DFX Intelligence

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A•••• C•••••• M••••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $130M of regulatory assets across 1 registered advisors.

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

As of 2026-06-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $130M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +6.6%
Private clients: 72%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-06-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+6.6%
RAUM, one year
RAUM $122M to $130M (+6.6%) on the Form ADV filed 9 Jun 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 148709 · SEC 801-79956 · 21 filingsShow

CRD 148709SEC 801-79956First filing on the tape Jun 16, 2014, latest Jun 9, 2026SEC status approved since Jun 25, 2014IAPD

RAUM

$130M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

72%

$93.8M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$130M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM +14% a year over three years · the tape starts Jun 16, 2014

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

RAUM$130M as of Jun 9, 2026

Mar 19, 2015$40.1M then

HNW client RAUM$87.7M as of Jun 9, 2026

Mar 30, 2018$30.6M then

State-registered IARs (5.B.3)0 as of Jun 9, 2026

Mar 19, 20150 then

Employees (5.A)2 as of Jun 9, 2026

Mar 19, 20151 then

Private funds: no history

RAUM +6.6% over the last fiscal year+14% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jun 9, 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: $130MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 30derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.6MderivedHNW RAUM over HNW clients
Average account: $743,915derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +6.6%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +3.4%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
Custody: $19.4M, 10 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

67% high-net-worth individuals, 28% charitable organizations, and 2 other client types

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

High-net-worth individuals$87.7M67%
Charitable organizations$36.4M28%
Individuals$6.1M4.7%
Corporations and businesses$2270.0%

Individual clients: 11reported
HNW clients: 19reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 175reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $19.4M for 10 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 72% private clients, 0% pooled funds, 28% 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
A•••• L••••• R••••••Chartered Financial Analyst	New York, Ny	Mar 1, 2021	18 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

R••••••• A••••• L••••• · Managing Member And Chief Compliance Officercontrol
since 10/2008 · 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 · 197 to 175
Mar 20, 2025 to Mar 23, 2026
Individual clients · 10 to 11
Mar 20, 2025 to Mar 23, 2026
Assets in custody · $20.8M to $19.4M
Mar 20, 2025 to Mar 23, 2026
Financial planning clients · 0 to 1-10
Mar 20, 2025 to Mar 23, 2026
Discretionary RAUM · $122M to $130M
Mar 20, 2025 to Mar 23, 2026

Full history · 80 changes

HNW RAUM · $81.5M to $87.7M
Mar 20, 2025 to Mar 23, 2026
Individual RAUM · $5.1M to $6.1M
Mar 20, 2025 to Mar 23, 2026
RAUM · $122M to $130M
Mar 20, 2025 to Mar 23, 2026
Accounts · 171 to 197
Nov 5, 2024 to Mar 20, 2025
Individual clients · 12 to 10
Nov 5, 2024 to Mar 20, 2025
Assets in custody · $21.0M to $20.8M
Nov 5, 2024 to Mar 20, 2025
Employees · 1 to 2
Nov 5, 2024 to Mar 20, 2025
Financial planning clients · 0 to 0
Nov 5, 2024 to Mar 20, 2025
HQ city · unset to
Nov 5, 2024 to Mar 20, 2025
HQ state · unset to
Nov 5, 2024 to Mar 20, 2025
Discretionary RAUM · $111M to $122M
Nov 5, 2024 to Mar 20, 2025
HNW RAUM · $75.0M to $81.5M
Nov 5, 2024 to Mar 20, 2025
Individual RAUM · $5.9M to $5.1M
Nov 5, 2024 to Mar 20, 2025
RAUM · $111M to $122M
Nov 5, 2024 to Mar 20, 2025
Custody of client assets · false to true
Sep 29, 2024 to Nov 5, 2024
Advisory activities · 4 to 5
Mar 27, 2024 to Sep 29, 2024
Accounts · 158 to 171
Aug 22, 2023 to Mar 27, 2024
HNW clients · 16 to 19
Aug 22, 2023 to Mar 27, 2024
Individual clients · 13 to 12
Aug 22, 2023 to Mar 27, 2024
Assets in custody · $18.5M to $21.0M
Aug 22, 2023 to Mar 27, 2024
Financial planning clients · 1-10 to 0
Aug 22, 2023 to Mar 27, 2024
Discretionary RAUM · $87.8M to $111M
Aug 22, 2023 to Mar 27, 2024
HNW RAUM · $60.5M to $75.0M
Aug 22, 2023 to Mar 27, 2024
Individual RAUM · $7.0M to $5.9M
Aug 22, 2023 to Mar 27, 2024
RAUM · $87.8M to $111M
Aug 22, 2023 to Mar 27, 2024
Accounts · 134 to 158
Mar 30, 2022 to Mar 25, 2023
HNW clients · 15 to 16
Mar 30, 2022 to Mar 25, 2023
Individual clients · 9 to 13
Mar 30, 2022 to Mar 25, 2023
Assets in custody · $19.4M to $18.5M
Mar 30, 2022 to Mar 25, 2023
Discretionary RAUM · $93.8M to $87.8M
Mar 30, 2022 to Mar 25, 2023
HNW RAUM · $65.2M to $60.5M
Mar 30, 2022 to Mar 25, 2023
Individual RAUM · $5.0M to $7.0M
Mar 30, 2022 to Mar 25, 2023
RAUM · $93.8M to $87.8M
Mar 30, 2022 to Mar 25, 2023
Accounts · 122 to 134
Mar 22, 2021 to Mar 30, 2022
HNW clients · 13 to 15
Mar 22, 2021 to Mar 30, 2022
Individual clients · 8 to 9
Mar 22, 2021 to Mar 30, 2022
Assets in custody · $18.7M to $19.4M
Mar 22, 2021 to Mar 30, 2022
Discretionary RAUM · $73.7M to $93.8M
Mar 22, 2021 to Mar 30, 2022
HNW RAUM · $46.9M to $65.2M
Mar 22, 2021 to Mar 30, 2022
Individual RAUM · $4.4M to $5.0M
Mar 22, 2021 to Mar 30, 2022
RAUM · $73.7M to $93.8M
Mar 22, 2021 to Mar 30, 2022
Accounts · 87 to 122
Jun 2, 2020 to Mar 19, 2021
HNW clients · 10 to 13
Jun 2, 2020 to Mar 19, 2021
Individual clients · 10 to 8
Jun 2, 2020 to Mar 19, 2021
Assets in custody · $19.1M to $18.7M
Jun 2, 2020 to Mar 19, 2021
Discretionary RAUM · $64.1M to $73.7M
Jun 2, 2020 to Mar 19, 2021
HNW RAUM · $37.4M to $46.9M
Jun 2, 2020 to Mar 19, 2021
Individual RAUM · $3.1M to $4.4M
Jun 2, 2020 to Mar 19, 2021
Non-discretionary RAUM · $1.5M to $0
Jun 2, 2020 to Mar 19, 2021
RAUM · $65.5M to $73.7M
Jun 2, 2020 to Mar 19, 2021
Assets in custody · $15.0M to $19.1M
Apr 1, 2019 to Mar 30, 2020
Discretionary RAUM · $57.4M to $64.1M
Apr 1, 2019 to Mar 30, 2020
HNW RAUM · $30.1M to $37.4M
Apr 1, 2019 to Mar 30, 2020
Individual RAUM · $2.8M to $3.1M
Apr 1, 2019 to Mar 30, 2020
Non-discretionary RAUM · $803,661 to $1.5M
Apr 1, 2019 to Mar 30, 2020
RAUM · $58.2M to $65.5M
Apr 1, 2019 to Mar 30, 2020
Accounts · 66 to 87
Mar 30, 2018 to Apr 1, 2019
Assets in custody · $5.5M to $15.0M
Mar 30, 2018 to Apr 1, 2019
Discretionary RAUM · $60.7M to $57.4M
Mar 30, 2018 to Apr 1, 2019
HNW RAUM · $30.6M to $30.1M
Mar 30, 2018 to Apr 1, 2019
Individual RAUM · $2.7M to $2.8M
Mar 30, 2018 to Apr 1, 2019
Non-discretionary RAUM · $0 to $803,661
Mar 30, 2018 to Apr 1, 2019
RAUM · $60.7M to $58.2M
Mar 30, 2018 to Apr 1, 2019
Accounts · 48 to 66
Feb 21, 2017 to Mar 30, 2018
HNW clients · unset to 10.0
Feb 21, 2017 to Mar 30, 2018
Individual clients · unset to 10.0
Feb 21, 2017 to Mar 30, 2018
Assets in custody · unset to 5457313.0
Feb 21, 2017 to Mar 30, 2018
Other offices · unset to 0.0
Feb 21, 2017 to Mar 30, 2018
Discretionary RAUM · $46.0M to $60.7M
Feb 21, 2017 to Mar 30, 2018
HNW RAUM · unset to 30621110.0
Feb 21, 2017 to Mar 30, 2018
Individual RAUM · unset to 2728554.0
Feb 21, 2017 to Mar 30, 2018
Non-discretionary RAUM · $142,517 to $0
Feb 21, 2017 to Mar 30, 2018
RAUM · $46.1M to $60.7M
Feb 21, 2017 to Mar 30, 2018
Accounts · 38 to 48
Mar 28, 2016 to Feb 21, 2017
Discretionary RAUM · $37.5M to $46.0M
Mar 28, 2016 to Feb 21, 2017

Signals

1 dated events

••• Locked
Jun 16, 2014 · First SEC registration · 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 phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jun 9, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jun 9, 2026
Team page: ••• 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: $130Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026