DFX Intelligence

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1••• A•••••••• A••••••• L••

Independent wealth managerSEC-registered1 private funds· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $390M of regulatory assets.

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

As of 2026-03-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $390M
Advisors: 0
RAUM change, 1 year: +21%
Private clients: 74%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 3 Mar 2026, RAUM $324M to $390M (+20.6%) on the Form ADV filed 3 Mar 2026.

Every filed figure, and the identifiersCRD 150575 · SEC 801-70324 · 40 filingsShow

CRD 150575SEC 801-70324First filing on the tape Dec 23, 2011, latest Mar 3, 2026SEC status approved since Jun 23, 2009IAPD

RAUM

$390M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

74%

$287M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

40 filings and snapshots on the tape

RAUM +33% a year over three years · the tape starts Dec 23, 2011

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

RAUM$390M as of Mar 3, 2026

Mar 29, 2012$112M then

HNW client RAUM$287M as of Mar 3, 2026

Mar 19, 2018$95.4M then

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

Mar 29, 20120 then

Employees (5.A)8 as of Mar 3, 2026

Mar 5, 20135 then

Private funds1 as of Mar 3, 2026

Mar 29, 20121 then

RAUM +21% over the last fiscal year+33% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 3, 2026; every figure names its basis

Archetypes

RIA with private funds

The rule behind each archetype, and every derived figure1 ruleShow

RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.6MderivedHNW RAUM over HNW clients
Average account: $4.9MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: +21%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 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 pooled vehiclesreportedItem 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

has discretionary authority over which securities are bought or sold (8.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

74% high-net-worth individuals, 26% pooled investment vehicles

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

High-net-worth individuals$287M74%
Pooled investment vehicles$103M26%

Individual clients: n/areported
HNW clients: 79reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 80reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 74% private clients, 26% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
V•••••••• M•••••••• T•••••• F••• L•	Hedge Fund	$71.5M	28	Feb 14, 2014
G••••••••• M•••••••• T•••••• M••••• F••• L•no longer reported	Hedge Fund	$48.2M	62	Mar 29, 2012

Owners and control persons

Schedule A and B, latest filing

L••• J•••• J••••• · Chief Compliance Officercontrol
since 05/2009 · owns 25% to 50%
M•••••••• R••••••• J•• · Member / Co-Portfolio Managercontrol
since 05/2009 · owns 25% to 50%
L••• J•••• J••••• · Trustee/Membercontrol
since 03/2011 · owns 25% to 50% of J•• M••••••• 2••• F••••• T••••

Entity owners

J•• M••••••• 2••• F••••• T•••• · Member
direct · owns 10% to 25%

Related persons

Schedule D 7.A

V•••••••• M•••••••• P••••••• L••
pooled vehicle sponsorn

Advisers that list 1••• A•••••••• A••••••• L•• as a related person

326709 n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 81 to 80
Dec 5, 2025 to Mar 3, 2026
Pooled vehicle clients · 2 to 1
Dec 5, 2025 to Mar 3, 2026
Discretionary RAUM · $324M to $390M
Dec 5, 2025 to Mar 3, 2026
HNW RAUM · $239M to $287M
Dec 5, 2025 to Mar 3, 2026
Pooled vehicle RAUM · $85.1M to $103M
Dec 5, 2025 to Mar 3, 2026

Full history · 80 changes

RAUM · $324M to $390M
Dec 5, 2025 to Mar 3, 2026
Related adviser · true to false
Apr 14, 2025 to Dec 5, 2025
Accounts · 85 to 81
Mar 7, 2024 to Apr 14, 2025
HNW clients · 83 to 79
Mar 7, 2024 to Apr 14, 2025
Financial planning clients · 0 to 0
Mar 7, 2024 to Apr 14, 2025
Discretionary RAUM · $229M to $324M
Mar 7, 2024 to Apr 14, 2025
HNW RAUM · $189M to $239M
Mar 7, 2024 to Apr 14, 2025
Pooled vehicle RAUM · $39.7M to $85.1M
Mar 7, 2024 to Apr 14, 2025
RAUM · $229M to $324M
Mar 7, 2024 to Apr 14, 2025
Related adviser · false to true
Mar 7, 2024 to Apr 14, 2025
Accounts · 78 to 85
Dec 22, 2023 to Mar 7, 2024
Advisory employees · 4 to 6
Dec 22, 2023 to Mar 7, 2024
Charity clients · 0.0 to unset
Dec 22, 2023 to Mar 7, 2024
Corporate clients · 0.0 to unset
Dec 22, 2023 to Mar 7, 2024
HNW clients · 77 to 83
Dec 22, 2023 to Mar 7, 2024
Individual clients · 0.0 to unset
Dec 22, 2023 to Mar 7, 2024
Pension plan clients · 0.0 to unset
Dec 22, 2023 to Mar 7, 2024
Pooled vehicle clients · 1 to 2
Dec 22, 2023 to Mar 7, 2024
Employees · 6 to 8
Dec 22, 2023 to Mar 7, 2024
Discretionary RAUM · $164M to $229M
Dec 22, 2023 to Mar 7, 2024
HNW RAUM · $133M to $189M
Dec 22, 2023 to Mar 7, 2024
Pooled vehicle RAUM · $31.9M to $39.7M
Dec 22, 2023 to Mar 7, 2024
RAUM · $164M to $229M
Dec 22, 2023 to Mar 7, 2024
Accounts · 61 to 78
Sep 28, 2022 to Mar 16, 2023
HNW clients · 60 to 77
Sep 28, 2022 to Mar 16, 2023
Discretionary RAUM · $109M to $164M
Sep 28, 2022 to Mar 16, 2023
HNW RAUM · $74.0M to $133M
Sep 28, 2022 to Mar 16, 2023
Pooled vehicle RAUM · $35.0M to $31.9M
Sep 28, 2022 to Mar 16, 2023
RAUM · $109M to $164M
Sep 28, 2022 to Mar 16, 2023
Accounts · 44 to 61
Feb 17, 2022 to Apr 13, 2022
Advisory employees · 3 to 4
Feb 17, 2022 to Apr 13, 2022
HNW clients · 43 to 60
Feb 17, 2022 to Apr 13, 2022
Employees · 5 to 6
Feb 17, 2022 to Apr 13, 2022
Financial planning clients · unset to 0
Feb 17, 2022 to Apr 13, 2022
Discretionary RAUM · $110M to $109M
Feb 17, 2022 to Apr 13, 2022
HNW RAUM · $76.5M to $74.0M
Feb 17, 2022 to Apr 13, 2022
Pooled vehicle RAUM · $33.8M to $35.0M
Feb 17, 2022 to Apr 13, 2022
RAUM · $110M to $109M
Feb 17, 2022 to Apr 13, 2022
Accounts · 36 to 44
Jul 17, 2020 to Apr 26, 2021
HNW clients · 35 to 43
Jul 17, 2020 to Apr 26, 2021
Discretionary RAUM · $117M to $110M
Jul 17, 2020 to Apr 26, 2021
HNW RAUM · $69.0M to $76.5M
Jul 17, 2020 to Apr 26, 2021
Pooled vehicle RAUM · $48.0M to $33.8M
Jul 17, 2020 to Apr 26, 2021
RAUM · $117M to $110M
Jul 17, 2020 to Apr 26, 2021
Advisory employees · 2 to 3
Aug 28, 2019 to Apr 30, 2020
Employees · 2 to 5
Aug 28, 2019 to Apr 30, 2020
Discretionary RAUM · $131M to $117M
Aug 28, 2019 to Apr 30, 2020
HNW RAUM · $89.6M to $69.0M
Aug 28, 2019 to Apr 30, 2020
Pooled vehicle RAUM · $41.0M to $48.0M
Aug 28, 2019 to Apr 30, 2020
RAUM · $131M to $117M
Aug 28, 2019 to Apr 30, 2020
Wrap assets (manager) · 2.0 to unset
Aug 28, 2019 to Apr 30, 2020
Wrap assets (sponsor) · 2.0 to unset
Aug 28, 2019 to Apr 30, 2020
Accounts · 40 to 36
Mar 19, 2018 to Mar 25, 2019
HNW clients · 40 to 35
Mar 19, 2018 to Mar 25, 2019
Financial planning clients · 0 to unset
Mar 19, 2018 to Mar 25, 2019
Discretionary RAUM · $162M to $131M
Mar 19, 2018 to Mar 25, 2019
HNW RAUM · $95.4M to $89.6M
Mar 19, 2018 to Mar 25, 2019
Pooled vehicle RAUM · $66.9M to $41.0M
Mar 19, 2018 to Mar 25, 2019
RAUM · $162M to $131M
Mar 19, 2018 to Mar 25, 2019
Accounts · 46 to 40
Jan 25, 2018 to Mar 19, 2018
Advisory employees · 1 to 2
Jan 25, 2018 to Mar 19, 2018
Advisory activities · 3 to 2
Jan 25, 2018 to Mar 19, 2018
Charity clients · unset to 0.0
Jan 25, 2018 to Mar 19, 2018
Corporate clients · unset to 0.0
Jan 25, 2018 to Mar 19, 2018
HNW clients · unset to 40.0
Jan 25, 2018 to Mar 19, 2018
Individual clients · unset to 0.0
Jan 25, 2018 to Mar 19, 2018
Pension plan clients · unset to 0.0
Jan 25, 2018 to Mar 19, 2018
Pooled vehicle clients · unset to 1.0
Jan 25, 2018 to Mar 19, 2018
Employees · 1 to 2
Jan 25, 2018 to Mar 19, 2018
Financial planning clients · unset to 0
Jan 25, 2018 to Mar 19, 2018
Discretionary RAUM · $112M to $162M
Jan 25, 2018 to Mar 19, 2018
HNW RAUM · unset to 95421587.0
Jan 25, 2018 to Mar 19, 2018
Pooled vehicle RAUM · unset to 66859821.0
Jan 25, 2018 to Mar 19, 2018
RAUM · $112M to $162M
Jan 25, 2018 to Mar 19, 2018
Other offices · unset to 0.0
Mar 29, 2017 to Jan 25, 2018

Signals

2 dated events

••• Locked
Aug 28, 2019 · Control person left · inference
••• Locked
Aug 28, 2019 · Control person left · inference

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, Mar 3, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 3, 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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.