DFX Intelligence

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I••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $128M of regulatory assets across 1 registered advisors.

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

As of 2026-01-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $128M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: -1.9%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-01-27 · 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 127898 · SEC 801-123744 · 8 filingsShow

CRD 127898SEC 801-123744First filing on the tape Mar 18, 2022, latest Jan 27, 2026SEC status approved since Apr 19, 2022IAPD

RAUM

$128M

reported, Item 5.F

Discretionary

89%

of RAUM

Private clients

100%

$128M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$128M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM +8.4% a year over three years · the tape starts Mar 18, 2022

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

RAUM$128M as of Jan 27, 2026

Mar 3, 2023$101M then

HNW client RAUM$124M as of Jan 27, 2026

Mar 3, 2023$88.3M then

State-registered IARs (5.B.3)1 as of Jan 27, 2026

Mar 3, 20231 then

Employees (5.A)1 as of Jan 27, 2026

Mar 3, 20231 then

Private funds: no history

RAUM -1.9% over the last fiscal year+8.4% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Jan 27, 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: $128MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 55derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.3MderivedHNW RAUM over HNW clients
Average account: $725,290derivedRAUM over accounts (5.F.2.f)
Discretionary: 89%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: -1.9%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +10%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, 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

97% high-net-worth individuals, 3.5% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$124M97%
Individuals$4.5M3.5%

Individual clients: 18reported
HNW clients: 37reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 177reported
Financial planning clients: 26-50reported
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
N••• E••• G•••••••Certified Financial Planner	South Orange, Nj	Apr 13, 2004	36 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

G•••••••• N•••• E••• · Member, Ccocontrol
since 01/2014 · owns 75% or more

Related persons

Schedule D 7.A

G• A••••••••• L••
y
N••• G•••••••
real estatey

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 165 to 177
Jan 14, 2025 to Jan 27, 2026
HNW clients · 38 to 37
Jan 14, 2025 to Jan 27, 2026
Individual clients · 12 to 18
Jan 14, 2025 to Jan 27, 2026
Discretionary RAUM · $124M to $114M
Jan 14, 2025 to Jan 27, 2026
HNW RAUM · $127M to $124M
Jan 14, 2025 to Jan 27, 2026

Full history · 40 changes

Individual RAUM · $3.8M to $4.5M
Jan 14, 2025 to Jan 27, 2026
Non-discretionary RAUM · $6.4M to $14.3M
Jan 14, 2025 to Jan 27, 2026
RAUM · $131M to $128M
Jan 14, 2025 to Jan 27, 2026
Accounts · 160 to 165
Jun 21, 2024 to Jan 14, 2025
Corporate clients · 1 to 0
Jun 21, 2024 to Jan 14, 2025
HNW clients · 30 to 38
Jun 21, 2024 to Jan 14, 2025
Individual clients · 15 to 12
Jun 21, 2024 to Jan 14, 2025
Financial planning clients · 26-50 to 26-50
Jun 21, 2024 to Jan 14, 2025
HQ city · unset to
Jun 21, 2024 to Jan 14, 2025
HQ state · unset to
Jun 21, 2024 to Jan 14, 2025
Discretionary RAUM · $111M to $124M
Jun 21, 2024 to Jan 14, 2025
HNW RAUM · $113M to $127M
Jun 21, 2024 to Jan 14, 2025
Individual RAUM · $4.5M to $3.8M
Jun 21, 2024 to Jan 14, 2025
Non-discretionary RAUM · $8.2M to $6.4M
Jun 21, 2024 to Jan 14, 2025
RAUM · $119M to $131M
Jun 21, 2024 to Jan 14, 2025
Accounts · 158 to 160
Mar 3, 2023 to Feb 9, 2024
Corporate clients · 0 to 1
Mar 3, 2023 to Feb 9, 2024
HNW clients · 31 to 30
Mar 3, 2023 to Feb 9, 2024
Individual clients · 14 to 15
Mar 3, 2023 to Feb 9, 2024
Discretionary RAUM · $92.9M to $111M
Mar 3, 2023 to Feb 9, 2024
HNW RAUM · $88.3M to $113M
Mar 3, 2023 to Feb 9, 2024
Individual RAUM · $10.9M to $4.5M
Mar 3, 2023 to Feb 9, 2024
Non-discretionary RAUM · $7.9M to $8.2M
Mar 3, 2023 to Feb 9, 2024
RAUM · $101M to $119M
Mar 3, 2023 to Feb 9, 2024
Accounts · 147 to 158
Mar 18, 2022 to Mar 3, 2023
HNW clients · 25 to 31
Mar 18, 2022 to Mar 3, 2023
Individual clients · 21 to 14
Mar 18, 2022 to Mar 3, 2023
Financial planning clients · 1-10 to 26-50
Mar 18, 2022 to Mar 3, 2023
Discretionary RAUM · $107M to $92.9M
Mar 18, 2022 to Mar 3, 2023
HNW RAUM · $90.7M to $88.3M
Mar 18, 2022 to Mar 3, 2023
Individual RAUM · $19.2M to $10.9M
Mar 18, 2022 to Mar 3, 2023
Non-discretionary RAUM · $2.6M to $7.9M
Mar 18, 2022 to Mar 3, 2023
Pension RAUM · unset to 0.0
Mar 18, 2022 to Mar 3, 2023
Pooled vehicle RAUM · unset to 0.0
Mar 18, 2022 to Mar 3, 2023
RAUM · $110M to $101M
Mar 18, 2022 to Mar 3, 2023

Signals

1 dated events

••• Locked
Mar 18, 2022 · 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
Website: ••• Lockedreportedpublic record, Form ADV, Jan 27, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jan 27, 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: $128Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026