DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

L• F•••••••• P••••••• L••

Independent wealth managerSEC-registered· New York, New York

Independent wealth manager, based in New York, New York, reporting $86.9M of regulatory assets across 1 registered advisors.

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

As of 2026-02-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $86.9M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +6.2%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-02-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Feb 2026, RAUM $81.9M to $86.9M (+6.2%) on the Form ADV filed 27 Feb 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 160539 · SEC 801-80856 · 20 filingsShow

CRD 160539SEC 801-80856First filing on the tape Jan 7, 2015, latest Feb 27, 2026SEC status approved since Jan 15, 2015IAPD

RAUM

$86.9M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$86.9M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$86.9M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM +7.9% a year over three years · the tape starts Jan 7, 2015

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

RAUM$86.9M as of Feb 27, 2026

Feb 12, 2015$44.7M then

HNW client RAUM$84.6M as of Feb 27, 2026

Feb 28, 2018$56.2M then

State-registered IARs (5.B.3)1 as of Feb 27, 2026

Feb 12, 20150 then

Employees (5.A)1 as of Feb 27, 2026

Feb 12, 20151 then

Private funds: no history

RAUM +6.2% over the last fiscal year+7.9% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Feb 27, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

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: $86.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $9.4MderivedHNW RAUM over HNW clients
Average account: $2.2MderivedRAUM 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: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +6.2%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, hourly, 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)
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

97% high-net-worth individuals, 2.6% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$84.6M97%
Individuals$2.3M2.6%

Individual clients: n/areported
HNW clients: 9reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 39reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% 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

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
L••••••• O••• K••••Certified Financial Planner	Miami Beach, Fl	Jun 3, 2021	14 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

K••••• L•••••••• O••• · Managing Member/Chief Compliance Officercontrol
since 01/2012 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

, 1 employee

What changed

consecutive filings, newest first

HNW clients · 14 to 9
Feb 19, 2025 to Feb 27, 2026
Discretionary RAUM · $81.9M to $86.9M
Feb 19, 2025 to Feb 27, 2026
HNW RAUM · $80.3M to $84.6M
Feb 19, 2025 to Feb 27, 2026
Individual RAUM · $1.5M to $2.3M
Feb 19, 2025 to Feb 27, 2026
RAUM · $81.9M to $86.9M
Feb 19, 2025 to Feb 27, 2026

Full history · 67 changes

Accounts · 40 to 39
Mar 13, 2024 to Feb 19, 2025
HNW clients · 9 to 14
Mar 13, 2024 to Feb 19, 2025
Financial planning clients · 1-10 to 1-10
Mar 13, 2024 to Feb 19, 2025
Discretionary RAUM · $74.6M to $81.9M
Mar 13, 2024 to Feb 19, 2025
HNW RAUM · $72.0M to $80.3M
Mar 13, 2024 to Feb 19, 2025
Individual RAUM · $2.6M to $1.5M
Mar 13, 2024 to Feb 19, 2025
RAUM · $74.6M to $81.9M
Mar 13, 2024 to Feb 19, 2025
Accounts · 35 to 40
Feb 27, 2023 to Mar 13, 2024
HNW clients · 7 to 9
Feb 27, 2023 to Mar 13, 2024
Discretionary RAUM · $69.2M to $74.6M
Feb 27, 2023 to Mar 13, 2024
HNW RAUM · $68.6M to $72.0M
Feb 27, 2023 to Mar 13, 2024
Individual RAUM · $654,833 to $2.6M
Feb 27, 2023 to Mar 13, 2024
RAUM · $69.2M to $74.6M
Feb 27, 2023 to Mar 13, 2024
Accounts · 40 to 35
Mar 4, 2022 to Feb 27, 2023
HNW clients · 8 to 7
Mar 4, 2022 to Feb 27, 2023
Discretionary RAUM · $83.9M to $69.2M
Mar 4, 2022 to Feb 27, 2023
HNW RAUM · $83.2M to $68.6M
Mar 4, 2022 to Feb 27, 2023
Individual RAUM · $704,819 to $654,833
Mar 4, 2022 to Feb 27, 2023
RAUM · $83.9M to $69.2M
Mar 4, 2022 to Feb 27, 2023
Accounts · 37 to 40
Jun 1, 2021 to Mar 3, 2022
Financial planning clients · 0 to 1-10
Jun 1, 2021 to Mar 3, 2022
Discretionary RAUM · $79.7M to $83.9M
Jun 1, 2021 to Mar 3, 2022
HNW RAUM · $79.0M to $83.2M
Jun 1, 2021 to Mar 3, 2022
Individual RAUM · $640,392 to $704,819
Jun 1, 2021 to Mar 3, 2022
RAUM · $79.7M to $83.9M
Jun 1, 2021 to Mar 3, 2022
Accounts · 41 to 37
Sep 9, 2020 to Mar 2, 2021
State-registered IARs · 0 to 1
Sep 9, 2020 to Mar 2, 2021
Other offices · 0 to 1
Sep 9, 2020 to Mar 2, 2021
Discretionary RAUM · $79.0M to $79.7M
Sep 9, 2020 to Mar 2, 2021
HNW RAUM · $78.5M to $79.0M
Sep 9, 2020 to Mar 2, 2021
Individual RAUM · $563,563 to $640,392
Sep 9, 2020 to Mar 2, 2021
RAUM · $79.0M to $79.7M
Sep 9, 2020 to Mar 2, 2021
Financial planning clients · 1-10 to 0
Mar 12, 2019 to Feb 25, 2020
Discretionary RAUM · $69.8M to $79.0M
Mar 12, 2019 to Feb 25, 2020
HNW RAUM · $69.8M to $78.5M
Mar 12, 2019 to Feb 25, 2020
Individual RAUM · unset to 563563.0
Mar 12, 2019 to Feb 25, 2020
RAUM · $69.8M to $79.0M
Mar 12, 2019 to Feb 25, 2020
Accounts · 40 to 41
May 16, 2018 to Mar 12, 2019
Discretionary RAUM · $66.1M to $69.8M
May 16, 2018 to Mar 12, 2019
HNW RAUM · $66.1M to $69.8M
May 16, 2018 to Mar 12, 2019
RAUM · $66.1M to $69.8M
May 16, 2018 to Mar 12, 2019
Accounts · 37 to 40
Feb 28, 2018 to May 16, 2018
HNW clients · 7 to 8
Feb 28, 2018 to May 16, 2018
Discretionary RAUM · $56.2M to $66.1M
Feb 28, 2018 to May 16, 2018
HNW RAUM · $56.2M to $66.1M
Feb 28, 2018 to May 16, 2018
RAUM · $56.2M to $66.1M
Feb 28, 2018 to May 16, 2018
Accounts · 42 to 37
Mar 10, 2017 to Feb 28, 2018
HNW clients · unset to 7.0
Mar 10, 2017 to Feb 28, 2018
Other offices · unset to 0.0
Mar 10, 2017 to Feb 28, 2018
Discretionary RAUM · $54.1M to $56.2M
Mar 10, 2017 to Feb 28, 2018
HNW RAUM · unset to 56206942.0
Mar 10, 2017 to Feb 28, 2018
RAUM · $54.1M to $56.2M
Mar 10, 2017 to Feb 28, 2018
Accounts · 8 to 42
Feb 22, 2016 to Mar 10, 2017
Discretionary RAUM · $42.6M to $54.1M
Feb 22, 2016 to Mar 10, 2017
RAUM · $42.6M to $54.1M
Feb 22, 2016 to Mar 10, 2017
Accounts · 47 to 8
Jun 18, 2015 to Feb 22, 2016
Financial planning clients · 0 to 1-10
Jun 18, 2015 to Feb 22, 2016
HQ city · unset to NEW YORK
Jun 18, 2015 to Feb 22, 2016
HQ state · unset to NY
Jun 18, 2015 to Feb 22, 2016
Discretionary RAUM · $44.7M to $42.6M
Jun 18, 2015 to Feb 22, 2016
RAUM · $44.7M to $42.6M
Jun 18, 2015 to Feb 22, 2016
State-registered IARs · 1 to 0
Jan 7, 2015 to Feb 12, 2015

Signals

1 dated events

••• Locked
Jan 7, 2015 · 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 27, 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: $86.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026