DFX Intelligence
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H••••••••• P••••••• L••
Independent wealth managerSEC-registered· New York, New York
Independent wealth manager, based in New York, New York, reporting $229M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $229M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +9.8%
- Private clients
- 100% of RAUM, $229M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 1
Every filed figure, and the identifiersCRD 136535 · SEC 801-64603 · 19 filingsShowHide
CRD 136535SEC 801-64603First filing on the tape Mar 29, 2012, latest Mar 18, 2026SEC status approved since Aug 22, 2005IAPD
RAUM
$229M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$229M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$229M as of Mar 18, 2026
Mar 29, 2012$84.8M then
HNW client RAUM$229M as of Mar 18, 2026
Mar 13, 2018$260M then
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Mar 29, 20120 then
Employees (5.A)2 as of Mar 18, 2026
Mar 13, 20132 then
Private funds: no history
RAUM +9.8% over the last fiscal year-0.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$229M100%
- Individual clients
- n/areported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 203reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••••• M••••• | New York, Ny | Sep 7, 2021 | 32 y | 0 |
| M••••••• S• H••••• | New York, Ny | Sep 7, 2021 | 21 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• M•••••••• S• · Managing Director & Chief Compliance Officercontrolsince 02/2005 · owns 50% to 75%
- M•••••• R•••••••• · Managing Directorcontrolsince 06/2005 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 230 to 203Mar 21, 2025 to Mar 18, 2026
- HNW clients · 42 to 40Mar 21, 2025 to Mar 18, 2026
- Discretionary RAUM · $194M to $212MMar 21, 2025 to Mar 18, 2026
- HNW RAUM · $208M to $229MMar 21, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $14.2M to $16.7MMar 21, 2025 to Mar 18, 2026
- RAUM · $208M to $229MMar 21, 2025 to Mar 18, 2026
- Accounts · 223 to 230Mar 19, 2024 to Mar 21, 2025
- HNW clients · 46 to 42Mar 19, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 21, 2025
- Discretionary RAUM · $205M to $194MMar 19, 2024 to Mar 21, 2025
- HNW RAUM · $222M to $208MMar 19, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $16.7M to $14.2MMar 19, 2024 to Mar 21, 2025
- RAUM · $222M to $208MMar 19, 2024 to Mar 21, 2025
- Accounts · 267 to 223Mar 30, 2023 to Mar 19, 2024
- HNW clients · 47 to 46Mar 30, 2023 to Mar 19, 2024
- Discretionary RAUM · $210M to $205MMar 30, 2023 to Mar 19, 2024
- HNW RAUM · $229M to $222MMar 30, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $18.8M to $16.7MMar 30, 2023 to Mar 19, 2024
- RAUM · $229M to $222MMar 30, 2023 to Mar 19, 2024
- Accounts · 291 to 267Mar 30, 2022 to Mar 30, 2023
- HNW clients · 51 to 47Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $259M to $210MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $288M to $229MMar 30, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $28.3M to $18.8MMar 30, 2022 to Mar 30, 2023
- RAUM · $288M to $229MMar 30, 2022 to Mar 30, 2023
- Accounts · 235 to 291Aug 5, 2021 to Mar 30, 2022
- HNW clients · 40 to 51Aug 5, 2021 to Mar 30, 2022
- Discretionary RAUM · $245M to $259MAug 5, 2021 to Mar 30, 2022
- HNW RAUM · $258M to $288MAug 5, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $13.1M to $28.3MAug 5, 2021 to Mar 30, 2022
- RAUM · $258M to $288MAug 5, 2021 to Mar 30, 2022
- Accounts · 212 to 235Jun 30, 2020 to Mar 22, 2021
- HNW clients · 50 to 40Jun 30, 2020 to Mar 22, 2021
- Discretionary RAUM · $245M to $245MJun 30, 2020 to Mar 22, 2021
- HNW RAUM · $263M to $258MJun 30, 2020 to Mar 22, 2021
- Non-discretionary RAUM · $18.1M to $13.1MJun 30, 2020 to Mar 22, 2021
- RAUM · $263M to $258MJun 30, 2020 to Mar 22, 2021
- Accounts · 190 to 212Mar 11, 2019 to Mar 18, 2020
- Discretionary RAUM · $225M to $245MMar 11, 2019 to Mar 18, 2020
- HNW RAUM · $240M to $263MMar 11, 2019 to Mar 18, 2020
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- H••••••••• P••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 18, 2026
Provenance
- 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026