DFX Intelligence
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T••• C•••••• C•••••••••
Independent wealth manager, reporting $148M of regulatory assets.
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
- $148M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +5.0%
- Private clients
- 86% of RAUM, $128M
Form ADV
IAPD
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 2
Every filed figure, and the identifiersCRD 137578 · SEC 801-67381 · 23 filingsShowHide
CRD 137578SEC 801-67381First filing on the tape Mar 30, 2012, latest May 26, 2026SEC status approved since Jan 3, 2007IAPD
RAUM
$148M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$128M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$148M as of May 26, 2026
Mar 30, 2012$39.8M then
HNW client RAUM$126M as of May 26, 2026
Mar 29, 2018$35.5M then
State-registered IARs (5.B.3)0 as of May 26, 2026
Mar 30, 20120 then
Employees (5.A)3 as of May 26, 2026
Mar 28, 20132 then
Private funds1 as of Mar 30, 2023
Mar 30, 20121 then
RAUM +5.0% over the last fiscal year+27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 26, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.0%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, 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
- High-net-worth individuals$126M85%
- Corporations and businesses$20.2M14%
- Individuals$1.8M1.2%
- Charitable organizations$119,4800.1%
- Individual clients
- n/areported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 57reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••• C•••••• F••• L••no longer reported | Hedge Fund | $4.8M | 6 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- T•••• C••••••••• · President, Chief Investment Officer, And Chief Compliance Officercontrolsince 11/1997 · 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
- Advisory employees · 1 to 3Mar 28, 2025 to Mar 31, 2026
- Corporate clients · 5 to 6Mar 28, 2025 to Mar 31, 2026
- HNW clients · 44 to 46Mar 28, 2025 to Mar 31, 2026
- Individual clients · 6.0 to unsetMar 28, 2025 to Mar 31, 2026
- Employees · 1 to 3Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $141M to $148MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $109M to $126MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $2.8M to $1.8MMar 28, 2025 to Mar 31, 2026
- RAUM · $141M to $148MMar 28, 2025 to Mar 31, 2026
- Accounts · 59 to 57Dec 10, 2024 to Mar 28, 2025
- HNW clients · 47 to 44Dec 10, 2024 to Mar 28, 2025
- Individual clients · 5 to 6Dec 10, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Dec 10, 2024 to Mar 28, 2025
- HQ city · unset to Dec 10, 2024 to Mar 28, 2025
- HQ state · unset to Dec 10, 2024 to Mar 28, 2025
- Discretionary RAUM · $111M to $141MDec 10, 2024 to Mar 28, 2025
- HNW RAUM · $84.5M to $109MDec 10, 2024 to Mar 28, 2025
- Individual RAUM · $2.1M to $2.8MDec 10, 2024 to Mar 28, 2025
- Pension RAUM · 1376525.0 to unsetDec 10, 2024 to Mar 28, 2025
- RAUM · $111M to $141MDec 10, 2024 to Mar 28, 2025
- HQ city · NEW YORK to unsetMar 27, 2024 to Dec 10, 2024
- HQ state · NY to unsetMar 27, 2024 to Dec 10, 2024
- Accounts · 56 to 59Sep 27, 2023 to Mar 27, 2024
- Advisory activities · 4 to 2Sep 27, 2023 to Mar 27, 2024
- Corporate clients · unset to 5.0Sep 27, 2023 to Mar 27, 2024
- HNW clients · 45 to 47Sep 27, 2023 to Mar 27, 2024
- Individual clients · unset to 5.0Sep 27, 2023 to Mar 27, 2024
- Pooled vehicle clients · 1.0 to unsetSep 27, 2023 to Mar 27, 2024
- Assets in custody · 4944151.0 to unsetSep 27, 2023 to Mar 27, 2024
- Custody of client assets · true to falseSep 27, 2023 to Mar 27, 2024
- Private funds · 1 to unsetSep 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $71.9M to $111MSep 27, 2023 to Mar 27, 2024
- HNW RAUM · $51.9M to $84.5MSep 27, 2023 to Mar 27, 2024
- Individual RAUM · $870,563 to $2.1MSep 27, 2023 to Mar 27, 2024
- Pension RAUM · $715,383 to $1.4MSep 27, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · 4849356.0 to unsetSep 27, 2023 to Mar 27, 2024
- RAUM · $71.9M to $111MSep 27, 2023 to Mar 27, 2024
- Accounts · 54 to 56Mar 30, 2022 to Mar 30, 2023
- HNW clients · 43 to 45Mar 30, 2022 to Mar 30, 2023
- Individual clients · 5.0 to unsetMar 30, 2022 to Mar 30, 2023
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
- Website
- ••• Lockedreportedpublic record, Form ADV, May 26, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, May 26, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026