DFX Intelligence
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SEC-registered adviser
B••••• A••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 29, 2012 · 22 filings
SEC status approved since Aug 20, 2009
RAUM
$104M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
100%
$104M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$104M as of Mar 25, 2026
Mar 29, 2012$72.9M then
HNW client RAUM$104M as of Mar 25, 2026
Mar 27, 2018$82.0M then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 29, 20120 then
Employees (5.A)1 as of Mar 25, 2026
Apr 1, 20133 then
Private funds: no history
RAUM -14% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.5MderivedHNW RAUM over HNW clients
- Average account
- $4.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$104M100%
- Individual clients
- n/areported
- HNW clients
- 9reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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 |
|---|---|---|---|---|
| M••••• S••••••• A•••••• | Palm Coast, Fl | Dec 15, 2025 | 27 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• M•••••• S••••••• · Chief Compliance Officercontrolsince 07/2009 · owns less than 5%
Entity owners
- B••••• C•••••• G•••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Harrison, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 33 to 26Sep 16, 2025 to Mar 25, 2026
- HNW clients · 12 to 9Sep 16, 2025 to Mar 25, 2026
- Discretionary RAUM · $97.8M to $83.9MSep 16, 2025 to Mar 25, 2026
- HNW RAUM · $122M to $104MSep 16, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $23.7M to $20.0MSep 16, 2025 to Mar 25, 2026
- RAUM · $122M to $104MSep 16, 2025 to Mar 25, 2026
- Employees · 3 to 1Aug 26, 2025 to Sep 16, 2025
- Accounts · 12 to 33Mar 27, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 26, 2025
- HQ city · unset to Mar 27, 2024 to Mar 26, 2025
- HQ state · unset to Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $120M to $97.8MMar 27, 2024 to Mar 26, 2025
- HNW RAUM · $120M to $122MMar 27, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $0 to $23.7MMar 27, 2024 to Mar 26, 2025
- RAUM · $120M to $122MMar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $62.6M to $120MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $62.6M to $120MMar 29, 2023 to Mar 27, 2024
- RAUM · $62.6M to $120MMar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $69.2M to $62.6MApr 5, 2022 to Mar 29, 2023
- HNW RAUM · $69.2M to $62.6MApr 5, 2022 to Mar 29, 2023
- RAUM · $69.2M to $62.6MApr 5, 2022 to Mar 29, 2023
- Accounts · 13 to 12Mar 24, 2021 to Mar 28, 2022
- Advisory activities · 2 to 1Mar 24, 2021 to Mar 28, 2022
- Pooled vehicle clients · 1.0 to unsetMar 24, 2021 to Mar 28, 2022
- Discretionary RAUM · $74.2M to $69.2MMar 24, 2021 to Mar 28, 2022
- HNW RAUM · $66.4M to $69.2MMar 24, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · 7895084.0 to unsetMar 24, 2021 to Mar 28, 2022
- RAUM · $74.2M to $69.2MMar 24, 2021 to Mar 28, 2022
- Accounts · 16 to 13Jul 7, 2020 to Mar 24, 2021
- Advisory employees · 2 to 1Jul 7, 2020 to Mar 24, 2021
- HNW clients · 15 to 12Jul 7, 2020 to Mar 24, 2021
- Employees · 4 to 3Jul 7, 2020 to Mar 24, 2021
- Discretionary RAUM · $101M to $74.2MJul 7, 2020 to Mar 24, 2021
- HNW RAUM · $92.6M to $66.4MJul 7, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $8.2M to $7.9MJul 7, 2020 to Mar 24, 2021
- RAUM · $101M to $74.2MJul 7, 2020 to Mar 24, 2021
- HQ city · RYE BROOK to unsetApr 15, 2020 to Jul 7, 2020
- HQ state · NY to unsetApr 15, 2020 to Jul 7, 2020
- Accounts · 17 to 16Mar 26, 2019 to Apr 15, 2020
- HNW clients · 16 to 15Mar 26, 2019 to Apr 15, 2020
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
- Website
- B•••••ADVISORS.COMreportedpublic record, Form ADV, Mar 25, 2026
- Principal office phone
- 914-371-2992reportedpublic record, Form ADV, Mar 25, 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
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026