DFX Intelligence

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P•••• F•••••••• A•••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $57.0M of regulatory assets across 1 registered advisors.

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

As of 2026-02-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $57.0M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +8.1%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-02-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 10 Feb 2026, RAUM $52.7M to $57M (+8.1%) on the Form ADV filed 10 Feb 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 131943 · SEC 801-79798 · 18 filingsShow

CRD 131943SEC 801-79798First filing on the tape May 19, 2014, latest Feb 10, 2026SEC status approved since Jun 3, 2014IAPD

RAUM

$57.0M

reported, Item 5.F

Discretionary

97%

of RAUM

Private clients

100%

$57.0M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$57.0M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM +9.3% a year over three years · the tape starts May 19, 2014

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

RAUM$57.0M as of Feb 10, 2026

Mar 2, 2015$28.2M then

HNW client RAUM$35.7M as of Feb 10, 2026

Mar 26, 2018$15.7M then

State-registered IARs (5.B.3)1 as of Feb 10, 2026

Mar 2, 20150 then

Employees (5.A)1 as of Feb 10, 2026

Mar 2, 20152 then

Private funds: no history

RAUM +8.1% over the last fiscal year+9.3% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Feb 10, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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: $57.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 36derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.5MderivedHNW RAUM over HNW clients
Average account: $542,570derivedRAUM over accounts (5.F.2.f)
Discretionary: 97%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: +8.1%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +5.9%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, otherreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

63% high-net-worth individuals, 37% individuals

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

High-net-worth individuals$35.7M63%
Individuals$21.3M37%

Individual clients: 28reported
HNW clients: 8reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 105reported
Financial planning clients: 1-10reported
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
J••• B••••••• D•••••••	Staten Island, Ny	Jun 6, 2021	22 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D•••••••• J•••• B••••••• · Owner, Chief Compliance Officercontrol
since 09/2019 · owns 75% or more

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

custody status changedChange between filings · filing Feb 10, 2026
custody of client assets (Item 9.A): yes on the filing of 2025-02-24, no on the filing of 2026-02-10
peers: independent wealth managers, under $100M (707)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 104 to 105
Feb 24, 2025 to Feb 10, 2026
HNW clients · 7 to 8
Feb 24, 2025 to Feb 10, 2026
Individual clients · 27 to 28
Feb 24, 2025 to Feb 10, 2026
Assets in custody · 5400000.0 to unset
Feb 24, 2025 to Feb 10, 2026
Custody of client assets · true to false
Feb 24, 2025 to Feb 10, 2026

Full history · 80 changes

Discretionary RAUM · $51.4M to $55.5M
Feb 24, 2025 to Feb 10, 2026
HNW RAUM · $28.8M to $35.7M
Feb 24, 2025 to Feb 10, 2026
Individual RAUM · $23.9M to $21.3M
Feb 24, 2025 to Feb 10, 2026
Non-discretionary RAUM · $1.4M to $1.5M
Feb 24, 2025 to Feb 10, 2026
RAUM · $52.7M to $57.0M
Feb 24, 2025 to Feb 10, 2026
Accounts · 99 to 104
Feb 16, 2024 to Feb 24, 2025
Individual clients · 26 to 27
Feb 16, 2024 to Feb 24, 2025
Assets in custody · unset to 5400000.0
Feb 16, 2024 to Feb 24, 2025
Custody of client assets · false to true
Feb 16, 2024 to Feb 24, 2025
Financial planning clients · 1-10 to 1-10
Feb 16, 2024 to Feb 24, 2025
HQ city · unset to
Feb 16, 2024 to Feb 24, 2025
HQ state · unset to
Feb 16, 2024 to Feb 24, 2025
Discretionary RAUM · $48.3M to $51.4M
Feb 16, 2024 to Feb 24, 2025
HNW RAUM · $23.6M to $28.8M
Feb 16, 2024 to Feb 24, 2025
Individual RAUM · $26.0M to $23.9M
Feb 16, 2024 to Feb 24, 2025
Non-discretionary RAUM · $1.3M to $1.4M
Feb 16, 2024 to Feb 24, 2025
RAUM · $49.6M to $52.7M
Feb 16, 2024 to Feb 24, 2025
Accounts · 94 to 99
Feb 28, 2023 to Feb 16, 2024
Discretionary RAUM · $42.4M to $48.3M
Feb 28, 2023 to Feb 16, 2024
HNW RAUM · $26.0M to $23.6M
Feb 28, 2023 to Feb 16, 2024
Individual RAUM · $17.6M to $26.0M
Feb 28, 2023 to Feb 16, 2024
Non-discretionary RAUM · $1.1M to $1.3M
Feb 28, 2023 to Feb 16, 2024
RAUM · $43.6M to $49.6M
Feb 28, 2023 to Feb 16, 2024
Accounts · 83 to 94
Apr 7, 2022 to Feb 28, 2023
Individual clients · 24 to 26
Apr 7, 2022 to Feb 28, 2023
Discretionary RAUM · $47.7M to $42.4M
Apr 7, 2022 to Feb 28, 2023
HNW RAUM · $20.6M to $26.0M
Apr 7, 2022 to Feb 28, 2023
Individual RAUM · $28.6M to $17.6M
Apr 7, 2022 to Feb 28, 2023
Non-discretionary RAUM · $1.5M to $1.1M
Apr 7, 2022 to Feb 28, 2023
RAUM · $49.2M to $43.6M
Apr 7, 2022 to Feb 28, 2023
HQ city · STATEN ISLAND to unset
Feb 16, 2022 to Apr 7, 2022
HQ state · NY to unset
Feb 16, 2022 to Apr 7, 2022
Accounts · 70 to 83
Feb 11, 2021 to Feb 16, 2022
Advisory employees · 2 to 1
Feb 11, 2021 to Feb 16, 2022
HNW clients · 5 to 7
Feb 11, 2021 to Feb 16, 2022
Individual clients · 25 to 24
Feb 11, 2021 to Feb 16, 2022
Employees · 2 to 1
Feb 11, 2021 to Feb 16, 2022
State-registered IARs · 0 to 1
Feb 11, 2021 to Feb 16, 2022
Discretionary RAUM · $32.3M to $47.7M
Feb 11, 2021 to Feb 16, 2022
HNW RAUM · $19.9M to $20.6M
Feb 11, 2021 to Feb 16, 2022
Individual RAUM · $13.1M to $28.6M
Feb 11, 2021 to Feb 16, 2022
Non-discretionary RAUM · $659,772 to $1.5M
Feb 11, 2021 to Feb 16, 2022
RAUM · $33.0M to $49.2M
Feb 11, 2021 to Feb 16, 2022
Accounts · 63 to 70
Jul 10, 2020 to Feb 11, 2021
Advisory employees · 1 to 2
Jul 10, 2020 to Feb 11, 2021
Individual clients · 24 to 25
Jul 10, 2020 to Feb 11, 2021
Assets in custody · 5368001.0 to unset
Jul 10, 2020 to Feb 11, 2021
Custody of client assets · true to false
Jul 10, 2020 to Feb 11, 2021
Financial planning clients · 0 to 1-10
Jul 10, 2020 to Feb 11, 2021
Discretionary RAUM · $30.2M to $32.3M
Jul 10, 2020 to Feb 11, 2021
HNW RAUM · $18.0M to $19.9M
Jul 10, 2020 to Feb 11, 2021
Individual RAUM · $13.3M to $13.1M
Jul 10, 2020 to Feb 11, 2021
Non-discretionary RAUM · $1.1M to $659,772
Jul 10, 2020 to Feb 11, 2021
RAUM · $31.2M to $33.0M
Jul 10, 2020 to Feb 11, 2021
Accounts · 62 to 63
Sep 18, 2019 to Feb 10, 2020
Individual clients · 26 to 24
Sep 18, 2019 to Feb 10, 2020
Assets in custody · $5.7M to $5.4M
Sep 18, 2019 to Feb 10, 2020
Employees · 1 to 2
Sep 18, 2019 to Feb 10, 2020
Discretionary RAUM · $28.5M to $30.2M
Sep 18, 2019 to Feb 10, 2020
HNW RAUM · $17.1M to $18.0M
Sep 18, 2019 to Feb 10, 2020
Individual RAUM · $12.4M to $13.3M
Sep 18, 2019 to Feb 10, 2020
Non-discretionary RAUM · $925,702 to $1.1M
Sep 18, 2019 to Feb 10, 2020
RAUM · $29.4M to $31.2M
Sep 18, 2019 to Feb 10, 2020
Employees · 2 to 1
Mar 18, 2019 to Sep 18, 2019
Accounts · 63 to 62
Mar 26, 2018 to Mar 18, 2019
Assets in custody · $3.6M to $5.7M
Mar 26, 2018 to Mar 18, 2019
Discretionary RAUM · $28.5M to $28.5M
Mar 26, 2018 to Mar 18, 2019
HNW RAUM · $15.7M to $17.1M
Mar 26, 2018 to Mar 18, 2019
Individual RAUM · $13.8M to $12.4M
Mar 26, 2018 to Mar 18, 2019
Non-discretionary RAUM · $980,876 to $925,702
Mar 26, 2018 to Mar 18, 2019
RAUM · $29.5M to $29.4M
Mar 26, 2018 to Mar 18, 2019
Accounts · 62 to 63
Apr 28, 2017 to Mar 26, 2018
Charity clients · unset to 0.0
Apr 28, 2017 to Mar 26, 2018
Corporate clients · unset to 0.0
Apr 28, 2017 to Mar 26, 2018
HNW clients · unset to 5.0
Apr 28, 2017 to Mar 26, 2018

Signals

3 dated events

••• Locked
Sep 18, 2019 · Control person joined · fact
••• Locked
Sep 18, 2019 · Control person left · inference
••• Locked
May 19, 2014 · 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
Website: ••• Lockedreportedpublic record, Form ADV, Feb 10, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 10, 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: $57.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026