DFX Intelligence

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I••••••••• C••••••• I•••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $44.4M of regulatory assets across 1 registered advisors.

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

As of 2026-02-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $44.4M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +20%
Private clients: 82%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-02-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Feb 2026, RAUM $36.9M to $44.4M (+20.3%) on the Form ADV filed 27 Feb 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 132253 · SEC 801-78014 · 20 filingsShow

CRD 132253SEC 801-78014First filing on the tape Apr 25, 2013, latest Feb 27, 2026SEC status approved since May 3, 2013IAPD

RAUM

$44.4M

reported, Item 5.F

Discretionary

82%

of RAUM

Private clients

82%

$36.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$44.4M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM +21% a year over three years · the tape starts Apr 25, 2013

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

RAUM$44.4M as of Feb 27, 2026

Mar 20, 2014$14.2M then

HNW client RAUM$31.2M as of Feb 27, 2026

Mar 28, 2018$13.1M then

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

Mar 20, 20141 then

Employees (5.A)5 as of Feb 27, 2026

Mar 20, 20141 then

Private funds: no history

RAUM +20% over the last fiscal year+21% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Feb 27, 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: $44.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 30derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.8MderivedHNW RAUM over HNW clients
Average account: $662,835derivedRAUM over accounts (5.F.2.f)
Discretionary: 82%derivedof RAUM
Institutional: 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 5.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +20%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +20%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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

70% high-net-worth individuals, 18% pension and profit-sharing plans, and 1 other client type

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

High-net-worth individuals$31.2M70%
Pension and profit-sharing plans$8.0M18%
Individuals$5.2M12%

Individual clients: 13reported
HNW clients: 17reported
Pension plan clients: 1reported
Charitable clients: 0reported
Accounts: 67reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 82% private clients, 0% pooled funds, 18% 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
W•••••• G••• M•••••••Chartered Financial Analyst	Bobcaygeon, O••••••	Jun 10, 2021	22 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M•••••••• W••••••• G••• · President/Principalcontrol
since 07/2004 · owns less than 5%
M•••••••• W••••••• G••• · Ownercontrol
since 08/2014 · owns 75% or more of I••••••••• C•••••• G•••• L•••

Entity owners

I••••••••• C•••••• L•• · Owner
direct · owns 75% or more
I••••••••• C•••••• G•••• L••• · Owner
indirect · owns 75% or more of I••••••••• C•••••• L•••

Related persons

Schedule D 7.A

I••••••••• C•••••• L•••
investment advisery
W•••••• G••• M••••••••• M•••••• I• O••• C••••• A•• R••••••••• W••• T•• O•••••• S••••••••• C•••••••••
investment advisery

Offices

Schedule D 1.F, the 25 largest

Katonah, NY1 employee

What changed

consecutive filings, newest first

Accounts · 64 to 67
Apr 24, 2025 to Feb 27, 2026
HNW clients · 14 to 17
Apr 24, 2025 to Feb 27, 2026
Individual clients · 11 to 13
Apr 24, 2025 to Feb 27, 2026
Discretionary RAUM · $30.5M to $36.4M
Apr 24, 2025 to Feb 27, 2026
HNW RAUM · $26.1M to $31.2M
Apr 24, 2025 to Feb 27, 2026

Full history · 80 changes

Individual RAUM · $4.4M to $5.2M
Apr 24, 2025 to Feb 27, 2026
Non-discretionary RAUM · $6.5M to $8.0M
Apr 24, 2025 to Feb 27, 2026
Pension RAUM · $6.5M to $8.0M
Apr 24, 2025 to Feb 27, 2026
RAUM · $36.9M to $44.4M
Apr 24, 2025 to Feb 27, 2026
Accounts · 65 to 64
Feb 23, 2024 to Apr 24, 2025
Individual clients · 9 to 11
Feb 23, 2024 to Apr 24, 2025
Pension plan clients · unset to 1.0
Feb 23, 2024 to Apr 24, 2025
Employees · 1 to 5
Feb 23, 2024 to Apr 24, 2025
Financial planning clients · 1-10 to 1-10
Feb 23, 2024 to Apr 24, 2025
HQ city · unset to
Feb 23, 2024 to Apr 24, 2025
HQ state · unset to
Feb 23, 2024 to Apr 24, 2025
Discretionary RAUM · $28.4M to $30.5M
Feb 23, 2024 to Apr 24, 2025
HNW RAUM · $23.9M to $26.1M
Feb 23, 2024 to Apr 24, 2025
Individual RAUM · $3.7M to $4.4M
Feb 23, 2024 to Apr 24, 2025
Non-discretionary RAUM · $5.8M to $6.5M
Feb 23, 2024 to Apr 24, 2025
Pension RAUM · $6.6M to $6.5M
Feb 23, 2024 to Apr 24, 2025
RAUM · $34.3M to $36.9M
Feb 23, 2024 to Apr 24, 2025
Accounts · 61 to 65
Oct 12, 2023 to Feb 23, 2024
Individual clients · 8 to 9
Oct 12, 2023 to Feb 23, 2024
Discretionary RAUM · $19.8M to $28.4M
Oct 12, 2023 to Feb 23, 2024
HNW RAUM · $17.7M to $23.9M
Oct 12, 2023 to Feb 23, 2024
Individual RAUM · $1.5M to $3.7M
Oct 12, 2023 to Feb 23, 2024
Non-discretionary RAUM · $5.0M to $5.8M
Oct 12, 2023 to Feb 23, 2024
Pension RAUM · $5.6M to $6.6M
Oct 12, 2023 to Feb 23, 2024
RAUM · $24.8M to $34.3M
Oct 12, 2023 to Feb 23, 2024
Discretionary RAUM · $23.4M to $19.8M
Jan 5, 2023 to Feb 23, 2023
HNW RAUM · $20.5M to $17.7M
Jan 5, 2023 to Feb 23, 2023
Individual RAUM · $2.3M to $1.5M
Jan 5, 2023 to Feb 23, 2023
Non-discretionary RAUM · $6.3M to $5.0M
Jan 5, 2023 to Feb 23, 2023
Pension RAUM · $6.9M to $5.6M
Jan 5, 2023 to Feb 23, 2023
RAUM · $29.7M to $24.8M
Jan 5, 2023 to Feb 23, 2023
Accounts · 60 to 61
Feb 26, 2021 to Feb 23, 2022
HNW clients · 13 to 14
Feb 26, 2021 to Feb 23, 2022
Individual clients · 9 to 8
Feb 26, 2021 to Feb 23, 2022
Discretionary RAUM · $20.4M to $23.4M
Feb 26, 2021 to Feb 23, 2022
HNW RAUM · $15.8M to $20.5M
Feb 26, 2021 to Feb 23, 2022
Individual RAUM · $4.1M to $2.3M
Feb 26, 2021 to Feb 23, 2022
Non-discretionary RAUM · $5.4M to $6.3M
Feb 26, 2021 to Feb 23, 2022
Pension RAUM · $5.9M to $6.9M
Feb 26, 2021 to Feb 23, 2022
RAUM · $25.7M to $29.7M
Feb 26, 2021 to Feb 23, 2022
Accounts · 53 to 60
Jun 15, 2020 to Feb 26, 2021
HNW clients · 12 to 13
Jun 15, 2020 to Feb 26, 2021
Individual clients · 10 to 9
Jun 15, 2020 to Feb 26, 2021
Pension plan clients · 2.0 to unset
Jun 15, 2020 to Feb 26, 2021
Discretionary RAUM · $18.3M to $20.4M
Jun 15, 2020 to Feb 26, 2021
HNW RAUM · $15.1M to $15.8M
Jun 15, 2020 to Feb 26, 2021
Individual RAUM · $2.7M to $4.1M
Jun 15, 2020 to Feb 26, 2021
Non-discretionary RAUM · $4.4M to $5.4M
Jun 15, 2020 to Feb 26, 2021
Pension RAUM · $4.9M to $5.9M
Jun 15, 2020 to Feb 26, 2021
RAUM · $22.7M to $25.7M
Jun 15, 2020 to Feb 26, 2021
Accounts · 50 to 53
Mar 21, 2019 to Mar 16, 2020
Individual clients · 11 to 10
Mar 21, 2019 to Mar 16, 2020
Discretionary RAUM · $19.2M to $18.3M
Mar 21, 2019 to Mar 16, 2020
HNW RAUM · $16.7M to $15.1M
Mar 21, 2019 to Mar 16, 2020
Individual RAUM · $2.2M to $2.7M
Mar 21, 2019 to Mar 16, 2020
Non-discretionary RAUM · $3.1M to $4.4M
Mar 21, 2019 to Mar 16, 2020
Pension RAUM · $3.4M to $4.9M
Mar 21, 2019 to Mar 16, 2020
RAUM · $22.3M to $22.7M
Mar 21, 2019 to Mar 16, 2020
Accounts · 46 to 50
Mar 28, 2018 to Mar 21, 2019
HNW clients · 11 to 12
Mar 28, 2018 to Mar 21, 2019
Pension plan clients · 1 to 2
Mar 28, 2018 to Mar 21, 2019
Discretionary RAUM · $15.1M to $19.2M
Mar 28, 2018 to Mar 21, 2019
HNW RAUM · $13.1M to $16.7M
Mar 28, 2018 to Mar 21, 2019
Individual RAUM · $2.1M to $2.2M
Mar 28, 2018 to Mar 21, 2019
Non-discretionary RAUM · $3.3M to $3.1M
Mar 28, 2018 to Mar 21, 2019
Pension RAUM · $3.3M to $3.4M
Mar 28, 2018 to Mar 21, 2019
RAUM · $18.5M to $22.3M
Mar 28, 2018 to Mar 21, 2019
Other offices · unset to 1.0
Mar 19, 2017 to Mar 28, 2018
Accounts · 44 to 46
Mar 19, 2017 to Mar 28, 2018
Charity clients · unset to 0.0
Mar 19, 2017 to Mar 28, 2018
Corporate clients · unset to 0.0
Mar 19, 2017 to Mar 28, 2018
HNW clients · unset to 11.0
Mar 19, 2017 to Mar 28, 2018
Individual clients · unset to 11.0
Mar 19, 2017 to Mar 28, 2018
Pension plan clients · unset to 1.0
Mar 19, 2017 to Mar 28, 2018
Pooled vehicle clients · unset to 0.0
Mar 19, 2017 to Mar 28, 2018

Signals

2 dated events

••• Locked
Jan 28, 2016 · Succession (Item 4) · fact
••• Locked
Apr 25, 2013 · 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 27, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 27, 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: $44.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026