DFX Intelligence
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D•••••• W••••• G••••• L••
Independent wealth manager, based in Garden City, New York, reporting $174M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $174M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +54%
- Private clients
- 95% of RAUM, $166M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $113MRAUM now $174M
- HNW share of RAUM 0.570952312228669
- Contact points 8
Every filed figure, and the identifiersCRD 166794 · SEC 801-119871 · 13 filingsShowHide
CRD 166794SEC 801-119871First filing on the tape Oct 27, 2020, latest Jul 31, 2026SEC status approved since Dec 7, 2020IAPD
RAUM
$174M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$166M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$87.2M
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
13 filings and snapshots on the tape
RAUM$174M as of Jul 31, 2026
Feb 8, 2021$67.6M then
HNW client RAUM$112M as of Jul 31, 2026
Feb 8, 2021$34.6M then
State-registered IARs (5.B.3)2 as of Jul 31, 2026
Feb 8, 20211 then
Employees (5.A)3 as of Jul 31, 2026
Feb 8, 20211 then
Private funds: no history
RAUM +54% over the last fiscal year+31% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 31, 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
- RAUM per advisor
- $87.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 177derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $261,190derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $525,041, 2 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$112M64%
- Individuals$53.9M31%
- Charitable organizations$3.6M2.1%
- Corporations and businesses$3.2M1.8%
- Pension and profit-sharing plans$1.8M1.0%
- Individual clients
- 277reported
- HNW clients
- 77reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 668reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $525,041 for 2 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• D••••••Certified Financial Planner | Garden City, Ny | Feb 19, 2021 | 19 y | 0 |
| E•••• M• D•••••• | Garden City, Ny | Aug 8, 2024 | 12 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• M•••••• · Managing Member - Ccocontrolsince 02/2013 · owns 75% or more
Related persons
Schedule D 7.A
- M•••••• D••••••• L••••••• I•••••••• B•••••investment companyreal estaten
- Z••••• E••••• L••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Garden City, 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
- HNW share shiftChange between filings · filing Mar 12, 2026HNW share of RAUM moved from 38.0% to 57.0% between the annual amendments of 2025-02-20 and 2026-03-12peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Accounts · 663 to 668Mar 12, 2026 to Jul 31, 2026
- Business name · D•••••• F•••••••• C•••••••• L•• to D•••••• W••••• G••••• L••Mar 12, 2026 to Jul 31, 2026
- Corporate clients · 6 to 5Mar 12, 2026 to Jul 31, 2026
- HNW clients · 98 to 77Mar 12, 2026 to Jul 31, 2026
- Individual clients · 273 to 277Mar 12, 2026 to Jul 31, 2026
- Pension plan clients · 4 to 2Mar 12, 2026 to Jul 31, 2026
- HQ city · NEW HYDE PARK to GARDEN CITYMar 12, 2026 to Jul 31, 2026
- Legal name · D•••••• F•••••••• C•••••••• L•• to D•••••• W••••• G••••• L••Mar 12, 2026 to Jul 31, 2026
- Discretionary RAUM · $144M to $174MMar 12, 2026 to Jul 31, 2026
- HNW RAUM · $82.1M to $112MMar 12, 2026 to Jul 31, 2026
- Individual RAUM · $55.9M to $53.9MMar 12, 2026 to Jul 31, 2026
- Pension RAUM · $862,691 to $1.8MMar 12, 2026 to Jul 31, 2026
- RAUM · $144M to $174MMar 12, 2026 to Jul 31, 2026
- Accounts · 682 to 663Feb 20, 2025 to Mar 12, 2026
- Charity clients · 3 to 2Feb 20, 2025 to Mar 12, 2026
- Corporate clients · 1 to 6Feb 20, 2025 to Mar 12, 2026
- HNW clients · 34 to 98Feb 20, 2025 to Mar 12, 2026
- Individual clients · 295 to 273Feb 20, 2025 to Mar 12, 2026
- Assets in custody · $640,449 to $525,041Feb 20, 2025 to Mar 12, 2026
- Discretionary RAUM · $113M to $144MFeb 20, 2025 to Mar 12, 2026
- HNW RAUM · $43.0M to $82.1MFeb 20, 2025 to Mar 12, 2026
- Individual RAUM · $62.0M to $55.9MFeb 20, 2025 to Mar 12, 2026
- Pension RAUM · $3.0M to $862,691Feb 20, 2025 to Mar 12, 2026
- RAUM · $113M to $144MFeb 20, 2025 to Mar 12, 2026
- Accounts · 637 to 682Sep 5, 2024 to Feb 20, 2025
- HNW clients · 29 to 34Sep 5, 2024 to Feb 20, 2025
- Individual clients · 282 to 295Sep 5, 2024 to Feb 20, 2025
- Assets in custody · $454,367 to $640,449Sep 5, 2024 to Feb 20, 2025
- Financial planning clients · 1-10 to 11-25Sep 5, 2024 to Feb 20, 2025
- Discretionary RAUM · $104M to $113MSep 5, 2024 to Feb 20, 2025
- HNW RAUM · $40.2M to $43.0MSep 5, 2024 to Feb 20, 2025
- Individual RAUM · $55.8M to $62.0MSep 5, 2024 to Feb 20, 2025
- Pension RAUM · $2.6M to $3.0MSep 5, 2024 to Feb 20, 2025
- RAUM · $104M to $113MSep 5, 2024 to Feb 20, 2025
- Accounts · 560 to 637Feb 15, 2024 to Sep 5, 2024
- Advisory employees · 1 to 2Feb 15, 2024 to Sep 5, 2024
- HNW clients · 28 to 29Feb 15, 2024 to Sep 5, 2024
- Individual clients · 268 to 282Feb 15, 2024 to Sep 5, 2024
- Assets in custody · $610,421 to $454,367Feb 15, 2024 to Sep 5, 2024
- Employees · 2 to 3Feb 15, 2024 to Sep 5, 2024
Signals
2 dated events
- ••• LockedJul 31, 2026 · ria hq relocated · fact
- ••• LockedOct 27, 2020 · 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
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Jul 31, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jul 31, 2026
- Team page
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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
- $87.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026