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P••••• L••• C•••••• L••

Wealth manager with institutional or fund businessSEC-registered· Bedford Hills, New Yorkwebsite

Wealth manager with institutional or fund business, based in Bedford Hills, New York, reporting $108M of regulatory assets across 2 registered advisors.

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

Regulatory AUM
$108M
Advisors
2
Net advisor flow, 12 months
0
0 joined, 0 left
RAUM change, 1 year
+0.0%
Private clients
32%
of RAUM, $34.1M
See where advisers wentSee teams that moved
More
Advisors (2)Where the RAUM sits
As of · 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 159963 · SEC 801-129836 · 5 filingsShow
CRD 159963SEC 801-129836First filing on the tape Mar 5, 2024, latest Mar 4, 2026SEC status approved since Apr 4, 2024IAPD
RAUM
$108M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
32%
$34.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$54.1M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape

RAUM +0.0% over the last fiscal year · the tape starts Mar 5, 2024

Peer group: Independent wealth managers, $100M to $500M, 5,683 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$108M as of Mar 4, 2026
Apr 1, 2024$63.5M then
HNW client RAUM$32.4M as of Mar 4, 2026
Apr 1, 2024$19.2M then
State-registered IARs (5.B.3)2 as of Mar 4, 2026
Apr 1, 20242 then
Employees (5.A)3 as of Mar 4, 2026
Apr 1, 20242 then
Private funds: no history
RAUM +0.0% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
RAUM per advisor
$54.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
16derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$3.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
68%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
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)
  • 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

68% state and municipal entities, 30% high-net-worth individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow
  • State and municipal entities$74.1M68%
  • High-net-worth individuals$32.4M30%
  • Individuals$1.7M1.6%
Individual clients
6reported
HNW clients
26reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
34reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
RAUM: 32% private clients, 0% pooled funds, 68% 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 departureEvery arrival
      Advisors registered through the firm
      2 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      M••••• B• F•••••••••Bedford Hills, NyMar 25, 202124 y0
      E••• J••••• C•••••Chartered Financial AnalystBedford Hills, NyMar 25, 202116 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• E•••• J••••• · Managing Member / Chief Investment Officercontrol
        since 04/2010 · owns 50% to 75%
      • F••••••••• M•••••• B• · Chief Compliance Officercontrol
        since 02/2018 · owns 10% to 25%
      Ownership changes
      Schedule A, between consecutive filings
      No owner or control person joined or left between filings on the tape.
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      13F holdings
      quarter ended Jun 30, 2026, filed Jul 27, 2026
      Reported value
      $148M+21.6% on Mar 31, 2026 ($122M)reportedsec.gov
      Positions
      61 in 61 issuers-1.6% on the quarterreported
      Concentration
      top 10 issuers 32%, largest 4.1%derivedlargest: Hurco Co
      Filed as
      P••••• L••• C•••••• L••reportedmatched by the 13F filer reports this CRD
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Bedford Hills, Ny · principal200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • high institutional concentrationStatic outlier · filing Mar 4, 2026
        institutional share of RAUM of 68% against a peer median of 0% (5683 comparable advisers, 100.0th percentile, 23.0 robust deviations)
        peers: independent wealth managers, $100M to $500M (5,683) · 100% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Employees · 2 to 3
        Mar 14, 2025 to Mar 4, 2026
      • Accounts · 25 to 34
        Jun 21, 2024 to Mar 14, 2025
      • HNW clients · 18 to 26
        Jun 21, 2024 to Mar 14, 2025
      • Financial planning clients · unset to
        Jun 21, 2024 to Mar 14, 2025
      • Discretionary RAUM · $63.5M to $108M
        Jun 21, 2024 to Mar 14, 2025
      Full history · 8 changes
      • HNW RAUM · $19.2M to $32.4M
        Jun 21, 2024 to Mar 14, 2025
      • Individual RAUM · $1.6M to $1.7M
        Jun 21, 2024 to Mar 14, 2025
      • RAUM · $63.5M to $108M
        Jun 21, 2024 to Mar 14, 2025
      Signals
      2 dated events
      • ••• Locked
        Mar 4, 2026 · ria ownership band change · fact
      • ••• Locked
        Mar 5, 2024 · 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.
      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

      How to reach
      public business contact points only, each with its source
      Business email
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 4, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 4, 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
      Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $54.1Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026