DFX Intelligence
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SEC-registered adviser
D•••••• T•••••• M••••••••• L•••
Latest filing Mar 16, 2026
First filing on the tape Mar 26, 2012 · 23 filings
SEC status approved since Dec 11, 2006
RAUM
$117M
reported, Item 5.F
Discretionary
64%
of RAUM
Private clients
61%
$71.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$117M as of Mar 16, 2026
Mar 26, 2012$25.5M then
HNW client RAUM$59.1M as of Mar 16, 2026
Mar 31, 2018$33.9M then
State-registered IARs (5.B.3)1 as of Mar 16, 2026
Apr 2, 20131 then
Employees (5.A)3 as of Mar 16, 2026
Apr 2, 20131 then
Private funds: no history
RAUM +126% over the last fiscal year+33% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $832,812derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 64%derivedof RAUM
- Institutional
- 38%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +126%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- High-net-worth individuals$59.1M51%
- Pension and profit-sharing plans$44.6M38%
- Individuals$12.2M10%
- Corporations and businesses$751,1610.6%
- Individual clients
- 39reported
- HNW clients
- 40reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 140reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.61 fund_share=0.0 institutional_share=0.38 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• P• B•••••• | White Plains, Ny | Mar 20, 2023 | 35 y | 1 |
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
- T•••••• P• B•••••• from C•••• D•••• • C••• I•••Mar 20, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• T••••••• P••• · Managing Member/President/Chief Compliance Officercontrolsince 11/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 16, 2026discretionary share of RAUM moved from 100.0% to 64.0% between the annual amendments of 2025-03-23 and 2026-03-16peers: independent wealth managers, $100M to $500M (5,679)
- institutional asset share shiftChange between filings · filing Mar 16, 2026institutional share of RAUM moved from 4.0% to 39.0% between the annual amendments of 2025-03-23 and 2026-03-16peers: independent wealth managers, $100M to $500M (5,679)
- RAUM up 50 %Change between filings · filing Mar 16, 2026RAUM (Item 5.F) moved from $51,533,000 to $116,593,685 (+126.0%) between the annual amendments of 2025-03-23 and 2026-03-16; the peer median change was +15.0% (4548 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,548) · 99% percentile
- client mix shiftChange between filings · filing Mar 16, 2026private-client share of RAUM moved from 96.0% to 61.0% between the annual amendments of 2025-03-23 and 2026-03-16peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Accounts · 135 to 140Jul 30, 2025 to Mar 16, 2026
- HNW clients · 35 to 40Jul 30, 2025 to Mar 16, 2026
- Individual clients · 44 to 39Jul 30, 2025 to Mar 16, 2026
- Discretionary RAUM · $103M to $74.2MJul 30, 2025 to Mar 16, 2026
- HNW RAUM · $48.5M to $59.1MJul 30, 2025 to Mar 16, 2026
- Individual RAUM · $12.0M to $12.2MJul 30, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $0 to $42.4MJul 30, 2025 to Mar 16, 2026
- Pension RAUM · $41.9M to $44.6MJul 30, 2025 to Mar 16, 2026
- RAUM · $103M to $117MJul 30, 2025 to Mar 16, 2026
- Accounts · 132 to 135Mar 23, 2025 to Jul 30, 2025
- HNW clients · 30 to 35Mar 23, 2025 to Jul 30, 2025
- Individual clients · 53 to 44Mar 23, 2025 to Jul 30, 2025
- Pension plan clients · 1 to 2Mar 23, 2025 to Jul 30, 2025
- Financial planning clients · unset to Mar 23, 2025 to Jul 30, 2025
- Discretionary RAUM · $51.5M to $103MMar 23, 2025 to Jul 30, 2025
- HNW RAUM · $23.8M to $48.5MMar 23, 2025 to Jul 30, 2025
- Individual RAUM · $25.5M to $12.0MMar 23, 2025 to Jul 30, 2025
- Pension RAUM · $1.6M to $41.9MMar 23, 2025 to Jul 30, 2025
- RAUM · $51.5M to $103MMar 23, 2025 to Jul 30, 2025
- Accounts · 123 to 132Jan 30, 2025 to Mar 23, 2025
- HNW clients · 45 to 30Jan 30, 2025 to Mar 23, 2025
- Individual clients · 30 to 53Jan 30, 2025 to Mar 23, 2025
- Discretionary RAUM · $53.2M to $51.5MJan 30, 2025 to Mar 23, 2025
- HNW RAUM · $46.0M to $23.8MJan 30, 2025 to Mar 23, 2025
- Individual RAUM · $4.7M to $25.5MJan 30, 2025 to Mar 23, 2025
- Pension RAUM · $1.8M to $1.6MJan 30, 2025 to Mar 23, 2025
- RAUM · $53.2M to $51.5MJan 30, 2025 to Mar 23, 2025
- Advisory employees · 2 to 1Mar 27, 2024 to Jan 30, 2025
- BD registered reps · 2 to 1Mar 27, 2024 to Jan 30, 2025
- Employees · 2 to 3Mar 27, 2024 to Jan 30, 2025
- State-registered IARs · 2 to 1Mar 27, 2024 to Jan 30, 2025
- Accounts · 121 to 123Dec 8, 2023 to Mar 18, 2024
- HNW clients · 37 to 45Dec 8, 2023 to Mar 18, 2024
- Individual clients · 62 to 30Dec 8, 2023 to Mar 18, 2024
- Pension plan clients · 2 to 1Dec 8, 2023 to Mar 18, 2024
- Discretionary RAUM · $49.0M to $53.2MDec 8, 2023 to Mar 18, 2024
- HNW RAUM · $33.1M to $46.0MDec 8, 2023 to Mar 18, 2024
- Individual RAUM · $13.7M to $4.7MDec 8, 2023 to Mar 18, 2024
- Pension RAUM · $1.7M to $1.8MDec 8, 2023 to Mar 18, 2024
- RAUM · $49.0M to $53.2MDec 8, 2023 to Mar 18, 2024
Signals
No event on the tape.
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
- 914-220-9404reportedpublic record, Form ADV, Mar 16, 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026