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B••••••• F•••••••• A••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $158M of regulatory assets across 1 registered advisors.

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

Regulatory AUM
$158M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
RAUM change, 1 year
+16%
Form ADV, consecutive annual filings
Private clients
100%
of RAUM, $158M
Form ADV
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 23 Jan 2026, RAUM $137M to $158M (+15.6%) on the Form ADV filed 23 Jan 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 134637 · SEC 801-132054 · 2 filingsShow
CRD 134637SEC 801-132054First filing on the tape Feb 4, 2025, latest Jan 23, 2026SEC status approved since Feb 28, 2025IAPD
RAUM
$158M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$158M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$158M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape

RAUM +16% over the last fiscal year · the tape starts Feb 4, 2025

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$158M as of Jan 23, 2026
Feb 4, 2025$137M then
HNW client RAUM$144M as of Jan 23, 2026
Feb 4, 2025$123M then
State-registered IARs (5.B.3)1 as of Jan 23, 2026
Feb 4, 20251 then
Employees (5.A)1 as of Jan 23, 2026
Feb 4, 20251 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 23, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • 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
$158MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
63derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$628,571derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 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
+6.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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

91% high-net-worth individuals, 9.3% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$144M91%
  • Individuals$14.7M9.3%
Individual clients
20reported
HNW clients
43reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
252reported
Financial planning clients
51-100reported
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 departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      J••••• E••••• S•••••••Chartered Financial AnalystJefferson, MaApr 1, 200522 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••••• J•••••• E••••• · Ccocontrol
        since 10/2003 · 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.
      What changed
      consecutive filings, newest first
      • Accounts · 242 to 252
        Feb 4, 2025 to Jan 23, 2026
      • HNW clients · 41 to 43
        Feb 4, 2025 to Jan 23, 2026
      • Individual clients · 18 to 20
        Feb 4, 2025 to Jan 23, 2026
      • Discretionary RAUM · $137M to $158M
        Feb 4, 2025 to Jan 23, 2026
      • HNW RAUM · $123M to $144M
        Feb 4, 2025 to Jan 23, 2026
      Full history · 7 changes
      • Individual RAUM · $13.7M to $14.7M
        Feb 4, 2025 to Jan 23, 2026
      • RAUM · $137M to $158M
        Feb 4, 2025 to Jan 23, 2026
      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
      Business email
      ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Jan 23, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jan 23, 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
      $158Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026