DFX Intelligence

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P••• W••••• M••••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $157M of regulatory assets.

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

As of 2026-09-21 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $157M
Advisors: 0
RAUM change, 1 year: +20%
Private clients: 99%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-09-21 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+19.8%
RAUM, one year
RAUM $131M to $157M (+19.8%) on the Form ADV filed 21 Sep 2026, while advisors on the filing rose 1 to 2.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 157407 · SEC 801-73091 · 40 filingsShow

CRD 157407SEC 801-73091First filing on the tape Jan 25, 2012, latest Sep 21, 2026SEC status approved since Feb 7, 2012IAPD

RAUM

$157M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$156M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

40 filings and snapshots on the tape

RAUM +17% a year over three years · the tape starts Jan 25, 2012

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

RAUM$157M as of Aug 31, 2026

Jan 18, 2013$36.2M then

HNW client RAUM$152M as of Aug 31, 2026

Feb 19, 2018$52.7M then

State-registered IARs (5.B.3)2 as of Aug 31, 2026

Jan 18, 20131 then

Employees (5.A)2 as of Aug 31, 2026

Jan 18, 20133 then

Private funds: no history

RAUM +20% over the last fiscal year+17% a year over threeIARs 1 to 2

Practice profile

derived from the filing of Sep 21, 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: $78.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 29derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.2MderivedHNW RAUM over HNW clients
Average account: $2.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.7%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: +20%derivedbetween the last two annual amendments
Advisor growth, one year: +100%derivedItem 5.B.3 between annual amendments
Client growth, one year: -3.3%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Custody: $5.1M, 2 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

97% high-net-worth individuals, 2.7% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$152M97%
Individuals$4.2M2.7%
Charitable organizations$1.0M0.7%

Individual clients: 11reported
HNW clients: 47reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 59reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $5.1M for 2 clientsreported
Compensation: % of AUMreported
Class basis: RAUM: 99% private clients, 0% pooled funds, 1% institutions; related broker-dealer not reported; related bank not reportedderived

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

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P•••• A•••••• B•••• · Managing Member/Chief Compliance Officercontrol
since 04/2011 · 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

Financial planning clients · to unset
Aug 31, 2026 to Sep 18, 2026
HQ city · to unset
Aug 31, 2026 to Sep 18, 2026
HQ state · to unset
Aug 31, 2026 to Sep 18, 2026
Related adviser · false to unset
Aug 31, 2026 to Sep 18, 2026
Related bank · false to unset
Aug 31, 2026 to Sep 18, 2026

Full history · 80 changes

Related broker-dealer · false to unset
Aug 31, 2026 to Sep 18, 2026
Related insurance company · false to unset
Aug 31, 2026 to Sep 18, 2026
Succession · false to unset
Aug 31, 2026 to Sep 18, 2026
Accounts · 120 to 59
Feb 12, 2025 to Jan 9, 2026
Advisory employees · 1 to 2
Feb 12, 2025 to Jan 9, 2026
HNW clients · 48 to 47
Feb 12, 2025 to Jan 9, 2026
Individual clients · 12 to 11
Feb 12, 2025 to Jan 9, 2026
Assets in custody · $4.0M to $5.1M
Feb 12, 2025 to Jan 9, 2026
State-registered IARs · 1 to 2
Feb 12, 2025 to Jan 9, 2026
Discretionary RAUM · $131M to $157M
Feb 12, 2025 to Jan 9, 2026
HNW RAUM · $121M to $152M
Feb 12, 2025 to Jan 9, 2026
Individual RAUM · $9.0M to $4.2M
Feb 12, 2025 to Jan 9, 2026
RAUM · $131M to $157M
Feb 12, 2025 to Jan 9, 2026
Financial planning clients · unset to
Jan 30, 2025 to Feb 12, 2025
Accounts · 110 to 120
Jan 29, 2024 to Jan 30, 2025
HNW clients · 36 to 48
Jan 29, 2024 to Jan 30, 2025
Individual clients · 11 to 12
Jan 29, 2024 to Jan 30, 2025
HQ city · unset to
Jan 29, 2024 to Jan 30, 2025
HQ state · unset to
Jan 29, 2024 to Jan 30, 2025
Discretionary RAUM · $114M to $131M
Jan 29, 2024 to Jan 30, 2025
HNW RAUM · $107M to $121M
Jan 29, 2024 to Jan 30, 2025
Individual RAUM · $6.9M to $9.0M
Jan 29, 2024 to Jan 30, 2025
RAUM · $114M to $131M
Jan 29, 2024 to Jan 30, 2025
HNW clients · 37 to 36
Mar 1, 2023 to Jan 28, 2024
Individual clients · 14 to 11
Mar 1, 2023 to Jan 28, 2024
Assets in custody · $3.5M to $4.0M
Mar 1, 2023 to Jan 28, 2024
Discretionary RAUM · $98.5M to $114M
Mar 1, 2023 to Jan 28, 2024
HNW RAUM · $93.1M to $107M
Mar 1, 2023 to Jan 28, 2024
Individual RAUM · $4.6M to $6.9M
Mar 1, 2023 to Jan 28, 2024
RAUM · $98.5M to $114M
Mar 1, 2023 to Jan 28, 2024
Accounts · 99 to 110
Feb 1, 2022 to Feb 6, 2023
HNW clients · 46 to 37
Feb 1, 2022 to Feb 6, 2023
Individual clients · 9 to 14
Feb 1, 2022 to Feb 6, 2023
Assets in custody · $4.4M to $3.5M
Feb 1, 2022 to Feb 6, 2023
State-registered IARs · 2 to 1
Feb 1, 2022 to Feb 6, 2023
Discretionary RAUM · $107M to $98.5M
Feb 1, 2022 to Feb 6, 2023
HNW RAUM · $102M to $93.1M
Feb 1, 2022 to Feb 6, 2023
Individual RAUM · $3.3M to $4.6M
Feb 1, 2022 to Feb 6, 2023
RAUM · $107M to $98.5M
Feb 1, 2022 to Feb 6, 2023
Accounts · 98 to 99
Feb 11, 2021 to Jan 28, 2022
HNW clients · 30 to 46
Feb 11, 2021 to Jan 28, 2022
Individual clients · 16 to 9
Feb 11, 2021 to Jan 28, 2022
Assets in custody · $4.2M to $4.4M
Feb 11, 2021 to Jan 28, 2022
Employees · 1 to 2
Feb 11, 2021 to Jan 28, 2022
State-registered IARs · 0 to 2
Feb 11, 2021 to Jan 28, 2022
Discretionary RAUM · $97.6M to $107M
Feb 11, 2021 to Jan 28, 2022
HNW RAUM · $90.2M to $102M
Feb 11, 2021 to Jan 28, 2022
Individual RAUM · $6.5M to $3.3M
Feb 11, 2021 to Jan 28, 2022
RAUM · $97.6M to $107M
Feb 11, 2021 to Jan 28, 2022
Accounts · 67 to 98
Jan 2, 2021 to Jan 27, 2021
HNW clients · 27 to 30
Jan 2, 2021 to Jan 27, 2021
Individual clients · 12 to 16
Jan 2, 2021 to Jan 27, 2021
Assets in custody · $3.8M to $4.2M
Jan 2, 2021 to Jan 27, 2021
Discretionary RAUM · $73.2M to $97.6M
Jan 2, 2021 to Jan 27, 2021
HNW RAUM · $68.4M to $90.2M
Jan 2, 2021 to Jan 27, 2021
Individual RAUM · $4.8M to $6.5M
Jan 2, 2021 to Jan 27, 2021
RAUM · $73.2M to $97.6M
Jan 2, 2021 to Jan 27, 2021
Assets in custody · $3.4M to $3.8M
Feb 21, 2020 to Feb 22, 2020
Accounts · 65 to 67
Feb 3, 2019 to Feb 21, 2020
HNW clients · 39 to 27
Feb 3, 2019 to Feb 21, 2020
Individual clients · unset to 12.0
Feb 3, 2019 to Feb 21, 2020
Discretionary RAUM · $56.7M to $73.2M
Feb 3, 2019 to Feb 21, 2020
HNW RAUM · $56.7M to $68.4M
Feb 3, 2019 to Feb 21, 2020
Individual RAUM · unset to 4764911.0
Feb 3, 2019 to Feb 21, 2020
RAUM · $56.7M to $73.2M
Feb 3, 2019 to Feb 21, 2020
Accounts · 67 to 65
Jul 30, 2018 to Feb 3, 2019
HNW clients · 34 to 39
Jul 30, 2018 to Feb 3, 2019
Assets in custody · $3.5M to $3.4M
Jul 30, 2018 to Feb 3, 2019
Discretionary RAUM · $52.7M to $56.7M
Jul 30, 2018 to Feb 3, 2019
HNW RAUM · $52.7M to $56.7M
Jul 30, 2018 to Feb 3, 2019
RAUM · $52.7M to $56.7M
Jul 30, 2018 to Feb 3, 2019
Employees · 2 to 1
May 31, 2018 to Jul 30, 2018
Assets in custody · unset to 3472244.0
Feb 19, 2018 to May 31, 2018
Custody of client assets · false to true
Feb 19, 2018 to May 31, 2018
HQ city · LARCHMONT to unset
Feb 19, 2018 to May 31, 2018

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

Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 21, 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.