DFX Intelligence

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SEC-registered adviser

D••••••••

Wealth manager with institutional or fund businessCRD 153748SEC 801-113640website IAPD

Legal name D•••••••• L••

Latest filing Mar 24, 2026

First filing on the tape Jun 19, 2018 · 19 filings

SEC status approved since Jul 19, 2018

RAUM

$84.3M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

44%

$37.5M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$84.3M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$84.3M as of Mar 24, 2026

Jan 29, 2019$37.0M then

HNW client RAUM$35.8M as of Mar 24, 2026

Jan 29, 2019$18.4M then

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

Jan 29, 20191 then

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

Jan 29, 20191 then

Private funds: no history

RAUM +3.1% over the last fiscal year+16% 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

RAUM per advisor: $84.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 19derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.0MderivedHNW RAUM over HNW clients
Average account: $3.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%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: +3.1%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +5.6%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Corporations and businesses$46.8M56%
High-net-worth individuals$35.8M42%
Individuals$1.7M2.0%

Individual clients: 10reported
HNW clients: 9reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 26reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.44 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
G•••••• K•••••Certified Financial Planner	White Plains, Ny	Feb 12, 2021	18 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

K•••••• G•••••• · Managing Member/Chief Compliance Officercontrol
since 04/2010 · 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.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

affiliate changedChange between filings · filing Mar 24, 2026
insurance affiliate (Item 7.A.10): yes on the filing of 2025-03-13, no on the filing of 2026-03-24
peers: independent wealth managers, under $100M (708)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 24 to 26
Mar 13, 2025 to Mar 24, 2026
Individual clients · 9 to 10
Mar 13, 2025 to Mar 24, 2026
Discretionary RAUM · $81.8M to $84.3M
Mar 13, 2025 to Mar 24, 2026
HNW RAUM · $36.2M to $35.8M
Mar 13, 2025 to Mar 24, 2026
Individual RAUM · $1.3M to $1.7M
Mar 13, 2025 to Mar 24, 2026
RAUM · $81.8M to $84.3M
Mar 13, 2025 to Mar 24, 2026
Related insurance company · true to false
Mar 13, 2025 to Mar 24, 2026
Accounts · 29 to 24
Mar 15, 2024 to Mar 13, 2025
HNW clients · 12 to 9
Mar 15, 2024 to Mar 13, 2025
Individual clients · 11 to 9
Mar 15, 2024 to Mar 13, 2025
Financial planning clients · 1-10 to 1-10
Mar 15, 2024 to Mar 13, 2025
HQ city · unset to
Mar 15, 2024 to Mar 13, 2025
HQ state · unset to
Mar 15, 2024 to Mar 13, 2025
Discretionary RAUM · $72.2M to $81.8M
Mar 15, 2024 to Mar 13, 2025
HNW RAUM · $33.2M to $36.2M
Mar 15, 2024 to Mar 13, 2025
Individual RAUM · $2.4M to $1.3M
Mar 15, 2024 to Mar 13, 2025
Pension RAUM · 0.0 to unset
Mar 15, 2024 to Mar 13, 2025
Pooled vehicle RAUM · 0.0 to unset
Mar 15, 2024 to Mar 13, 2025
RAUM · $72.2M to $81.8M
Mar 15, 2024 to Mar 13, 2025
Accounts · 30 to 29
Mar 29, 2023 to Mar 15, 2024
Charity clients · 0.0 to unset
Mar 29, 2023 to Mar 15, 2024
HNW clients · 10 to 12
Mar 29, 2023 to Mar 15, 2024
Individual clients · 14 to 11
Mar 29, 2023 to Mar 15, 2024
Pension plan clients · 0.0 to unset
Mar 29, 2023 to Mar 15, 2024
Pooled vehicle clients · 0.0 to unset
Mar 29, 2023 to Mar 15, 2024
Discretionary RAUM · $54.1M to $72.2M
Mar 29, 2023 to Mar 15, 2024
HNW RAUM · $25.2M to $33.2M
Mar 29, 2023 to Mar 15, 2024
Individual RAUM · $2.1M to $2.4M
Mar 29, 2023 to Mar 15, 2024
RAUM · $54.1M to $72.2M
Mar 29, 2023 to Mar 15, 2024
Accounts · 28 to 30
Mar 1, 2022 to Mar 29, 2023
Corporate clients · 3.0 to unset
Mar 1, 2022 to Mar 29, 2023
HNW clients · 13 to 10
Mar 1, 2022 to Mar 29, 2023
Individual clients · 9 to 14
Mar 1, 2022 to Mar 29, 2023
Financial planning clients · 26-50 to 1-10
Mar 1, 2022 to Mar 29, 2023
Discretionary RAUM · $74.8M to $54.1M
Mar 1, 2022 to Mar 29, 2023
HNW RAUM · $35.1M to $25.2M
Mar 1, 2022 to Mar 29, 2023
Individual RAUM · $1.1M to $2.1M
Mar 1, 2022 to Mar 29, 2023
RAUM · $74.8M to $54.1M
Mar 1, 2022 to Mar 29, 2023
Accounts · 19 to 28
Aug 25, 2021 to Mar 1, 2022
HNW clients · 6 to 13
Aug 25, 2021 to Mar 1, 2022

Signals

1 dated events

D•••••••• L•• filed its initial SEC registration (Form ADV)
Jun 19, 2018 · 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

Firm profile: linkedin.com/company/derastonereportedpublic record, Form ADV, Mar 24, 2026
Website: i•••••••.w•••••••••.comreportedpublic record, Form ADV, Mar 24, 2026
Principal office phone: (914) 685-6851reportedpublic 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: Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor: $84.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026