DFX Intelligence

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SEC-registered adviser

M••• W••••• F•••••••• P•••••••

Independent wealth managerCRD 140357SEC 801-122165website IAPD

Legal name M•••••• A• W•••••

Latest filing Mar 2, 2026

First filing on the tape Jul 26, 2021 · 7 filings

SEC status approved since Aug 25, 2021

RAUM

$77.4M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$77.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$77.4M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

7 filings and snapshots on the tape

RAUM$77.4M as of Mar 2, 2026

Feb 1, 2022$42.8M then

HNW client RAUM$69.8M as of Mar 2, 2026

Feb 1, 2022$36.3M then

State-registered IARs (5.B.3)1 as of Mar 2, 2026

Feb 1, 20221 then

Employees (5.A)1 as of Mar 2, 2026

Feb 1, 20221 then

Private funds: no history

RAUM +32% over the last fiscal year+23% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 2, 2026; every figure names its basis

Archetypes, each a printed rule

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $77.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 46derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.4MderivedHNW RAUM over HNW clients
Average account: $522,699derivedRAUM 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: +32%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +4.5%derived
Compensation: 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)
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$69.8M90%
Individuals$7.6M9.8%

Individual clients: 17reported
HNW clients: 29reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 148reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: fixedreported
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

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M•••••• A•• W•••••Certified Financial Planner	Cortlandt Manor, Ny	Aug 28, 2021	20 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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

W•••••• M••••••• A•• · Owner/ Chief Compliance Officercontrol
since 04/2006 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Garden City, NY1 employees

ADV anomalies

2 against comparable advisers; where to look, not conclusions

compensation changedChange between filings · filing Mar 2, 2026
hourly charges (Item 5.E.2): yes on the filing of 2025-03-05, no on the filing of 2026-03-02
peers: independent wealth managers, under $100M (708)
RAUM up 25 %Change between filings · filing Mar 2, 2026
RAUM (Item 5.F) moved from $58,676,083 to $77,359,453 (+32.0%) between the annual amendments of 2025-03-05 and 2026-03-02; the peer median change was +8.0% (219 comparable advisers, 93.0th percentile of changes)
peers: independent wealth managers, under $100M (219) · 93% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 130 to 148
Mar 5, 2025 to Mar 2, 2026
HNW clients · 26 to 29
Mar 5, 2025 to Mar 2, 2026
Individual clients · 18 to 17
Mar 5, 2025 to Mar 2, 2026
HQ city · CORTLANDT MANOR to
Mar 5, 2025 to Mar 2, 2026
HQ state · NY to
Mar 5, 2025 to Mar 2, 2026
Discretionary RAUM · $58.7M to $77.4M
Mar 5, 2025 to Mar 2, 2026
HNW RAUM · $51.4M to $69.8M
Mar 5, 2025 to Mar 2, 2026
Individual RAUM · $7.3M to $7.6M
Mar 5, 2025 to Mar 2, 2026
RAUM · $58.7M to $77.4M
Mar 5, 2025 to Mar 2, 2026
Accounts · 110 to 130
Feb 16, 2024 to Mar 5, 2025
HNW clients · 22 to 26
Feb 16, 2024 to Mar 5, 2025
Individual clients · 13 to 18
Feb 16, 2024 to Mar 5, 2025
Financial planning clients · 26-50 to 26-50
Feb 16, 2024 to Mar 5, 2025
Discretionary RAUM · $43.5M to $58.7M
Feb 16, 2024 to Mar 5, 2025
HNW RAUM · $37.7M to $51.4M
Feb 16, 2024 to Mar 5, 2025
Individual RAUM · $5.8M to $7.3M
Feb 16, 2024 to Mar 5, 2025
RAUM · $43.5M to $58.7M
Feb 16, 2024 to Mar 5, 2025
Accounts · 104 to 110
Feb 13, 2023 to Feb 16, 2024
HNW clients · 21 to 22
Feb 13, 2023 to Feb 16, 2024
Individual clients · 11 to 13
Feb 13, 2023 to Feb 16, 2024
Discretionary RAUM · $41.5M to $43.5M
Feb 13, 2023 to Feb 16, 2024
HNW RAUM · $36.3M to $37.7M
Feb 13, 2023 to Feb 16, 2024
Individual RAUM · $5.1M to $5.8M
Feb 13, 2023 to Feb 16, 2024
RAUM · $41.5M to $43.5M
Feb 13, 2023 to Feb 16, 2024
Accounts · 96 to 104
Nov 10, 2022 to Feb 13, 2023
HNW clients · 18 to 21
Nov 10, 2022 to Feb 13, 2023
Individual clients · 12 to 11
Nov 10, 2022 to Feb 13, 2023
Financial planning clients · 11-25 to 26-50
Nov 10, 2022 to Feb 13, 2023
Discretionary RAUM · $42.8M to $41.5M
Nov 10, 2022 to Feb 13, 2023
HNW RAUM · $36.3M to $36.3M
Nov 10, 2022 to Feb 13, 2023
Individual RAUM · $6.5M to $5.1M
Nov 10, 2022 to Feb 13, 2023
RAUM · $42.8M to $41.5M
Nov 10, 2022 to Feb 13, 2023
HQ city · PEEKSKILL to CORTLANDT MANOR
Feb 1, 2022 to Nov 10, 2022
Accounts · 90 to 96
Jul 26, 2021 to Feb 1, 2022
Assets in custody · 22900414.0 to unset
Jul 26, 2021 to Feb 1, 2022
Custody of client assets · true to false
Jul 26, 2021 to Feb 1, 2022
Financial planning clients · 26-50 to 11-25
Jul 26, 2021 to Feb 1, 2022
State-registered IARs · 0 to 1
Jul 26, 2021 to Feb 1, 2022
Discretionary RAUM · $0 to $42.8M
Jul 26, 2021 to Feb 1, 2022
HNW RAUM · $33.3M to $36.3M
Jul 26, 2021 to Feb 1, 2022

Signals

1 dated events

••• Locked
Jul 26, 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

Website: ••• Lockedreportedpublic record, Form ADV, Mar 2, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 2, 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: $77.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026