DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

M••••••••• C•••••• A••••••• L••

Independent wealth managerSEC-registered· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $130M of regulatory assets.

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

Regulatory AUM
$130M
Advisors
0
RAUM change, 1 year
+16%
Private clients
100%
of RAUM, $130M
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. +16.3%
    RAUM, one year

    RAUM $112M to $130M (+16.3%) on the Form ADV filed 16 Jun 2026.

    The one filed measure of whether clients are staying.

    FactForm ADV Item 5History →
Every filed figure, and the identifiersCRD 138148 · SEC 801-64964 · 29 filingsShow
CRD 138148SEC 801-64964First filing on the tape Jan 4, 2012, latest Jun 16, 2026SEC status approved since Nov 29, 2005IAPD
RAUM
$130M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$130M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
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
29 filings and snapshots on the tape

RAUM +12% a year over three years · the tape starts Jan 4, 2012

Peer group: Independent wealth managers, $100M to $500M, 5,683 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$130M as of Jun 16, 2026
Jan 4, 2012$55.5M then
HNW client RAUM$66.9M as of Jun 16, 2026
Feb 15, 2018$32.5M then
State-registered IARs (5.B.3)0 as of Jun 16, 2026
Jan 4, 20120 then
Employees (5.A)2 as of Jun 16, 2026
Feb 11, 20131 then
Private funds: no history
RAUM +16% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 16, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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
$3.7MderivedHNW RAUM over HNW clients
Average account
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+2.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$130M, 51 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing

51% high-net-worth individuals, 49% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$66.9M51%
  • Individuals$63.2M49%
Individual clients
33reported
HNW clients
18reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
80reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$130M for 51 clientsreported
Compensation
% of AUMreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••••• S••••••• J••• · Chief Compliance Officer, Membercontrol
        since 09/2007 · owns 25% to 50%
      • M••••••••• M•••• J••••• · President, Managing Membercontrol
        since 07/2005 · owns 50% to 75%
      Ownership changes
      1 Schedule A change between consecutive filings, latest first
      • Removed P••••••• H••• J•• · Member
        filing of Dec 16, 2013, against Feb 11, 2013 · owns 10 to 25%
      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
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • custody status changedChange between filings · filing Jun 16, 2026
        custody of client assets (Item 9.A): no on the filing of 2026-01-27, yes on the filing of 2026-06-16
        peers: independent wealth managers, $100M to $500M (5,683)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Advisory employees · 1 to 2
        Jan 27, 2026 to Jun 16, 2026
      • Assets in custody · unset to 130138998.0
        Jan 27, 2026 to Jun 16, 2026
      • Custody of client assets · false to true
        Jan 27, 2026 to Jun 16, 2026
      • Accounts · 78 to 80
        Jan 23, 2025 to Jan 27, 2026
      • Individual clients · 32 to 33
        Jan 23, 2025 to Jan 27, 2026
      Full history · 80 changes
      • Discretionary RAUM · $112M to $130M
        Jan 23, 2025 to Jan 27, 2026
      • HNW RAUM · $59.4M to $66.9M
        Jan 23, 2025 to Jan 27, 2026
      • Individual RAUM · $52.5M to $63.2M
        Jan 23, 2025 to Jan 27, 2026
      • RAUM · $112M to $130M
        Jan 23, 2025 to Jan 27, 2026
      • Accounts · 83 to 78
        Jan 22, 2024 to Jan 23, 2025
      • Individual clients · 33 to 32
        Jan 22, 2024 to Jan 23, 2025
      • Financial planning clients · unset to
        Jan 22, 2024 to Jan 23, 2025
      • Discretionary RAUM · $100.0M to $112M
        Jan 22, 2024 to Jan 23, 2025
      • HNW RAUM · $51.3M to $59.4M
        Jan 22, 2024 to Jan 23, 2025
      • Individual RAUM · $48.7M to $52.5M
        Jan 22, 2024 to Jan 23, 2025
      • RAUM · $100.0M to $112M
        Jan 22, 2024 to Jan 23, 2025
      • Accounts · 88 to 83
        Jan 18, 2023 to Jan 22, 2024
      • HNW clients · 17 to 18
        Jan 18, 2023 to Jan 22, 2024
      • Individual clients · 36 to 33
        Jan 18, 2023 to Jan 22, 2024
      • Discretionary RAUM · $92.4M to $100.0M
        Jan 18, 2023 to Jan 22, 2024
      • HNW RAUM · $47.6M to $51.3M
        Jan 18, 2023 to Jan 22, 2024
      • Individual RAUM · $44.8M to $48.7M
        Jan 18, 2023 to Jan 22, 2024
      • RAUM · $92.4M to $100.0M
        Jan 18, 2023 to Jan 22, 2024
      • Accounts · 90 to 88
        Feb 9, 2022 to Jan 18, 2023
      • Individual clients · 37 to 36
        Feb 9, 2022 to Jan 18, 2023
      • Discretionary RAUM · $113M to $92.4M
        Feb 9, 2022 to Jan 18, 2023
      • HNW RAUM · $51.0M to $47.6M
        Feb 9, 2022 to Jan 18, 2023
      • Individual RAUM · $61.9M to $44.8M
        Feb 9, 2022 to Jan 18, 2023
      • RAUM · $113M to $92.4M
        Feb 9, 2022 to Jan 18, 2023
      • Accounts · 93 to 90
        Feb 4, 2021 to Feb 9, 2022
      • HNW clients · 15 to 17
        Feb 4, 2021 to Feb 9, 2022
      • Individual clients · 39 to 37
        Feb 4, 2021 to Feb 9, 2022
      • Discretionary RAUM · $95.9M to $113M
        Feb 4, 2021 to Feb 9, 2022
      • HNW RAUM · $43.5M to $51.0M
        Feb 4, 2021 to Feb 9, 2022
      • Individual RAUM · $52.3M to $61.9M
        Feb 4, 2021 to Feb 9, 2022
      • RAUM · $95.9M to $113M
        Feb 4, 2021 to Feb 9, 2022
      • Accounts · 98 to 93
        Jun 24, 2020 to Feb 4, 2021
      • Individual clients · 40 to 39
        Jun 24, 2020 to Feb 4, 2021
      • Discretionary RAUM · $90.1M to $95.9M
        Jun 24, 2020 to Feb 4, 2021
      • HNW RAUM · $39.2M to $43.5M
        Jun 24, 2020 to Feb 4, 2021
      • Individual RAUM · $51.0M to $52.3M
        Jun 24, 2020 to Feb 4, 2021
      • RAUM · $90.1M to $95.9M
        Jun 24, 2020 to Feb 4, 2021
      • Accounts · 97 to 98
        Feb 4, 2019 to Jan 28, 2020
      • Other offices · 1 to 0
        Feb 4, 2019 to Jan 28, 2020
      • Discretionary RAUM · $77.3M to $90.1M
        Feb 4, 2019 to Jan 28, 2020
      • HNW RAUM · $30.5M to $39.2M
        Feb 4, 2019 to Jan 28, 2020
      • Individual RAUM · $46.8M to $51.0M
        Feb 4, 2019 to Jan 28, 2020
      • RAUM · $77.3M to $90.1M
        Feb 4, 2019 to Jan 28, 2020
      • Accounts · 95 to 97
        Apr 5, 2018 to Feb 4, 2019
      • Individual clients · 38 to 40
        Apr 5, 2018 to Feb 4, 2019
      • Discretionary RAUM · $81.2M to $77.3M
        Apr 5, 2018 to Feb 4, 2019
      • HNW RAUM · $32.5M to $30.5M
        Apr 5, 2018 to Feb 4, 2019
      • Individual RAUM · $48.7M to $46.8M
        Apr 5, 2018 to Feb 4, 2019
      • RAUM · $81.2M to $77.3M
        Apr 5, 2018 to Feb 4, 2019
      • Charity clients · unset to 0.0
        Feb 3, 2017 to Feb 15, 2018
      • Corporate clients · unset to 0.0
        Feb 3, 2017 to Feb 15, 2018
      • HNW clients · unset to 15.0
        Feb 3, 2017 to Feb 15, 2018
      • Individual clients · unset to 38.0
        Feb 3, 2017 to Feb 15, 2018
      • Pension plan clients · unset to 0.0
        Feb 3, 2017 to Feb 15, 2018
      • Pooled vehicle clients · unset to 0.0
        Feb 3, 2017 to Feb 15, 2018
      • Other offices · unset to 1.0
        Feb 3, 2017 to Feb 15, 2018
      • Discretionary RAUM · $74.4M to $81.2M
        Feb 3, 2017 to Feb 15, 2018
      • HNW RAUM · unset to 32482528.0
        Feb 3, 2017 to Feb 15, 2018
      • Individual RAUM · unset to 48723792.0
        Feb 3, 2017 to Feb 15, 2018
      • Pension RAUM · unset to 0.0
        Feb 3, 2017 to Feb 15, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Feb 3, 2017 to Feb 15, 2018
      • RAUM · $74.4M to $81.2M
        Feb 3, 2017 to Feb 15, 2018
      • Accounts · 97 to 95
        Feb 26, 2016 to Feb 3, 2017
      • Discretionary RAUM · $69.2M to $74.4M
        Feb 26, 2016 to Feb 3, 2017
      • RAUM · $69.2M to $74.4M
        Feb 26, 2016 to Feb 3, 2017
      • Accounts · 102 to 97
        Feb 10, 2015 to Feb 26, 2016
      • Discretionary RAUM · $77.6M to $69.2M
        Feb 10, 2015 to Feb 26, 2016
      • RAUM · $77.6M to $69.2M
        Feb 10, 2015 to Feb 26, 2016
      • Discretionary RAUM · $74.1M to $77.6M
        Aug 6, 2014 to Feb 10, 2015
      • RAUM · $74.1M to $77.6M
        Aug 6, 2014 to Feb 10, 2015
      • Discretionary RAUM · $71.1M to $74.1M
        May 20, 2014 to Aug 6, 2014
      • RAUM · $71.1M to $74.1M
        May 20, 2014 to Aug 6, 2014
      • Accounts · 40 to 102
        Apr 15, 2014 to May 16, 2014
      • Employees · 1 to 2
        Apr 7, 2014 to Apr 7, 2014
      • Accounts · 100 to 40
        Dec 16, 2013 to Jan 31, 2014
      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.
      Web presence
      addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

      Website (1) · the addresses open with an account

      1 earlier address on Form ADV filings, the earliest seen Jan 31, 2014
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Jun 16, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jun 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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.