DFX Intelligence
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W••••••••• L••
Independent wealth manager, reporting $52.4M of regulatory assets across 1 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
- $52.4M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +9.0%
- Private clients
- 95% of RAUM, $50.0M
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
- discretionary share of RAUM 0Peer median 1
- Contact points 2
Every filed figure, and the identifiersCRD 127907 · SEC 801-63064 · 22 filingsShowHide
CRD 127907SEC 801-63064First filing on the tape Apr 4, 2012, latest Apr 1, 2026SEC status approved since Apr 23, 2004IAPD
RAUM
$52.4M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
95%
$50.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$52.4M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$52.4M as of Apr 1, 2026
Apr 4, 2012$30.4M then
HNW client RAUM$714,391 as of Apr 1, 2019
Apr 2, 2018$1.6M then
State-registered IARs (5.B.3)1 as of Apr 1, 2026
Apr 4, 20120 then
Employees (5.A)2 as of Apr 1, 2026
Apr 1, 20133 then
Private funds: no history
RAUM +9.0% over the last fiscal year+10% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $52.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $166,405derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- 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
- Individuals$50.0M95%
- Pension and profit-sharing plans$2.4M4.6%
- Individual clients
- 92reported
- HNW clients
- n/areported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 315reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••• J•• S••••••Certified Financial Planner, Chartered Financial Consultant | Gloversville, Ny | Feb 3, 2021 | 43 y | 1 |
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
- N••• J•• S•••••• from L•••••• I•••••••••Feb 3, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• N•••• J•• · Managing Member & Chief Compliance Officercontrolsince 07/2003 · owns 75% or more
- S••••••• R••••• M••• · Managercontrolsince 07/2003 · owns less than 5%
Related persons
Schedule D 7.A
- N••• J•• S••••••investment adviserreal estatey
Offices
Schedule D 1.F, the 25 largest
- Wilton, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Apr 1, 2026discretionary share of RAUM of 0% against a peer median of 100% (311 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, under $100M (311) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 313 to 315Apr 1, 2025 to Apr 1, 2026
- Individual clients · 94 to 92Apr 1, 2025 to Apr 1, 2026
- Individual RAUM · $46.1M to $50.0MApr 1, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $48.1M to $52.4MApr 1, 2025 to Apr 1, 2026
- Pension RAUM · $2.0M to $2.4MApr 1, 2025 to Apr 1, 2026
- RAUM · $48.1M to $52.4MApr 1, 2025 to Apr 1, 2026
- Accounts · 297 to 313Mar 29, 2024 to Apr 1, 2025
- Employees · 3 to 2Mar 29, 2024 to Apr 1, 2025
- Financial planning clients · 1-10 to 1-10Mar 29, 2024 to Apr 1, 2025
- HQ city · unset to Mar 29, 2024 to Apr 1, 2025
- HQ state · unset to Mar 29, 2024 to Apr 1, 2025
- Individual RAUM · $42.6M to $46.1MMar 29, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $44.3M to $48.1MMar 29, 2024 to Apr 1, 2025
- Pension RAUM · $1.7M to $2.0MMar 29, 2024 to Apr 1, 2025
- RAUM · $44.3M to $48.1MMar 29, 2024 to Apr 1, 2025
- Accounts · 292 to 297Mar 31, 2023 to Mar 29, 2024
- Individual clients · 99 to 94Mar 31, 2023 to Mar 29, 2024
- Pension plan clients · 4 to 3Mar 31, 2023 to Mar 29, 2024
- Individual RAUM · $37.1M to $42.6MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $38.9M to $44.3MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $1.8M to $1.7MMar 31, 2023 to Mar 29, 2024
- RAUM · $38.9M to $44.3MMar 31, 2023 to Mar 29, 2024
- Accounts · 271 to 292Mar 31, 2022 to Mar 31, 2023
- Individual clients · 98 to 99Mar 31, 2022 to Mar 31, 2023
- Individual RAUM · $44.0M to $37.1MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $46.0M to $38.9MMar 31, 2022 to Mar 31, 2023
- Pension RAUM · $2.0M to $1.8MMar 31, 2022 to Mar 31, 2023
- RAUM · $46.0M to $38.9MMar 31, 2022 to Mar 31, 2023
- Accounts · 288 to 271Mar 31, 2021 to Mar 31, 2022
- Individual clients · 104 to 98Mar 31, 2021 to Mar 31, 2022
- Employees · 2 to 3Mar 31, 2021 to Mar 31, 2022
- Insurance-licensed employees · 1 to 0Mar 31, 2021 to Mar 31, 2022
- Individual RAUM · $39.8M to $44.0MMar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $41.5M to $46.0MMar 31, 2021 to Mar 31, 2022
- Pension RAUM · $1.7M to $2.0MMar 31, 2021 to Mar 31, 2022
- RAUM · $41.5M to $46.0MMar 31, 2021 to Mar 31, 2022
- Accounts · 290 to 288Jul 1, 2020 to Mar 31, 2021
- Individual clients · 124 to 104Jul 1, 2020 to Mar 31, 2021
- Financial planning clients · 11-25 to 1-10Jul 1, 2020 to Mar 31, 2021
- Individual RAUM · $34.2M to $39.8MJul 1, 2020 to Mar 31, 2021
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, Apr 1, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Apr 1, 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
- $52.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026