DFX Intelligence

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W••••••••• S••••• C•••••• M••••••••• L••

Independent wealth managerSEC-registered· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $90.4M of regulatory assets across 2 registered advisors.

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

As of 2026-01-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $90.4M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +10%
Private clients: 100%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-01-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 24 Jan 2026, RAUM $81.9M to $90.4M (+10.4%) on the Form ADV filed 24 Jan 2026, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 150335 · SEC 801-96237 · 17 filingsShow

CRD 150335SEC 801-96237First filing on the tape Apr 28, 2015, latest Jan 24, 2026SEC status approved since May 8, 2015IAPD

RAUM

$90.4M

reported, Item 5.F

Discretionary

94%

of RAUM

Private clients

100%

$90.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$45.2M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM +6.2% a year over three years · the tape starts Apr 28, 2015

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

RAUM$90.4M as of Jan 24, 2026

Feb 23, 2016$34.7M then

HNW client RAUM$82.3M as of Jan 24, 2026

Feb 1, 2018$58.8M then

State-registered IARs (5.B.3)2 as of Jan 24, 2026

Feb 23, 20161 then

Employees (5.A)2 as of Jan 24, 2026

Feb 23, 20161 then

Private funds: no history

RAUM +10% over the last fiscal year+6.2% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Jan 24, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
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: $45.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 23derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.1MderivedHNW RAUM over HNW clients
Average account: $636,712derivedRAUM over accounts (5.F.2.f)
Discretionary: 94%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: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +10%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +4.5%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consultingreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client securities (9.A.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

91% high-net-worth individuals, 8.9% individuals

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

High-net-worth individuals$82.3M91%
Individuals$8.1M8.9%

Individual clients: 26reported
HNW clients: 20reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 142reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% 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

L•••• E••••• B••••• from U•• F•••••••• S••••••• I•••
Jun 5, 2014 · Other
S•••• N•• G••••• from U•• F•••••••• S••••••• I•••
May 14, 2009 · Other

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
L•••• E••••• B•••••	New York, Ny	Jun 5, 2014	19 y	1
S•••• N•• G•••••Certified Financial Planner, Chartered Financial Analyst	New York, Ny	Nov 15, 2023	20 y	3

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••• L••••• E••••• · Managing Member And Ccocontrol
since 05/2009 · owns 50% to 75%
G•••••• S••••• N•• · Managing Membercontrol
since 05/2009 · owns 50% to 75%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
New York, Ny · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 129 to 142
Feb 27, 2025 to Jan 24, 2026
HNW clients · 18 to 20
Feb 27, 2025 to Jan 24, 2026
Assets in custody · $16.3M to $10.4M
Feb 27, 2025 to Jan 24, 2026
Discretionary RAUM · $79.1M to $85.4M
Feb 27, 2025 to Jan 24, 2026
HNW RAUM · $71.4M to $82.3M
Feb 27, 2025 to Jan 24, 2026

Full history · 80 changes

Individual RAUM · $10.4M to $8.1M
Feb 27, 2025 to Jan 24, 2026
Non-discretionary RAUM · $2.8M to $5.0M
Feb 27, 2025 to Jan 24, 2026
RAUM · $81.9M to $90.4M
Feb 27, 2025 to Jan 24, 2026
Accounts · 133 to 129
Jan 30, 2024 to Feb 27, 2025
Individual clients · 28 to 26
Jan 30, 2024 to Feb 27, 2025
Assets in custody · $7.6M to $16.3M
Jan 30, 2024 to Feb 27, 2025
Financial planning clients · 1-10 to 1-10
Jan 30, 2024 to Feb 27, 2025
Discretionary RAUM · $74.5M to $79.1M
Jan 30, 2024 to Feb 27, 2025
HNW RAUM · $67.8M to $71.4M
Jan 30, 2024 to Feb 27, 2025
Individual RAUM · $10.0M to $10.4M
Jan 30, 2024 to Feb 27, 2025
Non-discretionary RAUM · $3.3M to $2.8M
Jan 30, 2024 to Feb 27, 2025
RAUM · $77.8M to $81.9M
Jan 30, 2024 to Feb 27, 2025
Accounts · 140 to 133
Feb 27, 2023 to Jan 30, 2024
HNW clients · 15 to 18
Feb 27, 2023 to Jan 30, 2024
Individual clients · 33 to 28
Feb 27, 2023 to Jan 30, 2024
Assets in custody · $8.9M to $7.6M
Feb 27, 2023 to Jan 30, 2024
Discretionary RAUM · $72.8M to $74.5M
Feb 27, 2023 to Jan 30, 2024
HNW RAUM · $65.5M to $67.8M
Feb 27, 2023 to Jan 30, 2024
Individual RAUM · $10.0M to $10.0M
Feb 27, 2023 to Jan 30, 2024
Non-discretionary RAUM · $2.7M to $3.3M
Feb 27, 2023 to Jan 30, 2024
RAUM · $75.5M to $77.8M
Feb 27, 2023 to Jan 30, 2024
Accounts · 141 to 140
Feb 25, 2022 to Feb 27, 2023
HNW clients · 18 to 15
Feb 25, 2022 to Feb 27, 2023
Individual clients · 31 to 33
Feb 25, 2022 to Feb 27, 2023
Assets in custody · $7.9M to $8.9M
Feb 25, 2022 to Feb 27, 2023
Discretionary RAUM · $74.8M to $72.8M
Feb 25, 2022 to Feb 27, 2023
HNW RAUM · $68.3M to $65.5M
Feb 25, 2022 to Feb 27, 2023
Individual RAUM · $10.0M to $10.0M
Feb 25, 2022 to Feb 27, 2023
Non-discretionary RAUM · $3.5M to $2.7M
Feb 25, 2022 to Feb 27, 2023
RAUM · $78.3M to $75.5M
Feb 25, 2022 to Feb 27, 2023
Accounts · 122 to 141
Mar 24, 2021 to Feb 25, 2022
HNW clients · 15 to 18
Mar 24, 2021 to Feb 25, 2022
Individual clients · 33 to 31
Mar 24, 2021 to Feb 25, 2022
Assets in custody · $7.5M to $7.9M
Mar 24, 2021 to Feb 25, 2022
Discretionary RAUM · $65.0M to $74.8M
Mar 24, 2021 to Feb 25, 2022
HNW RAUM · $9.2M to $68.3M
Mar 24, 2021 to Feb 25, 2022
Individual RAUM · $58.7M to $10.0M
Mar 24, 2021 to Feb 25, 2022
Non-discretionary RAUM · $3.0M to $3.5M
Mar 24, 2021 to Feb 25, 2022
RAUM · $68.0M to $78.3M
Mar 24, 2021 to Feb 25, 2022
Accounts · 126 to 122
Jun 23, 2020 to Mar 24, 2021
Advisory activities · 4 to 3
Jun 23, 2020 to Mar 24, 2021
HNW clients · 7 to 15
Jun 23, 2020 to Mar 24, 2021
Individual clients · 41 to 33
Jun 23, 2020 to Mar 24, 2021
Assets in custody · unset to 7512635.0
Jun 23, 2020 to Mar 24, 2021
Discretionary RAUM · $51.3M to $65.0M
Jun 23, 2020 to Mar 24, 2021
HNW RAUM · $43.7M to $9.2M
Jun 23, 2020 to Mar 24, 2021
Individual RAUM · $10.6M to $58.7M
Jun 23, 2020 to Mar 24, 2021
Non-discretionary RAUM · $3.0M to $3.0M
Jun 23, 2020 to Mar 24, 2021
RAUM · $54.3M to $68.0M
Jun 23, 2020 to Mar 24, 2021
HNW clients · 9 to 7
Dec 12, 2019 to Mar 13, 2020
Individual clients · 47 to 41
Dec 12, 2019 to Mar 13, 2020
Discretionary RAUM · $51.2M to $51.3M
Dec 12, 2019 to Mar 13, 2020
HNW RAUM · $50.7M to $43.7M
Dec 12, 2019 to Mar 13, 2020
Individual RAUM · $9.3M to $10.6M
Dec 12, 2019 to Mar 13, 2020
Non-discretionary RAUM · $8.8M to $3.0M
Dec 12, 2019 to Mar 13, 2020
RAUM · $60.0M to $54.3M
Dec 12, 2019 to Mar 13, 2020
Accounts · 134 to 126
Feb 1, 2018 to Mar 5, 2019
HNW clients · 12 to 9
Feb 1, 2018 to Mar 5, 2019
Financial planning clients · 0 to 1-10
Feb 1, 2018 to Mar 5, 2019
Discretionary RAUM · $57.3M to $51.2M
Feb 1, 2018 to Mar 5, 2019
HNW RAUM · $58.8M to $50.7M
Feb 1, 2018 to Mar 5, 2019
Individual RAUM · $7.9M to $9.3M
Feb 1, 2018 to Mar 5, 2019
Non-discretionary RAUM · $9.4M to $8.8M
Feb 1, 2018 to Mar 5, 2019
RAUM · $66.7M to $60.0M
Feb 1, 2018 to Mar 5, 2019
Accounts · 132 to 134
Jul 20, 2017 to Feb 1, 2018
HNW clients · unset to 12.0
Jul 20, 2017 to Feb 1, 2018
Individual clients · unset to 47.0
Jul 20, 2017 to Feb 1, 2018
Other offices · unset to 0.0
Jul 20, 2017 to Feb 1, 2018
Discretionary RAUM · $28.4M to $57.3M
Jul 20, 2017 to Feb 1, 2018
HNW RAUM · unset to 58831588.0
Jul 20, 2017 to Feb 1, 2018
Individual RAUM · unset to 7870247.0
Jul 20, 2017 to Feb 1, 2018
Non-discretionary RAUM · $9.0M to $9.4M
Jul 20, 2017 to Feb 1, 2018
RAUM · $37.4M to $66.7M
Jul 20, 2017 to Feb 1, 2018
Advisory employees · 1 to 2
Sep 28, 2016 to Feb 13, 2017
Advisory activities · 5 to 4
Sep 28, 2016 to Feb 13, 2017

Signals

1 dated events

••• Locked
Apr 28, 2015 · 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

Website: ••• Lockedreportedpublic record, Form ADV, Jan 24, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jan 24, 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: $45.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026