DFX Intelligence
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F••••• P•••• A•••• M••••••••• L••
Independent wealth manager, reporting $55.7M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $55.7M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +9.6%
- Private clients
- 100% of RAUM, $55.7M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 3
Every filed figure, and the identifiersCRD 157858 · SEC 801-116730 · 13 filingsShowHide
CRD 157858SEC 801-116730First filing on the tape May 2, 2019, latest Feb 19, 2026SEC status approved since May 31, 2019IAPD
RAUM
$55.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$55.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$55.7M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$55.7M as of Feb 19, 2026
Jan 21, 2020$42.1M then
HNW client RAUM$55.7M as of Feb 19, 2026
Jan 21, 2020$40.6M then
State-registered IARs (5.B.3)1 as of Feb 19, 2026
Jan 21, 20201 then
Employees (5.A)1 as of Feb 19, 2026
Jan 21, 20201 then
Private funds: no history
RAUM +9.6% over the last fiscal year+3.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 19, 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
- $55.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM 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
- +9.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$55.7M100%
- Individuals$81,2190.1%
- Individual clients
- 1reported
- HNW clients
- 30reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 31reported
- 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 |
|---|---|---|---|---|
| A••• H••• N•••• | Chappaqua, Ny | May 21, 2021 | 15 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
- N••••• A•••• H••• · Managing Member/Chief Compliance Officercontrolsince 01/2011 · 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
- Accounts · 32 to 31Jan 23, 2025 to Feb 19, 2026
- HNW clients · 31 to 30Jan 23, 2025 to Feb 19, 2026
- Discretionary RAUM · $50.8M to $55.7MJan 23, 2025 to Feb 19, 2026
- HNW RAUM · $50.7M to $55.7MJan 23, 2025 to Feb 19, 2026
- Individual RAUM · $124,929 to $81,219Jan 23, 2025 to Feb 19, 2026
- RAUM · $50.8M to $55.7MJan 23, 2025 to Feb 19, 2026
- Accounts · 36 to 32Jan 31, 2024 to Jan 23, 2025
- HNW clients · 18 to 31Jan 31, 2024 to Jan 23, 2025
- Individual clients · 2 to 1Jan 31, 2024 to Jan 23, 2025
- Pension plan clients · 1 to 0Jan 31, 2024 to Jan 23, 2025
- Financial planning clients · unset to Jan 31, 2024 to Jan 23, 2025
- HQ city · unset to Jan 31, 2024 to Jan 23, 2025
- HQ state · unset to Jan 31, 2024 to Jan 23, 2025
- Discretionary RAUM · $53.1M to $50.8MJan 31, 2024 to Jan 23, 2025
- HNW RAUM · $52.2M to $50.7MJan 31, 2024 to Jan 23, 2025
- Individual RAUM · $323,366 to $124,929Jan 31, 2024 to Jan 23, 2025
- Pension RAUM · $596,386 to $0Jan 31, 2024 to Jan 23, 2025
- RAUM · $53.1M to $50.8MJan 31, 2024 to Jan 23, 2025
- Accounts · 34 to 36Feb 9, 2023 to Jan 31, 2024
- HNW clients · 14 to 18Feb 9, 2023 to Jan 31, 2024
- Pension plan clients · 2 to 1Feb 9, 2023 to Jan 31, 2024
- Discretionary RAUM · $50.4M to $53.1MFeb 9, 2023 to Jan 31, 2024
- HNW RAUM · $48.2M to $52.2MFeb 9, 2023 to Jan 31, 2024
- Individual RAUM · $235,965 to $323,366Feb 9, 2023 to Jan 31, 2024
- Pension RAUM · $2.0M to $596,386Feb 9, 2023 to Jan 31, 2024
- RAUM · $50.4M to $53.1MFeb 9, 2023 to Jan 31, 2024
- Accounts · 30 to 34Jan 26, 2022 to Feb 9, 2023
- HNW clients · 27 to 14Jan 26, 2022 to Feb 9, 2023
- Individual clients · 1 to 2Jan 26, 2022 to Feb 9, 2023
- Discretionary RAUM · $41.9M to $50.4MJan 26, 2022 to Feb 9, 2023
- HNW RAUM · $38.7M to $48.2MJan 26, 2022 to Feb 9, 2023
- Individual RAUM · $1.1M to $235,965Jan 26, 2022 to Feb 9, 2023
- Pension RAUM · $2.1M to $2.0MJan 26, 2022 to Feb 9, 2023
- RAUM · $41.9M to $50.4MJan 26, 2022 to Feb 9, 2023
- Accounts · 33 to 30Mar 31, 2021 to Jan 26, 2022
- HNW clients · 24 to 27Mar 31, 2021 to Jan 26, 2022
- Individual clients · 7 to 1Mar 31, 2021 to Jan 26, 2022
- Discretionary RAUM · $36.2M to $41.9MMar 31, 2021 to Jan 26, 2022
- HNW RAUM · $32.8M to $38.7MMar 31, 2021 to Jan 26, 2022
- Individual RAUM · $1.7M to $1.1MMar 31, 2021 to Jan 26, 2022
Signals
1 dated events
- ••• LockedMay 2, 2019 · 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, Feb 19, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 19, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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
- $55.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026