DFX Intelligence

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A•• W••••• M••••••••• L••

Independent wealth managerSEC-registered· Massapequa, New Yorkwebsite

Independent wealth manager, based in Massapequa, New York, reporting $206M of regulatory assets across 2 registered advisors.

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

As of 2026-02-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $206M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: -1.0%
Private clients: 96%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-02-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 159083 · SEC 801-75532 · 36 filingsShow

CRD 159083SEC 801-75532First filing on the tape Mar 29, 2012, latest Feb 17, 2026SEC status approved since Apr 5, 2012IAPD

RAUM

$206M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

96%

$198M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$103M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

36 filings and snapshots on the tape

RAUM +7.3% a year over three years · the tape starts Mar 29, 2012

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

RAUM$206M as of Feb 17, 2026

Mar 1, 2013$62.0M then

HNW client RAUM$175M as of Feb 17, 2026

Jan 29, 2018$88.3M then

State-registered IARs (5.B.3)2 as of Feb 17, 2026

Mar 1, 20132 then

Employees (5.A)2 as of Feb 17, 2026

Mar 1, 20132 then

Private funds: no history

RAUM -1.0% over the last fiscal year+7.3% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Feb 17, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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

RAUM per advisor: $103MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 45derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.6MderivedHNW RAUM over HNW clients
Average account: $920,188derivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 4.1%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: -1.0%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -12%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

85% high-net-worth individuals, 11% individuals, and 1 other client type

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

High-net-worth individuals$175M85%
Individuals$22.8M11%
Pension and profit-sharing plans$8.4M4.1%

Individual clients: 59reported
HNW clients: 31reported
Pension plan clients: 3reported
Charitable clients: 0reported
Accounts: 224reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 96% private clients, 0% pooled funds, 4% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
P•••• A•••••••• O•••••••	Massapequa, Ny	Sep 9, 2021	14 y	0
D•••••• C•••••	Massapequa, Ny	Dec 16, 2021	33 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••••• D••••••• N•• · Managing Member
since 08/2011 · owns 75% or more
O•••••••• P••••• A•••••••• · Chief Compliance Officer
since 01/2018 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Massapequa, Ny · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

low discretionary shareStatic outlier · filing Feb 17, 2026
discretionary share of RAUM of 0% against a peer median of 100% (5682 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: independent wealth managers, $100M to $500M (5,682) · 0.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 228 to 224
Jan 22, 2025 to Feb 17, 2026
HNW clients · 37 to 31
Jan 22, 2025 to Feb 17, 2026
Individual clients · 65 to 59
Jan 22, 2025 to Feb 17, 2026
Pension plan clients · 2 to 3
Jan 22, 2025 to Feb 17, 2026
Financial planning clients · 101-250 to 1-10
Jan 22, 2025 to Feb 17, 2026

Full history · 80 changes

HNW RAUM · $168M to $175M
Jan 22, 2025 to Feb 17, 2026
Individual RAUM · $22.3M to $22.8M
Jan 22, 2025 to Feb 17, 2026
Non-discretionary RAUM · $208M to $206M
Jan 22, 2025 to Feb 17, 2026
Pension RAUM · $18.3M to $8.4M
Jan 22, 2025 to Feb 17, 2026
RAUM · $208M to $206M
Jan 22, 2025 to Feb 17, 2026
Accounts · 219 to 228
Jan 18, 2024 to Jan 22, 2025
HNW clients · 35 to 37
Jan 18, 2024 to Jan 22, 2025
Individual clients · 61 to 65
Jan 18, 2024 to Jan 22, 2025
Pension plan clients · 1 to 2
Jan 18, 2024 to Jan 22, 2025
Financial planning clients · 101-250 to 101-250
Jan 18, 2024 to Jan 22, 2025
HNW RAUM · $153M to $168M
Jan 18, 2024 to Jan 22, 2025
Individual RAUM · $15.7M to $22.3M
Jan 18, 2024 to Jan 22, 2025
Non-discretionary RAUM · $186M to $208M
Jan 18, 2024 to Jan 22, 2025
Pension RAUM · $17.7M to $18.3M
Jan 18, 2024 to Jan 22, 2025
RAUM · $186M to $208M
Jan 18, 2024 to Jan 22, 2025
Accounts · 217 to 219
Feb 17, 2023 to Jan 18, 2024
HNW clients · 33 to 35
Feb 17, 2023 to Jan 18, 2024
Individual clients · 65 to 61
Feb 17, 2023 to Jan 18, 2024
Pension plan clients · 2 to 1
Feb 17, 2023 to Jan 18, 2024
HNW RAUM · $132M to $153M
Feb 17, 2023 to Jan 18, 2024
Individual RAUM · $10.4M to $15.7M
Feb 17, 2023 to Jan 18, 2024
Non-discretionary RAUM · $167M to $186M
Feb 17, 2023 to Jan 18, 2024
Pension RAUM · $24.2M to $17.7M
Feb 17, 2023 to Jan 18, 2024
RAUM · $167M to $186M
Feb 17, 2023 to Jan 18, 2024
Accounts · 219 to 217
Jun 23, 2022 to Feb 17, 2023
HNW clients · 34 to 33
Jun 23, 2022 to Feb 17, 2023
Pension plan clients · 1 to 2
Jun 23, 2022 to Feb 17, 2023
HNW RAUM · $139M to $132M
Jun 23, 2022 to Feb 17, 2023
Individual RAUM · $26.0M to $10.4M
Jun 23, 2022 to Feb 17, 2023
Non-discretionary RAUM · $175M to $167M
Jun 23, 2022 to Feb 17, 2023
Pension RAUM · $9.5M to $24.2M
Jun 23, 2022 to Feb 17, 2023
RAUM · $175M to $167M
Jun 23, 2022 to Feb 17, 2023
Accounts · 230 to 219
Oct 12, 2021 to Feb 28, 2022
HNW clients · 28 to 34
Oct 12, 2021 to Feb 28, 2022
Individual clients · 98 to 65
Oct 12, 2021 to Feb 28, 2022
HNW RAUM · $96.7M to $139M
Oct 12, 2021 to Feb 28, 2022
Individual RAUM · $37.4M to $26.0M
Oct 12, 2021 to Feb 28, 2022
Non-discretionary RAUM · $143M to $175M
Oct 12, 2021 to Feb 28, 2022
Pension RAUM · $9.3M to $9.5M
Oct 12, 2021 to Feb 28, 2022
RAUM · $143M to $175M
Oct 12, 2021 to Feb 28, 2022
Accounts · 236 to 230
May 1, 2020 to Jan 15, 2021
HNW clients · 24 to 28
May 1, 2020 to Jan 15, 2021
Individual clients · 105 to 98
May 1, 2020 to Jan 15, 2021
HNW RAUM · $101M to $96.7M
May 1, 2020 to Jan 15, 2021
Individual RAUM · $30.6M to $37.4M
May 1, 2020 to Jan 15, 2021
Non-discretionary RAUM · $140M to $143M
May 1, 2020 to Jan 15, 2021
Pension RAUM · $8.9M to $9.3M
May 1, 2020 to Jan 15, 2021
RAUM · $140M to $143M
May 1, 2020 to Jan 15, 2021
Accounts · 238 to 236
Jul 19, 2019 to Mar 9, 2020
HNW clients · 21 to 24
Jul 19, 2019 to Mar 9, 2020
Individual clients · 113 to 105
Jul 19, 2019 to Mar 9, 2020
HNW RAUM · $76.0M to $101M
Jul 19, 2019 to Mar 9, 2020
Individual RAUM · $26.5M to $30.6M
Jul 19, 2019 to Mar 9, 2020
Non-discretionary RAUM · $111M to $140M
Jul 19, 2019 to Mar 9, 2020
Pension RAUM · $8.3M to $8.9M
Jul 19, 2019 to Mar 9, 2020
RAUM · $111M to $140M
Jul 19, 2019 to Mar 9, 2020
Accounts · 210 to 238
Jan 14, 2019 to Jan 21, 2019
Charity clients · unset to 0.0
Jan 14, 2019 to Jan 21, 2019
Corporate clients · unset to 0.0
Jan 14, 2019 to Jan 21, 2019
HNW clients · 30 to 21
Jan 14, 2019 to Jan 21, 2019
Individual clients · 26 to 113
Jan 14, 2019 to Jan 21, 2019
Pooled vehicle clients · unset to 0.0
Jan 14, 2019 to Jan 21, 2019
Financial planning clients · 26-50 to 101-250
Jan 14, 2019 to Jan 21, 2019
HNW RAUM · $88.3M to $76.0M
Jan 14, 2019 to Jan 21, 2019
Individual RAUM · $26.6M to $26.5M
Jan 14, 2019 to Jan 21, 2019
Non-discretionary RAUM · $124M to $111M
Jan 14, 2019 to Jan 21, 2019
Pension RAUM · $8.9M to $8.3M
Jan 14, 2019 to Jan 21, 2019
Pooled vehicle RAUM · unset to 0.0
Jan 14, 2019 to Jan 21, 2019
RAUM · $124M to $111M
Jan 14, 2019 to Jan 21, 2019
HNW clients · unset to 30.0
May 30, 2017 to Jan 29, 2018
Individual clients · unset to 26.0
May 30, 2017 to Jan 29, 2018
Pension plan clients · unset to 1.0
May 30, 2017 to Jan 29, 2018
Other offices · unset to 0.0
May 30, 2017 to Jan 29, 2018
HNW RAUM · unset to 88339762.0
May 30, 2017 to Jan 29, 2018
Individual RAUM · unset to 26552641.0
May 30, 2017 to Jan 29, 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 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Feb 17, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 17, 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: $103Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026