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M••• C•••••• M••••••••• L••

Independent wealth managerSEC-registered· New York, New York

Independent wealth manager, based in New York, New York, reporting $86.2M of regulatory assets across 1 registered advisors.

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

As of 2026-02-06 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $86.2M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +16%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-02-06 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 6 Feb 2026, RAUM $74.3M to $86.2M (+15.9%) on the Form ADV filed 6 Feb 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 134605 · SEC 801-68603 · 19 filingsShow

CRD 134605SEC 801-68603First filing on the tape Mar 23, 2012, latest Feb 6, 2026SEC status approved since Dec 13, 2007IAPD

RAUM

$86.2M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

100%

$86.2M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$86.2M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM +19% a year over three years · the tape starts Mar 23, 2012

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

RAUM$86.2M as of Feb 6, 2026

Mar 23, 2012$31.7M then

HNW client RAUM$72.1M as of Feb 6, 2026

Mar 16, 2018$32.4M then

State-registered IARs (5.B.3)1 as of Feb 6, 2026

Mar 23, 20120 then

Employees (5.A)1 as of Feb 6, 2026

Mar 13, 20131 then

Private funds: no history

RAUM +16% over the last fiscal year+19% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Feb 6, 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: $86.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 64derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $6.6MderivedHNW RAUM over HNW clients
Average account: $718,016derivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%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: +16%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +4.9%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, pension consultingreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

84% high-net-worth individuals, 16% individuals

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

High-net-worth individuals$72.1M84%
Individuals$14.1M16%

Individual clients: 53reported
HNW clients: 11reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 120reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
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
S••••• M•••	New York, Ny	Feb 11, 2021	34 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M•••• S••••• · President/Managing Member/Chief Compliance Officercontrol
since 01/2005 · owns 75% or more

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

low discretionary shareStatic outlier · filing Feb 6, 2026
discretionary share of RAUM of 0% against a peer median of 100% (309 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: independent wealth managers, under $100M (309) · 0.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 118 to 120
Feb 11, 2025 to Feb 6, 2026
HNW clients · 10 to 11
Feb 11, 2025 to Feb 6, 2026
Individual clients · 51 to 53
Feb 11, 2025 to Feb 6, 2026
HNW RAUM · $60.8M to $72.1M
Feb 11, 2025 to Feb 6, 2026
Individual RAUM · $13.6M to $14.1M
Feb 11, 2025 to Feb 6, 2026

Full history · 79 changes

Non-discretionary RAUM · $74.3M to $86.2M
Feb 11, 2025 to Feb 6, 2026
RAUM · $74.3M to $86.2M
Feb 11, 2025 to Feb 6, 2026
Accounts · 106 to 118
Feb 15, 2024 to Feb 11, 2025
Individual clients · 30 to 51
Feb 15, 2024 to Feb 11, 2025
Financial planning clients · unset to
Feb 15, 2024 to Feb 11, 2025
HNW RAUM · $41.6M to $60.8M
Feb 15, 2024 to Feb 11, 2025
Individual RAUM · $16.6M to $13.6M
Feb 15, 2024 to Feb 11, 2025
Non-discretionary RAUM · $58.2M to $74.3M
Feb 15, 2024 to Feb 11, 2025
RAUM · $58.2M to $74.3M
Feb 15, 2024 to Feb 11, 2025
Accounts · 113 to 106
Feb 22, 2023 to Feb 15, 2024
Individual clients · 33 to 30
Feb 22, 2023 to Feb 15, 2024
HNW RAUM · $39.6M to $41.6M
Feb 22, 2023 to Feb 15, 2024
Individual RAUM · $11.5M to $16.6M
Feb 22, 2023 to Feb 15, 2024
Non-discretionary RAUM · $51.1M to $58.2M
Feb 22, 2023 to Feb 15, 2024
RAUM · $51.1M to $58.2M
Feb 22, 2023 to Feb 15, 2024
Accounts · 111 to 113
Feb 25, 2022 to Feb 22, 2023
HNW clients · 13 to 10
Feb 25, 2022 to Feb 22, 2023
Individual clients · 32 to 33
Feb 25, 2022 to Feb 22, 2023
HNW RAUM · $53.0M to $39.6M
Feb 25, 2022 to Feb 22, 2023
Individual RAUM · $12.2M to $11.5M
Feb 25, 2022 to Feb 22, 2023
Non-discretionary RAUM · $65.2M to $51.1M
Feb 25, 2022 to Feb 22, 2023
RAUM · $65.2M to $51.1M
Feb 25, 2022 to Feb 22, 2023
Accounts · 106 to 111
Feb 22, 2021 to Feb 25, 2022
Individual clients · 26 to 32
Feb 22, 2021 to Feb 25, 2022
HNW RAUM · $44.6M to $53.0M
Feb 22, 2021 to Feb 25, 2022
Individual RAUM · $10.1M to $12.2M
Feb 22, 2021 to Feb 25, 2022
Non-discretionary RAUM · $54.8M to $65.2M
Feb 22, 2021 to Feb 25, 2022
RAUM · $54.8M to $65.2M
Feb 22, 2021 to Feb 25, 2022
Accounts · 114 to 106
Sep 8, 2020 to Feb 10, 2021
Individual clients · 33 to 26
Sep 8, 2020 to Feb 10, 2021
HNW RAUM · $39.8M to $44.6M
Sep 8, 2020 to Feb 10, 2021
Individual RAUM · $10.9M to $10.1M
Sep 8, 2020 to Feb 10, 2021
Non-discretionary RAUM · $50.7M to $54.8M
Sep 8, 2020 to Feb 10, 2021
RAUM · $50.7M to $54.8M
Sep 8, 2020 to Feb 10, 2021
Accounts · 120 to 114
Mar 20, 2019 to Feb 10, 2020
HNW clients · 11 to 13
Mar 20, 2019 to Feb 10, 2020
Individual clients · 37 to 33
Mar 20, 2019 to Feb 10, 2020
HNW RAUM · $31.2M to $39.8M
Mar 20, 2019 to Feb 10, 2020
Individual RAUM · $9.6M to $10.9M
Mar 20, 2019 to Feb 10, 2020
Non-discretionary RAUM · $40.8M to $50.7M
Mar 20, 2019 to Feb 10, 2020
RAUM · $40.8M to $50.7M
Mar 20, 2019 to Feb 10, 2020
Accounts · 118 to 120
Mar 16, 2018 to Mar 20, 2019
HNW clients · 10 to 11
Mar 16, 2018 to Mar 20, 2019
Individual clients · 38 to 37
Mar 16, 2018 to Mar 20, 2019
HNW RAUM · $32.4M to $31.2M
Mar 16, 2018 to Mar 20, 2019
Individual RAUM · $11.5M to $9.6M
Mar 16, 2018 to Mar 20, 2019
Non-discretionary RAUM · $43.9M to $40.8M
Mar 16, 2018 to Mar 20, 2019
RAUM · $43.9M to $40.8M
Mar 16, 2018 to Mar 20, 2019
Accounts · 112 to 118
Jul 15, 2017 to Mar 16, 2018
HNW clients · unset to 10.0
Jul 15, 2017 to Mar 16, 2018
Individual clients · unset to 38.0
Jul 15, 2017 to Mar 16, 2018
Other offices · unset to 0.0
Jul 15, 2017 to Mar 16, 2018
HNW RAUM · unset to 32408197.0
Jul 15, 2017 to Mar 16, 2018
Individual RAUM · unset to 11541197.0
Jul 15, 2017 to Mar 16, 2018
Non-discretionary RAUM · $38.8M to $43.9M
Jul 15, 2017 to Mar 16, 2018
RAUM · $38.8M to $43.9M
Jul 15, 2017 to Mar 16, 2018
Accounts · 104 to 112
Feb 26, 2016 to Feb 17, 2017
Non-discretionary RAUM · $35.0M to $38.8M
Feb 26, 2016 to Feb 17, 2017
RAUM · $35.0M to $38.8M
Feb 26, 2016 to Feb 17, 2017
Accounts · 108 to 104
Mar 3, 2015 to Feb 26, 2016
Non-discretionary RAUM · $37.2M to $35.0M
Mar 3, 2015 to Feb 26, 2016
RAUM · $37.2M to $35.0M
Mar 3, 2015 to Feb 26, 2016
Accounts · 96 to 108
Apr 30, 2014 to Mar 3, 2015
Non-discretionary RAUM · $35.6M to $37.2M
Apr 30, 2014 to Mar 3, 2015
RAUM · $35.6M to $37.2M
Apr 30, 2014 to Mar 3, 2015
Accounts · 83 to 96
Mar 13, 2013 to Feb 24, 2014
Non-discretionary RAUM · $30.3M to $35.6M
Mar 13, 2013 to Feb 24, 2014
RAUM · $30.3M to $35.6M
Mar 13, 2013 to Feb 24, 2014
Accounts · 93 to 83
Mar 23, 2012 to Mar 13, 2013
Advisory employees · unset to 1.0
Mar 23, 2012 to Mar 13, 2013
Employees · unset to 1.0
Mar 23, 2012 to Mar 13, 2013
State-registered IARs · 0 to 1
Mar 23, 2012 to Mar 13, 2013
Non-discretionary RAUM · $31.7M to $30.3M
Mar 23, 2012 to Mar 13, 2013
RAUM · $31.7M to $30.3M
Mar 23, 2012 to Mar 13, 2013

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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 6, 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: $86.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026