DFX Intelligence

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O•••••• C•••••• M••••••••• I•••

Independent wealth managerSEC-registered· Nyack, New Yorkwebsite

Independent wealth manager, based in Nyack, New York, reporting $40.6M of regulatory assets across 1 registered advisors.

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

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $40.6M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +9.2%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2026, RAUM $37.2M to $40.6M (+9.2%) on the Form ADV filed 27 Mar 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 136100 · SEC 801-120981 · 9 filingsShow

CRD 136100SEC 801-120981First filing on the tape Mar 29, 2021, latest Mar 27, 2026SEC status approved since Apr 29, 2021IAPD

RAUM

$40.6M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$40.6M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$40.6M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM +13% a year over three years · the tape starts Mar 29, 2021

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

RAUM$40.6M as of Mar 27, 2026

Mar 25, 2022$29.6M then

HNW client RAUM$28.1M as of Mar 27, 2026

Mar 25, 2022$19.1M then

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

Mar 25, 20220 then

Employees (5.A)1 as of Mar 27, 2026

Mar 25, 20221 then

Private funds: no history

RAUM +9.2% over the last fiscal year+13% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 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: $40.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 43derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.9MderivedHNW RAUM over HNW clients
Average account: $410,101derivedRAUM 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: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +9.2%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, 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

69% high-net-worth individuals, 31% individuals

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

High-net-worth individuals$28.1M69%
Individuals$12.5M31%

Individual clients: 28reported
HNW clients: 15reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 99reported
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••• M••••• O••••••Certified Financial Planner	Nyack, Ny	Mar 29, 2021	34 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

O••••••• J•••• M••••• · President & Chief Compliance Officercontrol
since 06/2005 · 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

Larchmont, NY1 employee

What changed

consecutive filings, newest first

Accounts · 87 to 99
Mar 24, 2025 to Mar 27, 2026
HNW clients · 16 to 15
Mar 24, 2025 to Mar 27, 2026
Individual clients · 25 to 28
Mar 24, 2025 to Mar 27, 2026
Discretionary RAUM · $37.2M to $40.6M
Mar 24, 2025 to Mar 27, 2026
HNW RAUM · $27.3M to $28.1M
Mar 24, 2025 to Mar 27, 2026

Full history · 38 changes

Individual RAUM · $9.8M to $12.5M
Mar 24, 2025 to Mar 27, 2026
RAUM · $37.2M to $40.6M
Mar 24, 2025 to Mar 27, 2026
Accounts · 94 to 87
Mar 22, 2024 to Mar 24, 2025
HNW clients · 13 to 16
Mar 22, 2024 to Mar 24, 2025
Individual clients · 30 to 25
Mar 22, 2024 to Mar 24, 2025
Financial planning clients · 1-10 to 1-10
Mar 22, 2024 to Mar 24, 2025
State-registered IARs · 0 to 1
Mar 22, 2024 to Mar 24, 2025
Discretionary RAUM · $32.9M to $37.2M
Mar 22, 2024 to Mar 24, 2025
HNW RAUM · $20.5M to $27.3M
Mar 22, 2024 to Mar 24, 2025
Individual RAUM · $12.3M to $9.8M
Mar 22, 2024 to Mar 24, 2025
RAUM · $32.9M to $37.2M
Mar 22, 2024 to Mar 24, 2025
Accounts · 84 to 94
Mar 21, 2023 to Mar 22, 2024
HNW clients · 14 to 13
Mar 21, 2023 to Mar 22, 2024
Individual clients · 27 to 30
Mar 21, 2023 to Mar 22, 2024
Other offices · 0 to 1
Mar 21, 2023 to Mar 22, 2024
Discretionary RAUM · $28.0M to $32.9M
Mar 21, 2023 to Mar 22, 2024
HNW RAUM · $18.4M to $20.5M
Mar 21, 2023 to Mar 22, 2024
Individual RAUM · $9.6M to $12.3M
Mar 21, 2023 to Mar 22, 2024
RAUM · $28.0M to $32.9M
Mar 21, 2023 to Mar 22, 2024
Accounts · 81 to 84
Mar 25, 2022 to Mar 21, 2023
HNW clients · 15 to 14
Mar 25, 2022 to Mar 21, 2023
Individual clients · 25 to 27
Mar 25, 2022 to Mar 21, 2023
Discretionary RAUM · $29.6M to $28.0M
Mar 25, 2022 to Mar 21, 2023
HNW RAUM · $19.1M to $18.4M
Mar 25, 2022 to Mar 21, 2023
Individual RAUM · $10.6M to $9.6M
Mar 25, 2022 to Mar 21, 2023
RAUM · $29.6M to $28.0M
Mar 25, 2022 to Mar 21, 2023
Accounts · 76 to 81
Dec 2, 2021 to Mar 25, 2022
HNW clients · 17 to 15
Dec 2, 2021 to Mar 25, 2022
Individual clients · 26 to 25
Dec 2, 2021 to Mar 25, 2022
Discretionary RAUM · $27.7M to $29.6M
Dec 2, 2021 to Mar 25, 2022
HNW RAUM · $16.4M to $19.1M
Dec 2, 2021 to Mar 25, 2022
Individual RAUM · $11.2M to $10.6M
Dec 2, 2021 to Mar 25, 2022
RAUM · $27.7M to $29.6M
Dec 2, 2021 to Mar 25, 2022

Signals

1 dated events

••• Locked
Mar 29, 2021 · 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 email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 27, 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: $40.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026