DFX Intelligence
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A•••• I••••••••• M••••••••• L••
Independent wealth managerSEC-registered· New York, New York
Independent wealth manager, based in New York, New York, reporting $237M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $237M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +1.3%
- Private clients
- 75% of RAUM, $177M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 1
Every filed figure, and the identifiersCRD 141516 · SEC 801-67131 · 29 filingsShowHide
CRD 141516SEC 801-67131First filing on the tape Mar 29, 2012, latest Apr 15, 2026SEC status approved since Aug 24, 2006IAPD
RAUM
$237M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
75%
$177M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$237M
derived; firm RAUM over IAPD count
Employees
10
4 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$237M as of Apr 15, 2026
Mar 29, 2012$150M then
HNW client RAUM$177M as of Apr 15, 2026
Mar 20, 2018$90.2M then
State-registered IARs (5.B.3)1 as of Apr 15, 2026
Mar 21, 20130 then
Employees (5.A)10 as of Apr 15, 2026
Mar 21, 201310 then
Private funds: no history
RAUM +1.3% over the last fiscal year+20% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 15, 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
- $237MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $879,994derivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$177M75%
- Corporations and businesses$54.3M23%
- Pension and profit-sharing plans$4.7M2.0%
- Charitable organizations$817,7090.3%
- Individual clients
- n/areported
- HNW clients
- 201reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 214reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.75 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=9.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••• F•••••• D••••• | New York, Ny | Dec 2, 2021 | 41 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• L•••• F•••••• · Ceo, Managing Member, Chairman, Comptrollercontrolsince 08/2006 · owns 75% or more
- M•••••• E•••• L•• · Chief Compliance Officercontrolsince 01/2011 · owns less than 5%
- D•••••••• M•••• · Director Of Operationssince 01/2013 · owns less than 5%
Related persons
Schedule D 7.A
- A•••• C•••••• M••••••••• I•••broker-dealery
- D•••••• C•••••••••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 194 to 214Mar 28, 2025 to Apr 15, 2026
- BD registered reps · 10 to 9Mar 28, 2025 to Apr 15, 2026
- Corporate clients · 9 to 11Mar 28, 2025 to Apr 15, 2026
- HNW clients · 181 to 201Mar 28, 2025 to Apr 15, 2026
- Pooled vehicle clients · 2.0 to unsetMar 28, 2025 to Apr 15, 2026
- Employees · 11 to 10Mar 28, 2025 to Apr 15, 2026
- Discretionary RAUM · $234M to $237MMar 28, 2025 to Apr 15, 2026
- HNW RAUM · $176M to $177MMar 28, 2025 to Apr 15, 2026
- Pension RAUM · $5.2M to $4.7MMar 28, 2025 to Apr 15, 2026
- Pooled vehicle RAUM · 2940123.0 to unsetMar 28, 2025 to Apr 15, 2026
- RAUM · $234M to $237MMar 28, 2025 to Apr 15, 2026
- Accounts · 199 to 194Mar 27, 2024 to Mar 28, 2025
- Corporate clients · 11 to 9Mar 27, 2024 to Mar 28, 2025
- HNW clients · 186 to 181Mar 27, 2024 to Mar 28, 2025
- Pooled vehicle clients · unset to 2.0Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $214M to $234MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $160M to $176MMar 27, 2024 to Mar 28, 2025
- Pension RAUM · $5.4M to $5.2MMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · unset to 2940123.0Mar 27, 2024 to Mar 28, 2025
- RAUM · $214M to $234MMar 27, 2024 to Mar 28, 2025
- Accounts · 212 to 199Mar 31, 2023 to Mar 27, 2024
- Advisory employees · 6 to 4Mar 31, 2023 to Mar 27, 2024
- Corporate clients · 16 to 11Mar 31, 2023 to Mar 27, 2024
- Pension plan clients · 9 to 1Mar 31, 2023 to Mar 27, 2024
- Employees · 10 to 11Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $136M to $214MMar 31, 2023 to Mar 27, 2024
- HNW RAUM · $130M to $160MMar 31, 2023 to Mar 27, 2024
- Pension RAUM · $245,938 to $5.4MMar 31, 2023 to Mar 27, 2024
- RAUM · $136M to $214MMar 31, 2023 to Mar 27, 2024
- Accounts · 185 to 212Aug 4, 2022 to Mar 31, 2023
- Advisory employees · 7 to 6Aug 4, 2022 to Mar 31, 2023
- Charity clients · unset to 1.0Aug 4, 2022 to Mar 31, 2023
- Corporate clients · 11 to 16Aug 4, 2022 to Mar 31, 2023
- HNW clients · 164 to 186Aug 4, 2022 to Mar 31, 2023
- Pension plan clients · 4 to 9Aug 4, 2022 to Mar 31, 2023
- Discretionary RAUM · $134M to $136MAug 4, 2022 to Mar 31, 2023
- HNW RAUM · $123M to $130MAug 4, 2022 to Mar 31, 2023
- Pension RAUM · $289,116 to $245,938Aug 4, 2022 to Mar 31, 2023
- RAUM · $134M to $136MAug 4, 2022 to Mar 31, 2023
Signals
2 dated events
- ••• LockedApr 14, 2020 · RAUM change · derived
- ••• LockedMar 28, 2019 · RAUM change · derived
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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Apr 15, 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
- $237Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026