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.

SEC-registered adviser

M•• G•••• L••

Independent wealth managerCedarhurst, New YorkCRD 164123SEC 801-76661IAPD

Latest filing May 22, 2026

First filing on the tape May 2, 2012 · 39 filings

SEC status approved since May 12, 2012

RAUM

$431M

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

58%

$249M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$215M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

39 filings and snapshots on the tape

RAUM$431M as of May 22, 2026

Mar 25, 2013$75.0M then

HNW client RAUM$195M as of May 22, 2026

Mar 9, 2018$98.2M then

State-registered IARs (5.B.3)1 as of May 22, 2026

Mar 25, 20130 then

Employees (5.A)4 as of May 22, 2026

Mar 25, 20132 then

Private funds: no history

RAUM +19% over the last fiscal year+21% a year over threeIARs 1 to 1

Practice profile

derived from the filing of May 22, 2026; every figure names its basis

Archetypes, each a printed rule

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
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $215MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 164derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.1MderivedHNW RAUM over HNW clients
Average account: $443,843derivedRAUM over accounts (5.F.2.f)
Discretionary: 99%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +9.7%derived
Compensation: percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program: $411MreportedItem 5.I
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$195M45%
Corporations and businesses$182M42%
Individuals$53.2M12%

Individual clients: 265reported
HNW clients: 63reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 971reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourly, commissionsreported
Class basis: private_client_share=0.58 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
S••• N•• G•••	Cedarhurst, Ny	Dec 1, 2021	10 y	0
S••••• W•••••	Cedarhurst, Ny	Oct 9, 2024	11 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

M•••••• M••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Aug 3, 2023 · RIA to wirehouse

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

G•••• S•••• N•• · Partner/Ccocontrol
since 11/2023 · owns 5% to 10%
J••••••••• J•••••• N•• · Managing Membercontrol
since 07/2017 · owns 10% to 25%
J••••••••• J•••••• N•• · Trusteecontrol
since 01/2021 · owns 50% to 75% of R•• A•••• T••••

Entity owners

R•• A•••• T•••• · Owner
direct · owns 50% to 75%

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
Cedarhurst, Ny · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

5 against comparable advisers; where to look, not conclusions

wealth to institutional shiftCombination · filing Mar 10, 2026
private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $362,427,459 to $430,971,085, advisors 1 to 1, private clients 299 to 328, offices 0 to 0 (2025-03-28 to 2026-03-10)
peers: independent wealth managers, $100M to $500M (5,679)
HNW share shiftChange between filings · filing Mar 10, 2026
HNW share of RAUM moved from 80.0% to 45.0% between the annual amendments of 2025-03-28 and 2026-03-10
peers: independent wealth managers, $100M to $500M (5,679)
institutional asset share shiftChange between filings · filing Mar 10, 2026
institutional share of RAUM moved from 4.0% to 42.0% between the annual amendments of 2025-03-28 and 2026-03-10
peers: independent wealth managers, $100M to $500M (5,679)
account count surgeChange between filings · filing Mar 10, 2026
accounts (Item 5.F.2.f) moved from 417.0 to 971.0 (+133.0%) between the annual amendments of 2025-03-28 and 2026-03-10; the peer median change was +5.0% (3685 comparable advisers, 99.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (3,685) · 99% percentile
client mix shiftChange between filings · filing Mar 10, 2026
private-client share of RAUM moved from 96.0% to 58.0% between the annual amendments of 2025-03-28 and 2026-03-10
peers: independent wealth managers, $100M to $500M (5,679)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 417 to 971
Mar 28, 2025 to Mar 10, 2026
Corporate clients · 17 to 36
Mar 28, 2025 to Mar 10, 2026
Individual clients · 236 to 265
Mar 28, 2025 to Mar 10, 2026
Discretionary RAUM · $362M to $429M
Mar 28, 2025 to Mar 10, 2026
HNW RAUM · $289M to $195M
Mar 28, 2025 to Mar 10, 2026
Individual RAUM · $59.1M to $53.2M
Mar 28, 2025 to Mar 10, 2026
Non-discretionary RAUM · $0 to $2.4M
Mar 28, 2025 to Mar 10, 2026
RAUM · $362M to $431M
Mar 28, 2025 to Mar 10, 2026
Accounts · 986 to 417
May 9, 2024 to Mar 28, 2025
Advisory employees · 1 to 2
May 9, 2024 to Mar 28, 2025
Charity clients · 7.0 to unset
May 9, 2024 to Mar 28, 2025
HNW clients · 44 to 63
May 9, 2024 to Mar 28, 2025
Individual clients · 224 to 236
May 9, 2024 to Mar 28, 2025
Pension plan clients · 20.0 to unset
May 9, 2024 to Mar 28, 2025
Financial planning clients · 0 to 0
May 9, 2024 to Mar 28, 2025
Discretionary RAUM · $306M to $362M
May 9, 2024 to Mar 28, 2025
HNW RAUM · $168M to $289M
May 9, 2024 to Mar 28, 2025
Individual RAUM · $73.9M to $59.1M
May 9, 2024 to Mar 28, 2025
Pension RAUM · 25842134.0 to unset
May 9, 2024 to Mar 28, 2025
RAUM · $306M to $362M
May 9, 2024 to Mar 28, 2025
Accounts · 790 to 986
Mar 30, 2023 to May 6, 2024
Advisory employees · 5 to 1
Mar 30, 2023 to May 6, 2024
Charity clients · unset to 7.0
Mar 30, 2023 to May 6, 2024
Corporate clients · unset to 17.0
Mar 30, 2023 to May 6, 2024
HNW clients · 93 to 44
Mar 30, 2023 to May 6, 2024
Individual clients · 104 to 224
Mar 30, 2023 to May 6, 2024
Pension plan clients · unset to 20.0
Mar 30, 2023 to May 6, 2024
Commission compensation · false to true
Mar 30, 2023 to May 6, 2024
Employees · 5 to 4
Mar 30, 2023 to May 6, 2024
State-registered IARs · 2 to 1
Mar 30, 2023 to May 6, 2024
Discretionary RAUM · $244M to $306M
Mar 30, 2023 to May 6, 2024
HNW RAUM · $224M to $168M
Mar 30, 2023 to May 6, 2024
Individual RAUM · $20.3M to $73.9M
Mar 30, 2023 to May 6, 2024
Pension RAUM · unset to 25842134.0
Mar 30, 2023 to May 6, 2024
RAUM · $244M to $306M
Mar 30, 2023 to May 6, 2024
Accounts · 743 to 790
Mar 4, 2022 to Mar 30, 2023
Advisory employees · 4 to 5
Mar 4, 2022 to Mar 30, 2023
BD registered reps · 4 to 3
Mar 4, 2022 to Mar 30, 2023
HNW clients · 90 to 93
Mar 4, 2022 to Mar 30, 2023
Individual clients · 91 to 104
Mar 4, 2022 to Mar 30, 2023

Signals

2 dated events

••• Locked
May 6, 2024 · Control person left · inference
••• Locked
Aug 3, 2023 · Advisor changed firm · 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: 718-696-4000reportedpublic record, Form ADV, May 22, 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: $215Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026