DFX Intelligence

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P••••• A••••••• L••

Independent wealth managerSEC-registered· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $41.7M of regulatory assets.

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

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $41.7M
Advisors: 0
RAUM change, 1 year: +2.7%
Private clients: 67%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+2.7%
RAUM, one year
RAUM $40.6M to $41.7M (+2.7%) on the Form ADV filed 30 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 159614 · SEC 801-73218 · 19 filingsShow

CRD 159614SEC 801-73218First filing on the tape Feb 9, 2012, latest Mar 30, 2026SEC status approved since Mar 21, 2012IAPD

RAUM

$41.7M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

67%

$28.0M 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

19 filings and snapshots on the tape

RAUM +10.0% a year over three years · the tape starts Feb 9, 2012

Peer group: Independent wealth managers, under $100M, 707 firms

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

RAUM$41.7M as of Mar 30, 2026

Mar 27, 2013$30.7M then

HNW client RAUM$24.5M as of Mar 30, 2026

Mar 30, 2018$21.5M then

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Mar 27, 20130 then

Employees (5.A)2 as of Mar 30, 2026

Mar 27, 20132 then

Private funds1 as of Mar 31, 2020

Mar 27, 20131 then

RAUM +2.7% over the last fiscal year+10.0% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

Archetypes

HNW wealth manager

The rule behind each archetype, and every derived figure1 ruleShow

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

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.5MderivedHNW RAUM over HNW clients
Average account: $1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: +2.7%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -21%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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

59% high-net-worth individuals, 14% pooled investment vehicles, and 4 other client types

The breakdown by client type, and the client counts6 client typesShow

High-net-worth individuals$24.5M59%
Pooled investment vehicles$5.7M14%
Charitable organizations$3.6M8.7%
Individuals$3.5M8.5%
Pension and profit-sharing plans$3.0M7.3%
Other investment advisers$1.3M3.1%

Individual clients: 4reported
HNW clients: 7reported
Pension plan clients: 2reported
Charitable clients: 3reported
Accounts: 37reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 67% private clients, 17% pooled funds, 16% institutions; no related broker-dealer; no related bankderived

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

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
P••••• C••••• O••••••••• F••• I• L•no longer reported	Hedge Fund	$0	2	Feb 9, 2012

Owners and control persons

Schedule A and B, latest filing

E••• J••••• S••••• · Managing Member/Chief Executive Officercontrol
since 01/2009 · owns 75% or more
N•• H•• C••••• · Vice President And Chief Compliance Officercontrol
since 03/2021 · owns less than 5%
E••• E••••••••• E• · Member
since 04/2014 · owns 10% to 25%

Ownership changes

3 Schedule A changes between consecutive filings, latest first

Added H•• C••••• N• · Vice President and Chief Compliance Officer control
filing of Mar 31, 2021, against Jul 22, 2020 · owns under 5%
Added E•••••••• E•• E• · Member
filing of Mar 24, 2015, against Mar 31, 2014 · owns 10 to 25%
Removed T••••• B••••• M••••• · Member/Managing Director
filing of Mar 27, 2013, against Feb 21, 2012 · owns 10 to 25%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds; 2 fund-person rows in all

Name	Where	Funds	Filings	Named
J•••• S• E••executive officer	New York, NY	1	3	n/a
T••••• M• B•••••executive officer	New York, NY	1	3	n/a

SEC Form D, item 3 (related persons: executive officers, directors and promoters of the issuer), every amendment on EDGAR. A name links to its IAPD record only when it matches exactly one Schedule A owner of the same adviser (1 of 2 here); every other name is as filed and is not joined to anyone.

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 · 42 to 37
Apr 28, 2025 to Mar 30, 2026
HNW clients · 8 to 7
Apr 28, 2025 to Mar 30, 2026
Individual clients · 6 to 4
Apr 28, 2025 to Mar 30, 2026
Discretionary RAUM · $40.6M to $41.7M
Apr 28, 2025 to Mar 30, 2026
HNW RAUM · $21.6M to $24.5M
Apr 28, 2025 to Mar 30, 2026

Full history · 80 changes

Individual RAUM · $3.5M to $3.5M
Apr 28, 2025 to Mar 30, 2026
Pension RAUM · $5.3M to $3.0M
Apr 28, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $5.6M to $5.7M
Apr 28, 2025 to Mar 30, 2026
RAUM · $40.6M to $41.7M
Apr 28, 2025 to Mar 30, 2026
Accounts · 18 to 42
Mar 27, 2024 to Apr 28, 2025
Advisory activities · 3 to 2
Mar 27, 2024 to Apr 28, 2025
Charity clients · 1 to 3
Mar 27, 2024 to Apr 28, 2025
Individual clients · 4 to 6
Mar 27, 2024 to Apr 28, 2025
Financial planning clients · 1-10 to 0
Mar 27, 2024 to Apr 28, 2025
Discretionary RAUM · $34.3M to $40.6M
Mar 27, 2024 to Apr 28, 2025
HNW RAUM · $19.1M to $21.6M
Mar 27, 2024 to Apr 28, 2025
Individual RAUM · $2.7M to $3.5M
Mar 27, 2024 to Apr 28, 2025
Pension RAUM · $3.8M to $5.3M
Mar 27, 2024 to Apr 28, 2025
Pooled vehicle RAUM · $5.4M to $5.6M
Mar 27, 2024 to Apr 28, 2025
RAUM · $34.3M to $40.6M
Mar 27, 2024 to Apr 28, 2025
Accounts · 35 to 18
May 1, 2023 to Mar 27, 2024
Charity clients · 3 to 1
May 1, 2023 to Mar 27, 2024
Individual clients · 2 to 4
May 1, 2023 to Mar 27, 2024
Pension plan clients · 1 to 2
May 1, 2023 to Mar 27, 2024
Discretionary RAUM · $31.3M to $34.3M
May 1, 2023 to Mar 27, 2024
HNW RAUM · $19.3M to $19.1M
May 1, 2023 to Mar 27, 2024
Individual RAUM · $1.7M to $2.7M
May 1, 2023 to Mar 27, 2024
Pension RAUM · $1.8M to $3.8M
May 1, 2023 to Mar 27, 2024
Pooled vehicle RAUM · $5.0M to $5.4M
May 1, 2023 to Mar 27, 2024
RAUM · $31.3M to $34.3M
May 1, 2023 to Mar 27, 2024
Accounts · 33 to 35
Mar 26, 2022 to Mar 28, 2023
Charity clients · 1 to 3
Mar 26, 2022 to Mar 28, 2023
Individual clients · 3 to 2
Mar 26, 2022 to Mar 28, 2023
Discretionary RAUM · $35.7M to $31.3M
Mar 26, 2022 to Mar 28, 2023
HNW RAUM · $23.6M to $19.3M
Mar 26, 2022 to Mar 28, 2023
Individual RAUM · $1.9M to $1.7M
Mar 26, 2022 to Mar 28, 2023
Pension RAUM · $1.7M to $1.8M
Mar 26, 2022 to Mar 28, 2023
Pooled vehicle RAUM · $5.5M to $5.0M
Mar 26, 2022 to Mar 28, 2023
RAUM · $35.7M to $31.3M
Mar 26, 2022 to Mar 28, 2023
Accounts · 31 to 33
Mar 31, 2021 to Mar 26, 2022
Charity clients · 3 to 1
Mar 31, 2021 to Mar 26, 2022
HNW clients · 9 to 8
Mar 31, 2021 to Mar 26, 2022
Individual clients · 2 to 3
Mar 31, 2021 to Mar 26, 2022
Discretionary RAUM · $26.1M to $35.7M
Mar 31, 2021 to Mar 26, 2022
HNW RAUM · $16.0M to $23.6M
Mar 31, 2021 to Mar 26, 2022
Individual RAUM · $1.3M to $1.9M
Mar 31, 2021 to Mar 26, 2022
Pension RAUM · $1.3M to $1.7M
Mar 31, 2021 to Mar 26, 2022
Pooled vehicle RAUM · $4.4M to $5.5M
Mar 31, 2021 to Mar 26, 2022
RAUM · $26.1M to $35.7M
Mar 31, 2021 to Mar 26, 2022
Accounts · 20 to 31
Jul 22, 2020 to Mar 31, 2021
Charity clients · 4 to 3
Jul 22, 2020 to Mar 31, 2021
Individual clients · 3 to 2
Jul 22, 2020 to Mar 31, 2021
Private funds · 1 to unset
Jul 22, 2020 to Mar 31, 2021
Discretionary RAUM · $25.2M to $26.1M
Jul 22, 2020 to Mar 31, 2021
HNW RAUM · $15.9M to $16.0M
Jul 22, 2020 to Mar 31, 2021
Individual RAUM · $1.5M to $1.3M
Jul 22, 2020 to Mar 31, 2021
Pension RAUM · $995,486 to $1.3M
Jul 22, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $4.6M to $4.4M
Jul 22, 2020 to Mar 31, 2021
RAUM · $25.2M to $26.1M
Jul 22, 2020 to Mar 31, 2021
Related bank · true to false
Jul 22, 2020 to Mar 31, 2021
Accounts · 19 to 20
Mar 27, 2019 to Mar 31, 2020
Charity clients · 3 to 4
Mar 27, 2019 to Mar 31, 2020
HNW clients · 10 to 9
Mar 27, 2019 to Mar 31, 2020
Financial planning clients · 11-25 to 1-10
Mar 27, 2019 to Mar 31, 2020
Discretionary RAUM · $25.6M to $25.2M
Mar 27, 2019 to Mar 31, 2020
HNW RAUM · $16.4M to $15.9M
Mar 27, 2019 to Mar 31, 2020
Individual RAUM · $1.3M to $1.5M
Mar 27, 2019 to Mar 31, 2020
Pension RAUM · $663,702 to $995,486
Mar 27, 2019 to Mar 31, 2020
Pooled vehicle RAUM · $4.5M to $4.6M
Mar 27, 2019 to Mar 31, 2020
RAUM · $25.6M to $25.2M
Mar 27, 2019 to Mar 31, 2020
Accounts · 17 to 19
Apr 2, 2018 to Mar 27, 2019
Advisory activities · 2 to 3
Apr 2, 2018 to Mar 27, 2019
Charity clients · 1 to 3
Apr 2, 2018 to Mar 27, 2019
Discretionary RAUM · $30.1M to $25.6M
Apr 2, 2018 to Mar 27, 2019
HNW RAUM · $21.5M to $16.4M
Apr 2, 2018 to Mar 27, 2019
Individual RAUM · $1.4M to $1.3M
Apr 2, 2018 to Mar 27, 2019
Pension RAUM · $521,000 to $663,702
Apr 2, 2018 to Mar 27, 2019
Pooled vehicle RAUM · $4.5M to $4.5M
Apr 2, 2018 to Mar 27, 2019
RAUM · $30.1M to $25.6M
Apr 2, 2018 to Mar 27, 2019
Accounts · 18 to 17
Apr 3, 2017 to Mar 30, 2018

Signals

1 dated events

••• Locked
Mar 31, 2021 · Control person joined · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (1) · the addresses open with an account

2 earlier addresses on Form ADV filings, the earliest seen Mar 27, 2013

How to reach

public business contact points only, each with its source

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 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

Across the graphs

P••••• A••••••• L•• is the same institution as 1 record in Private Credit.

Private Credit1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

Not yet on record: net advisor flow, 12 months.