DFX Intelligence

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C•••••••• P•••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $142M of regulatory assets across 1 registered advisors.

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

As of 2026-04-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $142M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +2.2%
Private clients: 63%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-04-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+2.2%
RAUM, one year
RAUM $139M to $142M (+2.2%) on the Form ADV filed 17 Apr 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 140873 · SEC 801-66975 · 39 filingsShow

CRD 140873SEC 801-66975First filing on the tape Nov 22, 2011, latest Apr 17, 2026SEC status approved since Aug 14, 2006IAPD

RAUM

$142M

reported, Item 5.F

Discretionary

63%

of RAUM

Private clients

63%

$89.2M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$142M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

39 filings and snapshots on the tape

RAUM -1.7% a year over three years · the tape starts Nov 22, 2011

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

RAUM$142M as of Apr 17, 2026

Feb 22, 2012$246M then

HNW client RAUM$88.6M as of Apr 17, 2026

Feb 7, 2018$104M then

State-registered IARs (5.B.3)1 as of Apr 17, 2026

Feb 22, 20120 then

Employees (5.A)1 as of Apr 17, 2026

Feb 6, 20132 then

Private funds: no history

RAUM +2.2% over the last fiscal year-1.7% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Apr 17, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

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: $142MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 12derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $8.9MderivedHNW RAUM over HNW clients
Average account: $5.9MderivedRAUM over accounts (5.F.2.f)
Discretionary: 63%derivedof RAUM
Institutional: 37%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +2.2%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -7.7%derived
Compensation: percentage of assets, hourly, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, 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)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

62% high-net-worth individuals, 37% charitable organizations, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$88.6M62%
Charitable organizations$53.2M37%
Individuals$579,5330.4%
Corporations and businesses$92,9620.1%

Individual clients: 2reported
HNW clients: 10reported
Pension plan clients: n/areported
Charitable clients: 1reported
Accounts: 24reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, hourly, performancereported
Class basis: RAUM: 63% private clients, 0% pooled funds, 37% 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

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
J••• M•••••• R••••••	Clermont, Ny	Mar 15, 2024	12 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

R••••••• J•••• M•••••• · Chief Compliance Officer/Chief Executive Officercontrol
since 01/2024 · owns less than 5%

Entity owners

R•••••• • C••••••• L•• · Manager
direct · owns 75% or more
E••••• J• R•••••• E••••• · Estate
indirect · owns 75% or more of R•••••• • C••••••• L••

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

business activity changedChange between filings · filing Apr 17, 2026
selection of other advisers (Item 5.G.7): no on the filing of 2026-02-09, yes on the filing of 2026-04-17
peers: independent wealth managers, $100M to $500M (5,683)

How anomalies are measured

What changed

consecutive filings, newest first

Advisory activities · 3 to 4
Feb 9, 2026 to Apr 17, 2026
Accounts · 26 to 24
Apr 9, 2025 to Feb 9, 2026
Charity clients · 2 to 1
Apr 9, 2025 to Feb 9, 2026
HNW clients · 12 to 10
Apr 9, 2025 to Feb 9, 2026
Individual clients · 1 to 2
Apr 9, 2025 to Feb 9, 2026

Full history · 80 changes

Assets in custody · $88.8M to $74.4M
Apr 9, 2025 to Feb 9, 2026
Custody of client assets · true to false
Apr 9, 2025 to Feb 9, 2026
Discretionary RAUM · $88.8M to $89.2M
Apr 9, 2025 to Feb 9, 2026
HNW RAUM · $87.2M to $88.6M
Apr 9, 2025 to Feb 9, 2026
Individual RAUM · $527,781 to $579,533
Apr 9, 2025 to Feb 9, 2026
Non-discretionary RAUM · $50.6M to $53.2M
Apr 9, 2025 to Feb 9, 2026
RAUM · $139M to $142M
Apr 9, 2025 to Feb 9, 2026
Corporate clients · 2 to 3
Oct 30, 2024 to Apr 9, 2025
HNW clients · 15 to 12
Oct 30, 2024 to Apr 9, 2025
Individual clients · 2 to 1
Oct 30, 2024 to Apr 9, 2025
Assets in custody · $85.1M to $88.8M
Oct 30, 2024 to Apr 9, 2025
Financial planning clients · unset to
Oct 30, 2024 to Apr 9, 2025
HQ city · unset to
Oct 30, 2024 to Apr 9, 2025
HQ state · unset to
Oct 30, 2024 to Apr 9, 2025
Discretionary RAUM · $99.2M to $88.8M
Oct 30, 2024 to Apr 9, 2025
HNW RAUM · $97.2M to $87.2M
Oct 30, 2024 to Apr 9, 2025
Individual RAUM · $936,241 to $527,781
Oct 30, 2024 to Apr 9, 2025
Non-discretionary RAUM · $48.6M to $50.6M
Oct 30, 2024 to Apr 9, 2025
RAUM · $148M to $139M
Oct 30, 2024 to Apr 9, 2025
Accounts · 31 to 26
Sep 25, 2023 to Mar 19, 2024
Advisory employees · 2 to 1
Sep 25, 2023 to Mar 19, 2024
HNW clients · 20 to 15
Sep 25, 2023 to Mar 19, 2024
Individual clients · 1 to 2
Sep 25, 2023 to Mar 19, 2024
Assets in custody · $103M to $85.1M
Sep 25, 2023 to Mar 19, 2024
Employees · 2 to 1
Sep 25, 2023 to Mar 19, 2024
Other offices · 1 to 0
Sep 25, 2023 to Mar 19, 2024
Discretionary RAUM · $103M to $99.2M
Sep 25, 2023 to Mar 19, 2024
HNW RAUM · $101M to $97.2M
Sep 25, 2023 to Mar 19, 2024
Individual RAUM · $208,073 to $936,241
Sep 25, 2023 to Mar 19, 2024
Non-discretionary RAUM · $47.5M to $48.6M
Sep 25, 2023 to Mar 19, 2024
RAUM · $150M to $148M
Sep 25, 2023 to Mar 19, 2024
Charity clients · 1 to 2
Mar 15, 2022 to Feb 21, 2023
HNW clients · 18 to 20
Mar 15, 2022 to Feb 21, 2023
Individual clients · 3 to 1
Mar 15, 2022 to Feb 21, 2023
Assets in custody · $145M to $103M
Mar 15, 2022 to Feb 21, 2023
Employees · 3 to 2
Mar 15, 2022 to Feb 21, 2023
Discretionary RAUM · $145M to $103M
Mar 15, 2022 to Feb 21, 2023
HNW RAUM · $106M to $101M
Mar 15, 2022 to Feb 21, 2023
Individual RAUM · $773,630 to $208,073
Mar 15, 2022 to Feb 21, 2023
Non-discretionary RAUM · $0 to $47.5M
Mar 15, 2022 to Feb 21, 2023
Pension RAUM · unset to 0.0
Mar 15, 2022 to Feb 21, 2023
Pooled vehicle RAUM · unset to 0.0
Mar 15, 2022 to Feb 21, 2023
RAUM · $145M to $150M
Mar 15, 2022 to Feb 21, 2023
Accounts · 42 to 31
Mar 1, 2021 to Mar 15, 2022
Advisory employees · 3 to 2
Mar 1, 2021 to Mar 15, 2022
Charity clients · 2 to 1
Mar 1, 2021 to Mar 15, 2022
HNW clients · 22 to 18
Mar 1, 2021 to Mar 15, 2022
Individual clients · 5 to 3
Mar 1, 2021 to Mar 15, 2022
Assets in custody · $113M to $145M
Mar 1, 2021 to Mar 15, 2022
Employees · 4 to 3
Mar 1, 2021 to Mar 15, 2022
State-registered IARs · 2 to 1
Mar 1, 2021 to Mar 15, 2022
Other offices · 2 to 1
Mar 1, 2021 to Mar 15, 2022
Discretionary RAUM · $150M to $145M
Mar 1, 2021 to Mar 15, 2022
HNW RAUM · $117M to $106M
Mar 1, 2021 to Mar 15, 2022
Individual RAUM · $984,586 to $773,630
Mar 1, 2021 to Mar 15, 2022
RAUM · $150M to $145M
Mar 1, 2021 to Mar 15, 2022
Accounts · 41 to 42
Jun 25, 2020 to Mar 1, 2021
Advisory employees · 2 to 3
Jun 25, 2020 to Mar 1, 2021
Corporate clients · unset to 2.0
Jun 25, 2020 to Mar 1, 2021
HNW clients · 24 to 22
Jun 25, 2020 to Mar 1, 2021
Individual clients · 2 to 5
Jun 25, 2020 to Mar 1, 2021
Assets in custody · $100M to $113M
Jun 25, 2020 to Mar 1, 2021
Employees · 3 to 4
Jun 25, 2020 to Mar 1, 2021
State-registered IARs · 1 to 2
Jun 25, 2020 to Mar 1, 2021
Discretionary RAUM · $146M to $150M
Jun 25, 2020 to Mar 1, 2021
HNW RAUM · $114M to $117M
Jun 25, 2020 to Mar 1, 2021
Individual RAUM · $750,000 to $984,586
Jun 25, 2020 to Mar 1, 2021
RAUM · $146M to $150M
Jun 25, 2020 to Mar 1, 2021
Accounts · 22 to 41
Mar 4, 2019 to Mar 1, 2020
Advisory employees · 1 to 2
Mar 4, 2019 to Mar 1, 2020
Charity clients · 1 to 2
Mar 4, 2019 to Mar 1, 2020
HNW clients · 22 to 24
Mar 4, 2019 to Mar 1, 2020
Individual clients · 1 to 2
Mar 4, 2019 to Mar 1, 2020
Assets in custody · $99.4M to $100M
Mar 4, 2019 to Mar 1, 2020
Employees · 2 to 3
Mar 4, 2019 to Mar 1, 2020

Signals

4 dated events

••• Locked
Apr 17, 2026 · ria indirect owner change · fact
••• Locked
Apr 17, 2026 · ria indirect owner change · fact
••• Locked
Apr 17, 2026 · ria indirect owner change · derived
••• Locked
Mar 19, 2024 · Control person left · inference

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
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Apr 17, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Apr 17, 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: $142Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026