DFX Intelligence

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L•• P••••••• W••••• M••••••••• L••

Independent wealth managerSEC-registered· Suffern, New Yorkwebsite

Independent wealth manager, based in Suffern, New York, reporting $81.8M of regulatory assets across 2 registered advisors.

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

As of 2026-03-13 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $81.8M
Advisors: 2
Net advisor flow, 12 months: +1
RAUM change, 1 year: +23%
Private clients: 77%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-03-13 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 13 Mar 2026, RAUM $66.5M to $81.8M (+23.0%) on the Form ADV filed 13 Mar 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 140077 · SEC 801-111661 · 16 filingsShow

CRD 140077SEC 801-111661First filing on the tape Aug 11, 2017, latest Mar 13, 2026SEC status approved since Sep 8, 2017IAPD

RAUM

$81.8M

reported, Item 5.F

Discretionary

90%

of RAUM

Private clients

77%

$63.1M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$40.9M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM +14% a year over three years · the tape starts Aug 11, 2017

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

RAUM$81.8M as of Mar 13, 2026

Mar 16, 2018$52.1M then

HNW client RAUM$54.2M as of Mar 13, 2026

Mar 16, 2018$36.6M then

State-registered IARs (5.B.3)1 as of Mar 13, 2026

Mar 16, 20181 then

Employees (5.A)2 as of Mar 13, 2026

Mar 16, 20182 then

Private funds: no history

RAUM +23% over the last fiscal year+14% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 13, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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, and at most 25 employees (Item 5.A)

RAUM per advisor: $40.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 37derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.2MderivedHNW RAUM over HNW clients
Average account: $495,767derivedRAUM over accounts (5.F.2.f)
Discretionary: 90%derivedof RAUM
Institutional: 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +23%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +5.7%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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

66% high-net-worth individuals, 11% individuals, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow

High-net-worth individuals$54.2M66%
Individuals$8.9M11%
Other investment advisers$7.9M9.6%
Pension and profit-sharing plans$5.4M6.6%
Charitable organizations$5.4M6.6%

Individual clients: 28reported
HNW clients: 46reported
Pension plan clients: 1reported
Charitable clients: 1reported
Accounts: 165reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 77% private clients, 10% pooled funds, 13% 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

D•••• A•••••••• L•••••• from R•••••• J•••• F•••••••• S•••••••• I•••
Jan 1, 2026 · Other

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
D•••• A•••••••• L••••••	Suffern, Ny	Jan 1, 2026	21 y	1
A•••••• G••••••• L••••••••	Suffern, Ny	Jan 1, 2026	30 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

L••••••• D••••• A•••••••• · Managing Member/Chief Compliance Officercontrol
since 03/2006 · owns 50% to 75%
L••••••••• A••••••• G••••••• · Managing Membercontrol
since 03/2006 · 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
Suffern, Ny · principal	2	2	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 153 to 165
Jul 28, 2025 to Mar 13, 2026
HNW clients · 43 to 46
Jul 28, 2025 to Mar 13, 2026
Individual clients · 27 to 28
Jul 28, 2025 to Mar 13, 2026
Discretionary RAUM · $66.5M to $74.0M
Jul 28, 2025 to Mar 13, 2026
HNW RAUM · $47.4M to $54.2M
Jul 28, 2025 to Mar 13, 2026

Full history · 80 changes

Individual RAUM · $7.9M to $8.9M
Jul 28, 2025 to Mar 13, 2026
Non-discretionary RAUM · $4.0M to $7.8M
Jul 28, 2025 to Mar 13, 2026
Pension RAUM · $4.0M to $5.4M
Jul 28, 2025 to Mar 13, 2026
RAUM · $70.5M to $81.8M
Jul 28, 2025 to Mar 13, 2026
Accounts · 152 to 153
Mar 4, 2025 to Jul 28, 2025
Pension plan clients · 0 to 1
Mar 4, 2025 to Jul 28, 2025
Financial planning clients · unset to
Mar 4, 2025 to Jul 28, 2025
Non-discretionary RAUM · $0 to $4.0M
Mar 4, 2025 to Jul 28, 2025
Pension RAUM · $0 to $4.0M
Mar 4, 2025 to Jul 28, 2025
RAUM · $66.5M to $70.5M
Mar 4, 2025 to Jul 28, 2025
Accounts · 155 to 152
Feb 21, 2024 to Mar 4, 2025
Charity clients · 0 to 1
Feb 21, 2024 to Mar 4, 2025
Corporate clients · 3 to 0
Feb 21, 2024 to Mar 4, 2025
HNW clients · 42 to 43
Feb 21, 2024 to Mar 4, 2025
Individual clients · 28 to 27
Feb 21, 2024 to Mar 4, 2025
Discretionary RAUM · $58.5M to $66.5M
Feb 21, 2024 to Mar 4, 2025
HNW RAUM · $45.2M to $47.4M
Feb 21, 2024 to Mar 4, 2025
Individual RAUM · $7.5M to $7.9M
Feb 21, 2024 to Mar 4, 2025
RAUM · $58.5M to $66.5M
Feb 21, 2024 to Mar 4, 2025
Accounts · 150 to 155
Mar 9, 2023 to Feb 21, 2024
HNW clients · 40 to 42
Mar 9, 2023 to Feb 21, 2024
Individual clients · 26 to 28
Mar 9, 2023 to Feb 21, 2024
Discretionary RAUM · $54.7M to $58.5M
Mar 9, 2023 to Feb 21, 2024
HNW RAUM · $42.7M to $45.2M
Mar 9, 2023 to Feb 21, 2024
Individual RAUM · $7.2M to $7.5M
Mar 9, 2023 to Feb 21, 2024
RAUM · $54.7M to $58.5M
Mar 9, 2023 to Feb 21, 2024
Accounts · 160 to 150
Mar 19, 2022 to Mar 9, 2023
Individual clients · 27 to 26
Mar 19, 2022 to Mar 9, 2023
Discretionary RAUM · $61.1M to $54.7M
Mar 19, 2022 to Mar 9, 2023
HNW RAUM · $47.0M to $42.7M
Mar 19, 2022 to Mar 9, 2023
Individual RAUM · $8.0M to $7.2M
Mar 19, 2022 to Mar 9, 2023
RAUM · $61.1M to $54.7M
Mar 19, 2022 to Mar 9, 2023
Accounts · 152 to 160
Oct 12, 2021 to Mar 19, 2022
Charity clients · 2 to 0
Oct 12, 2021 to Mar 19, 2022
HNW clients · 38 to 40
Oct 12, 2021 to Mar 19, 2022
Individual clients · 25 to 27
Oct 12, 2021 to Mar 19, 2022
Discretionary RAUM · $59.1M to $61.1M
Oct 12, 2021 to Mar 19, 2022
HNW RAUM · $44.7M to $47.0M
Oct 12, 2021 to Mar 19, 2022
Individual RAUM · $7.4M to $8.0M
Oct 12, 2021 to Mar 19, 2022
RAUM · $59.1M to $61.1M
Oct 12, 2021 to Mar 19, 2022
Accounts · 143 to 152
Aug 3, 2020 to Mar 5, 2021
HNW clients · 36 to 38
Aug 3, 2020 to Mar 5, 2021
Individual clients · 24 to 25
Aug 3, 2020 to Mar 5, 2021
Discretionary RAUM · $56.2M to $59.1M
Aug 3, 2020 to Mar 5, 2021
HNW RAUM · $39.3M to $44.7M
Aug 3, 2020 to Mar 5, 2021
Individual RAUM · $6.5M to $7.4M
Aug 3, 2020 to Mar 5, 2021
RAUM · $56.2M to $59.1M
Aug 3, 2020 to Mar 5, 2021
BD registered reps · 1 to 0
Jun 25, 2020 to Aug 3, 2020
Accounts · 139 to 143
Mar 22, 2019 to Mar 16, 2020
Charity clients · 0 to 2
Mar 22, 2019 to Mar 16, 2020
HNW clients · 38 to 36
Mar 22, 2019 to Mar 16, 2020
Discretionary RAUM · $49.8M to $56.2M
Mar 22, 2019 to Mar 16, 2020
HNW RAUM · $33.1M to $39.3M
Mar 22, 2019 to Mar 16, 2020
Individual RAUM · $4.7M to $6.5M
Mar 22, 2019 to Mar 16, 2020
Non-discretionary RAUM · $14,130 to $0
Mar 22, 2019 to Mar 16, 2020
RAUM · $49.8M to $56.2M
Mar 22, 2019 to Mar 16, 2020
Accounts · 136 to 139
Mar 16, 2018 to Mar 19, 2019
Advisory activities · 3 to 4
Mar 16, 2018 to Mar 19, 2019
Charity clients · unset to 0.0
Mar 16, 2018 to Mar 19, 2019
Corporate clients · unset to 3.0
Mar 16, 2018 to Mar 19, 2019
HNW clients · 36 to 38
Mar 16, 2018 to Mar 19, 2019
Individual clients · 22 to 24
Mar 16, 2018 to Mar 19, 2019
Pension plan clients · unset to 0.0
Mar 16, 2018 to Mar 19, 2019
Pooled vehicle clients · unset to 0.0
Mar 16, 2018 to Mar 19, 2019
Discretionary RAUM · $52.1M to $49.8M
Mar 16, 2018 to Mar 19, 2019
HNW RAUM · $36.6M to $33.1M
Mar 16, 2018 to Mar 19, 2019
Individual RAUM · $4.2M to $4.7M
Mar 16, 2018 to Mar 19, 2019
Non-discretionary RAUM · $0 to $14,130
Mar 16, 2018 to Mar 19, 2019
Pension RAUM · unset to 0.0
Mar 16, 2018 to Mar 19, 2019
Pooled vehicle RAUM · unset to 0.0
Mar 16, 2018 to Mar 19, 2019
RAUM · $52.1M to $49.8M
Mar 16, 2018 to Mar 19, 2019
Accounts · 117 to 136
Sep 14, 2017 to Mar 16, 2018
HNW clients · unset to 36.0
Sep 14, 2017 to Mar 16, 2018
Individual clients · unset to 22.0
Sep 14, 2017 to Mar 16, 2018
Other offices · unset to 0.0
Sep 14, 2017 to Mar 16, 2018

Signals

1 dated events

••• Locked
Aug 11, 2017 · 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 24, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 13, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 13, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 24, 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: $40.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026