DFX Intelligence

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SEC-registered adviser

R• S••••••••• C•••••• M••••••••• L•••

Independent wealth managerNew York, New YorkCRD 145159SEC 801-68388IAPD

Legal name R••••••••• C•••••• M••••••••• L•••

Latest filing Mar 24, 2026

First filing on the tape Mar 28, 2012 · 23 filings

SEC status approved since Oct 15, 2007

RAUM

$227M

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

100%

$227M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$227M

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$227M as of Mar 24, 2026

Mar 28, 2012$90.5M then

HNW client RAUM$227M as of Mar 24, 2026

Mar 20, 2018$155M then

State-registered IARs (5.B.3)1 as of Mar 24, 2026

Mar 28, 20120 then

Employees (5.A)1 as of Mar 24, 2026

Mar 19, 20131 then

Private funds: no history

RAUM -1.3% over the last fiscal year+7.4% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 24, 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
UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M

RAUM per advisor: $227MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $15.1MderivedHNW RAUM over HNW clients
Average account: $9.9MderivedRAUM over accounts (5.F.2.f)
Discretionary: 99%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: 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 assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Custody: $361,559, 1 clientsreportedItem 9.A
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)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$227M100%

Individual clients: n/areported
HNW clients: 15reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 23reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $361,559 for 1 clientsreported
Compensation: % of AUMreported
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
R•••••• M••••• S•••••••••	New York, Ny	Mar 9, 2021	42 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

S••••••••• R••••••• M••••• · Managing Member And Chief Compliance Officercontrol
since 04/2007 · 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.

What changed

consecutive filings, newest first

Accounts · 15 to 23
Jun 6, 2025 to Mar 24, 2026
Assets in custody · $6.6M to $361,559
Jun 6, 2025 to Mar 24, 2026
Discretionary RAUM · $227M to $224M
Jun 6, 2025 to Mar 24, 2026
HNW RAUM · $230M to $227M
Jun 6, 2025 to Mar 24, 2026
Non-discretionary RAUM · $2.9M to $3.3M
Jun 6, 2025 to Mar 24, 2026
RAUM · $230M to $227M
Jun 6, 2025 to Mar 24, 2026
Assets in custody · unset to 6570000.0
Mar 5, 2025 to Jun 6, 2025
Custody of client assets · false to true
Mar 5, 2025 to Jun 6, 2025
Financial planning clients · unset to
Mar 5, 2025 to Jun 6, 2025
Accounts · 14 to 15
Mar 20, 2024 to Mar 5, 2025
HNW clients · 12 to 15
Mar 20, 2024 to Mar 5, 2025
Individual clients · 2.0 to unset
Mar 20, 2024 to Mar 5, 2025
Discretionary RAUM · $2.6M to $227M
Mar 20, 2024 to Mar 5, 2025
HNW RAUM · $175M to $230M
Mar 20, 2024 to Mar 5, 2025
Individual RAUM · 2574234.0 to unset
Mar 20, 2024 to Mar 5, 2025
Non-discretionary RAUM · $175M to $2.9M
Mar 20, 2024 to Mar 5, 2025
RAUM · $178M to $230M
Mar 20, 2024 to Mar 5, 2025
Accounts · 18 to 14
Mar 15, 2023 to Mar 14, 2024
HNW clients · 18 to 12
Mar 15, 2023 to Mar 14, 2024
Individual clients · unset to 2.0
Mar 15, 2023 to Mar 14, 2024
Discretionary RAUM · $181M to $2.6M
Mar 15, 2023 to Mar 14, 2024
HNW RAUM · $183M to $175M
Mar 15, 2023 to Mar 14, 2024
Individual RAUM · unset to 2574234.0
Mar 15, 2023 to Mar 14, 2024
Non-discretionary RAUM · $2.0M to $175M
Mar 15, 2023 to Mar 14, 2024
RAUM · $183M to $178M
Mar 15, 2023 to Mar 14, 2024
Accounts · 20 to 18
Mar 16, 2022 to Mar 15, 2023
HNW clients · 20 to 18
Mar 16, 2022 to Mar 15, 2023
Discretionary RAUM · $195M to $181M
Mar 16, 2022 to Mar 15, 2023
HNW RAUM · $198M to $183M
Mar 16, 2022 to Mar 15, 2023
Non-discretionary RAUM · $2.7M to $2.0M
Mar 16, 2022 to Mar 15, 2023
RAUM · $198M to $183M
Mar 16, 2022 to Mar 15, 2023
Accounts · 21 to 20
Mar 19, 2021 to Mar 15, 2022
HNW clients · 21 to 20
Mar 19, 2021 to Mar 15, 2022
State-registered IARs · 0 to 1
Mar 19, 2021 to Mar 15, 2022
Discretionary RAUM · $173M to $195M
Mar 19, 2021 to Mar 15, 2022
HNW RAUM · $176M to $198M
Mar 19, 2021 to Mar 15, 2022
Non-discretionary RAUM · $2.5M to $2.7M
Mar 19, 2021 to Mar 15, 2022
RAUM · $176M to $198M
Mar 19, 2021 to Mar 15, 2022
Accounts · 22 to 21
Jun 26, 2020 to Mar 19, 2021
HNW clients · 22 to 21
Jun 26, 2020 to Mar 19, 2021

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: 917-324-1603reportedpublic record, Form ADV, Mar 24, 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: $227Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026