DFX Intelligence
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S••• F•••••••• M••••••••• L••
Independent wealth manager, reporting $97.6M 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
- $97.6M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- -1.1%
- Private clients
- 100% of RAUM, $97.6M
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
- Contact points 5
Every filed figure, and the identifiersCRD 131068 · SEC 801-63360 · 37 filingsShowHide
CRD 131068SEC 801-63360First filing on the tape Feb 3, 2012, latest Mar 28, 2026SEC status approved since Jul 23, 2004IAPD
RAUM
$97.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$97.6M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$32.5M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$97.6M as of Mar 28, 2026
Mar 5, 2012$126M then
HNW client RAUM$92.4M as of Mar 28, 2026
Feb 16, 2018$44.7M then
State-registered IARs (5.B.3)3 as of Mar 28, 2026
Mar 18, 20130 then
Employees (5.A)4 as of Mar 28, 2026
Mar 18, 20133 then
Private funds1 as of Feb 28, 2020
Mar 5, 20121 then
RAUM -1.1% over the last fiscal year+0.1% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 28, 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
- $32.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $691,974derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $22,218, 1 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$92.4M95%
- Individuals$5.2M5.3%
- Individual clients
- 15reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 141reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $22,218 for 1 clientsreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| I•••• C•••••••• H•••• | Watermill, Ny | Jun 15, 2016 | 13 y | 1 |
| M•••••• S••• | Watermill, Ny | Mar 23, 2021 | 29 y | 0 |
| M••• S••• | Watermill, Ny | Mar 30, 2021 | 28 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
- M••• S••• from H••• S••••••••• •••• I•••Mar 30, 2021 · Other
- I•••• C•••••••• H•••• from B••••• M•••• M•••••••••Jun 15, 2016 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••• F••• O••• L••no longer reported | Hedge Fund | $77.1M | 57 | Feb 3, 2012 |
Owners and control persons
Schedule A and B, latest filing
- S•••• M••• · Chief Compliance Officercontrolsince 03/2013 · owns less than 5%
- S•••• M•••••• · Managing Membercontrolsince 03/2004 · 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 |
|---|---|---|---|---|---|
| Watermill, Ny | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 148 to 141Mar 12, 2025 to Mar 28, 2026
- HNW clients · 36 to 35Mar 12, 2025 to Mar 28, 2026
- Individual clients · 13 to 15Mar 12, 2025 to Mar 28, 2026
- Assets in custody · $87,297 to $22,218Mar 12, 2025 to Mar 28, 2026
- Discretionary RAUM · $98.6M to $97.6MMar 12, 2025 to Mar 28, 2026
- HNW RAUM · $95.1M to $92.4MMar 12, 2025 to Mar 28, 2026
- Individual RAUM · $3.5M to $5.2MMar 12, 2025 to Mar 28, 2026
- RAUM · $98.6M to $97.6MMar 12, 2025 to Mar 28, 2026
- Accounts · 155 to 148Mar 17, 2024 to Mar 12, 2025
- HNW clients · 38 to 36Mar 17, 2024 to Mar 12, 2025
- Individual clients · 18 to 13Mar 17, 2024 to Mar 12, 2025
- Assets in custody · $156,753 to $87,297Mar 17, 2024 to Mar 12, 2025
- Financial planning clients · unset to Mar 17, 2024 to Mar 12, 2025
- HQ city · unset to Mar 17, 2024 to Mar 12, 2025
- HQ state · unset to Mar 17, 2024 to Mar 12, 2025
- Discretionary RAUM · $89.1M to $98.6MMar 17, 2024 to Mar 12, 2025
- HNW RAUM · $84.5M to $95.1MMar 17, 2024 to Mar 12, 2025
- Individual RAUM · $4.6M to $3.5MMar 17, 2024 to Mar 12, 2025
- RAUM · $89.1M to $98.6MMar 17, 2024 to Mar 12, 2025
- Accounts · 177 to 155Mar 23, 2023 to Mar 17, 2024
- HNW clients · 46 to 38Mar 23, 2023 to Mar 17, 2024
- Individual clients · 20 to 18Mar 23, 2023 to Mar 17, 2024
- Assets in custody · $2.8M to $156,753Mar 23, 2023 to Mar 17, 2024
- Other offices · 1 to 0Mar 23, 2023 to Mar 17, 2024
- Discretionary RAUM · $97.4M to $89.1MMar 23, 2023 to Mar 17, 2024
- HNW RAUM · $91.7M to $84.5MMar 23, 2023 to Mar 17, 2024
- Individual RAUM · $5.7M to $4.6MMar 23, 2023 to Mar 17, 2024
- RAUM · $97.4M to $89.1MMar 23, 2023 to Mar 17, 2024
- Accounts · 191 to 177Dec 13, 2022 to Mar 9, 2023
- HNW clients · 68 to 46Dec 13, 2022 to Mar 9, 2023
- Individual clients · 24 to 20Dec 13, 2022 to Mar 9, 2023
- Assets in custody · unset to 2756919.0Dec 13, 2022 to Mar 9, 2023
- Custody of client assets · false to trueDec 13, 2022 to Mar 9, 2023
- Discretionary RAUM · $114M to $97.4MDec 13, 2022 to Mar 9, 2023
- HNW RAUM · $99.5M to $91.7MDec 13, 2022 to Mar 9, 2023
- Individual RAUM · $7.3M to $5.7MDec 13, 2022 to Mar 9, 2023
- RAUM · $114M to $97.4MDec 13, 2022 to Mar 9, 2023
- Accounts · 188 to 191Mar 4, 2021 to Mar 15, 2022
- HNW clients · 55 to 68Mar 4, 2021 to Mar 15, 2022
- Individual clients · 21 to 24Mar 4, 2021 to Mar 15, 2022
Signals
1 dated events
- ••• LockedJan 2, 2014 · Succession (Item 4) · 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
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 28, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 28, 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
- $32.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026