mar 31, 2017 to Mar 30, 2018
Individual clients · unset to 129.0
Mar 31, 2017 to Mar 30, 2018
Other offices · unset to 0.0
Mar 31, 2017 to Mar 30, 2018
Discretionary RAUM · $64.2M to $74.8M
Mar 31, 2017 to Mar 30, 2018
HNW RAUM · unset to 47474306.0
Mar 31, 2017 to Mar 30, 2018
Individual RAUM · unset to 24506619.0
Mar 31, 2017 to Mar 30, 2018
RAUM · $64.2M to $74.8M
Mar 31, 2017 to Mar 30, 2018
Accounts · 152 to 164
Mar 30, 2016 to Mar 31, 2017
Discretionary RAUM · $57.0M to $64.2M
Mar 30, 2016 to Mar 31, 2017
RAUM · $57.0M to $64.2M
Mar 30, 2016 to Mar 31, 2017
Accounts · 141 to 152
Mar 31, 2015 to Mar 30, 2016
Discretionary RAUM · $57.2M to $57.0M
Mar 31, 2015 to Mar 30, 2016
RAUM · $57.2M to $57.0M
Mar 31, 2015 to Mar 30, 2016
Accounts · 130 to 141
Mar 28, 2014 to Mar 31, 2015
Employees · 2 to 3
Mar 28, 2014 to Mar 31, 2015
Discretionary RAUM · $48.8M to $57.2M
Mar 28, 2014 to Mar 31, 2015

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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 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: $65.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026