DFX Intelligence

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U••• W••••• G••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $182M of regulatory assets.

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

As of 2026-03-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $182M
Advisors: 0
RAUM change, 1 year: +18%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 26 Mar 2026, RAUM $154M to $182M (+17.7%) on the Form ADV filed 26 Mar 2026.

Every filed figure, and the identifiersCRD 141062 · SEC 801-66977 · 23 filingsShow

CRD 141062SEC 801-66977First filing on the tape Mar 5, 2012, latest Mar 26, 2026SEC status approved since Jul 14, 2006IAPD

RAUM

$182M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$182M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

23 filings and snapshots on the tape

RAUM +16% a year over three years · the tape starts Mar 5, 2012

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

RAUM$182M as of Mar 26, 2026

Mar 5, 2012$75.0M then

HNW client RAUM$131M as of Mar 26, 2026

Mar 30, 2018$33.5M then

State-registered IARs (5.B.3)0 as of Mar 26, 2026

Mar 5, 20120 then

Employees (5.A)2 as of Mar 26, 2026

Jan 22, 20134 then

Private funds1 as of Mar 30, 2018

Mar 23, 20171 then

RAUM +18% over the last fiscal year+16% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 26, 2026; every figure names its basis

Archetypes

HNW wealth manager

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: $2.3MderivedHNW RAUM over HNW clients
Average account: $706,348derivedRAUM 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: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: +18%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +0.4%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, 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

is an insurance broker or agent (6.A.6)
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

72% high-net-worth individuals, 28% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$131M72%
Individuals$50.5M28%

Individual clients: 200reported
HNW clients: 57reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 257reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
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 departure Every 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

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
U• W••••• C•••••• A••••••• L••no longer reported	Hedge Fund	$2.5M	15	Mar 23, 2017

Owners and control persons

Schedule A and B, latest filing

S••••••••• R•••••• J••••• · President / Chief Executive Officer / Chief Compliance Officercontrol
since 08/2006 · owns 75% or more

Who runs the funds

related persons named most often on the Form D filings of the firm's funds; 2 fund-person rows in all

Name	Where	Funds	Filings	Named
R••••• J••••• S••••••••executive officer	Woodbury, NY	1	4	n/a
U••• W••••• G•• L••entitypromoter	Woodbury, NY	1	4	n/a

SEC Form D, item 3 (related persons: executive officers, directors and promoters of the issuer), every amendment on EDGAR. A name links to its IAPD record only when it matches exactly one Schedule A owner of the same adviser (1 of 2 here); every other name is as filed and is not joined to anyone.

Related persons

Schedule D 7.A

S•••••••• F•••••••• C•••••••••
real estatey

Advisers that list U••• W••••• G••••• L•• as a related person

300177 y

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 256 to 257
Feb 13, 2025 to Mar 26, 2026
HNW clients · 49 to 57
Feb 13, 2025 to Mar 26, 2026
Individual clients · 207 to 200
Feb 13, 2025 to Mar 26, 2026
HQ city · WOODBURY to
Feb 13, 2025 to Mar 26, 2026
HQ state · NY to
Feb 13, 2025 to Mar 26, 2026

Full history · 80 changes

Discretionary RAUM · $154M to $182M
Feb 13, 2025 to Mar 26, 2026
HNW RAUM · $107M to $131M
Feb 13, 2025 to Mar 26, 2026
Individual RAUM · $47.4M to $50.5M
Feb 13, 2025 to Mar 26, 2026
RAUM · $154M to $182M
Feb 13, 2025 to Mar 26, 2026
Accounts · 255 to 256
Mar 27, 2024 to Feb 13, 2025
HNW clients · 43 to 49
Mar 27, 2024 to Feb 13, 2025
Individual clients · 212 to 207
Mar 27, 2024 to Feb 13, 2025
Financial planning clients · unset to
Mar 27, 2024 to Feb 13, 2025
Other offices · 0 to 1
Mar 27, 2024 to Feb 13, 2025
Discretionary RAUM · $136M to $154M
Mar 27, 2024 to Feb 13, 2025
HNW RAUM · $91.1M to $107M
Mar 27, 2024 to Feb 13, 2025
Individual RAUM · $45.4M to $47.4M
Mar 27, 2024 to Feb 13, 2025
RAUM · $136M to $154M
Mar 27, 2024 to Feb 13, 2025
Accounts · 256 to 255
Mar 29, 2023 to Mar 27, 2024
HNW clients · 33 to 43
Mar 29, 2023 to Mar 27, 2024
Individual clients · 223 to 212
Mar 29, 2023 to Mar 27, 2024
Discretionary RAUM · $117M to $136M
Mar 29, 2023 to Mar 27, 2024
HNW RAUM · $68.6M to $91.1M
Mar 29, 2023 to Mar 27, 2024
Individual RAUM · $48.0M to $45.4M
Mar 29, 2023 to Mar 27, 2024
RAUM · $117M to $136M
Mar 29, 2023 to Mar 27, 2024
Accounts · 262 to 256
Jun 30, 2022 to Mar 29, 2023
HNW clients · 36 to 33
Jun 30, 2022 to Mar 29, 2023
Individual clients · 226 to 223
Jun 30, 2022 to Mar 29, 2023
Discretionary RAUM · $126M to $117M
Jun 30, 2022 to Mar 29, 2023
HNW RAUM · $75.5M to $68.6M
Jun 30, 2022 to Mar 29, 2023
Individual RAUM · $50.6M to $48.0M
Jun 30, 2022 to Mar 29, 2023
RAUM · $126M to $117M
Jun 30, 2022 to Mar 29, 2023
Accounts · 261 to 262
Jun 14, 2021 to Mar 30, 2022
HNW clients · 27 to 36
Jun 14, 2021 to Mar 30, 2022
Individual clients · 234 to 226
Jun 14, 2021 to Mar 30, 2022
Discretionary RAUM · $102M to $126M
Jun 14, 2021 to Mar 30, 2022
HNW RAUM · $52.6M to $75.5M
Jun 14, 2021 to Mar 30, 2022
Individual RAUM · $49.1M to $50.6M
Jun 14, 2021 to Mar 30, 2022
RAUM · $102M to $126M
Jun 14, 2021 to Mar 30, 2022
Accounts · 197 to 261
Jun 26, 2020 to Mar 31, 2021
Advisory activities · 1 to 2
Jun 26, 2020 to Mar 31, 2021
HNW clients · 20 to 27
Jun 26, 2020 to Mar 31, 2021
Individual clients · 177 to 234
Jun 26, 2020 to Mar 31, 2021
Discretionary RAUM · $88.1M to $102M
Jun 26, 2020 to Mar 31, 2021
HNW RAUM · $35.3M to $52.6M
Jun 26, 2020 to Mar 31, 2021
Individual RAUM · $52.8M to $49.1M
Jun 26, 2020 to Mar 31, 2021
RAUM · $88.1M to $102M
Jun 26, 2020 to Mar 31, 2021
Related adviser · true to false
Jun 26, 2020 to Mar 31, 2021
Accounts · 247 to 197
Jan 29, 2019 to Jun 2, 2020
HNW clients · 22 to 20
Jan 29, 2019 to Jun 2, 2020
Individual clients · 225 to 177
Jan 29, 2019 to Jun 2, 2020
Other offices · 1 to 0
Jan 29, 2019 to Jun 2, 2020
Discretionary RAUM · $90.6M to $88.1M
Jan 29, 2019 to Jun 2, 2020
HNW RAUM · $41.7M to $35.3M
Jan 29, 2019 to Jun 2, 2020
Individual RAUM · $48.9M to $52.8M
Jan 29, 2019 to Jun 2, 2020
RAUM · $90.6M to $88.1M
Jan 29, 2019 to Jun 2, 2020
Advisory activities · 2 to 1
Oct 24, 2018 to Jan 29, 2019
HNW clients · 21 to 22
Oct 24, 2018 to Jan 29, 2019
Individual clients · 226 to 225
Oct 24, 2018 to Jan 29, 2019
Financial planning clients · 101-250 to unset
Oct 24, 2018 to Jan 29, 2019
Discretionary RAUM · $91.7M to $90.6M
Oct 24, 2018 to Jan 29, 2019
HNW RAUM · $40.8M to $41.7M
Oct 24, 2018 to Jan 29, 2019
Individual RAUM · $50.9M to $48.9M
Oct 24, 2018 to Jan 29, 2019
RAUM · $91.7M to $90.6M
Oct 24, 2018 to Jan 29, 2019
Related adviser · false to true
Oct 24, 2018 to Jan 29, 2019
Accounts · 245 to 247
Mar 30, 2018 to Oct 24, 2018
Advisory activities · 3 to 2
Mar 30, 2018 to Oct 24, 2018
Individual clients · 224 to 226
Mar 30, 2018 to Oct 24, 2018
Private funds · 1 to unset
Mar 30, 2018 to Oct 24, 2018
Discretionary RAUM · $86.7M to $91.7M
Mar 30, 2018 to Oct 24, 2018
HNW RAUM · $33.5M to $40.8M
Mar 30, 2018 to Oct 24, 2018
Individual RAUM · $49.3M to $50.9M
Mar 30, 2018 to Oct 24, 2018
RAUM · $86.7M to $91.7M
Mar 30, 2018 to Oct 24, 2018
Related adviser · true to false
Mar 30, 2018 to Oct 24, 2018
Accounts · 252 to 245
Nov 16, 2017 to Mar 30, 2018
HNW clients · 19 to 21
Nov 16, 2017 to Mar 30, 2018
Individual clients · 232 to 224
Nov 16, 2017 to Mar 30, 2018
Discretionary RAUM · $82.5M to $86.7M
Nov 16, 2017 to Mar 30, 2018
HNW RAUM · $28.5M to $33.5M
Nov 16, 2017 to Mar 30, 2018
Individual RAUM · $50.0M to $49.3M
Nov 16, 2017 to Mar 30, 2018

Signals

1 dated events

••• Locked
Mar 26, 2026 · ria office opened · 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 16, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 26, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 26, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 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.