DFX Intelligence

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T••••• W•••• L••

Independent wealth managerSEC-registered· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $92.4M of regulatory assets across 2 registered advisors.

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

As of 2026-01-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $92.4M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +7.8%
Private clients: 96%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-01-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 30 Jan 2026, RAUM $85.7M to $92.4M (+7.8%) on the Form ADV filed 30 Jan 2026, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 168431 · SEC 801-78418 · 37 filingsShow

CRD 168431SEC 801-78418First filing on the tape Aug 2, 2013, latest Jan 30, 2026SEC status approved since Dec 11, 2013IAPD

RAUM

$92.4M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

96%

$88.3M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$46.2M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

37 filings and snapshots on the tape

RAUM +12% a year over three years · the tape starts Aug 2, 2013

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

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

RAUM$92.4M as of Jan 30, 2026

Feb 26, 2014$50.3M then

HNW client RAUM$87.9M as of Jan 30, 2026

Mar 9, 2018$51.4M then

State-registered IARs (5.B.3)2 as of Jan 30, 2026

Feb 26, 20140 then

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

Feb 26, 20141 then

Private funds: no history

RAUM +7.8% over the last fiscal year+12% a year over threeIARs 2 to 2

Practice profile

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

Archetypes

Independent boutique

The rule behind each archetype, and every derived figure1 ruleShow

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

RAUM per advisor: $46.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 11derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.6MderivedHNW RAUM over HNW clients
Average account: $1.4MderivedRAUM 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: 1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +7.8%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, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program: participatesreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

95% high-net-worth individuals, 4.5% corporations and businesses, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$87.9M95%
Corporations and businesses$4.1M4.5%
Individuals$394,8410.4%

Individual clients: 2reported
HNW clients: 19reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 66reported
Financial planning clients: 11-25reported
Wrap fee programs: $0 sponsored, $92.4M managedreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 96% 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

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
H•••• K• E••••••Chartered Financial Analyst	New York, Ny	Mar 23, 2021	13 y	0
T•••• L••••• N••••	New York, Ny	Dec 2, 2021	37 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

E••••••• H•••• · Chief Compliance Officercontrol
since 07/2013 · owns less than 5%
E••••••• H•••• · Managing Membercontrol
since 07/2013 · owns 75% or more of U•••••••• W••••• M••••••••• L••
N••••• T••••• L••••• · Managing Membercontrol
since 07/2013 · owns 75% or more of U•••• I•••••••• G•••• LLC

Entity owners

U•••••••• W••••• M••••••••• L•• · Member
direct · owns 75% or more
U•••• I•••••••• G••••• L•• · Member
direct · 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.

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
New York, Ny · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

New York, NY1 employee

What changed

consecutive filings, newest first

Accounts · 65 to 66
Aug 28, 2025 to Jan 30, 2026
Discretionary RAUM · $85.7M to $92.4M
Aug 28, 2025 to Jan 30, 2026
HNW RAUM · $81.5M to $87.9M
Aug 28, 2025 to Jan 30, 2026
Individual RAUM · $378,356 to $394,841
Aug 28, 2025 to Jan 30, 2026
RAUM · $85.7M to $92.4M
Aug 28, 2025 to Jan 30, 2026

Full history · 80 changes

Wrap assets (manager) · $85.7M to $92.4M
Aug 28, 2025 to Jan 30, 2026
Accounts · 64 to 65
Nov 20, 2024 to Mar 10, 2025
HNW clients · 15 to 19
Nov 20, 2024 to Mar 10, 2025
Individual clients · 4 to 2
Nov 20, 2024 to Mar 10, 2025
Financial planning clients · 11-25 to 11-25
Nov 20, 2024 to Mar 10, 2025
Discretionary RAUM · $72.3M to $85.7M
Nov 20, 2024 to Mar 10, 2025
HNW RAUM · $67.7M to $81.5M
Nov 20, 2024 to Mar 10, 2025
Individual RAUM · $975,149 to $378,356
Nov 20, 2024 to Mar 10, 2025
RAUM · $72.3M to $85.7M
Nov 20, 2024 to Mar 10, 2025
Wrap assets (manager) · $72.3M to $85.7M
Nov 20, 2024 to Mar 10, 2025
Individual clients · 2 to 4
Mar 10, 2023 to Mar 12, 2024
Discretionary RAUM · $66.6M to $72.3M
Mar 10, 2023 to Mar 12, 2024
HNW RAUM · $62.5M to $67.7M
Mar 10, 2023 to Mar 12, 2024
Individual RAUM · $731,429 to $975,149
Mar 10, 2023 to Mar 12, 2024
RAUM · $66.6M to $72.3M
Mar 10, 2023 to Mar 12, 2024
Wrap assets (manager) · $66.6M to $72.3M
Mar 10, 2023 to Mar 12, 2024
Accounts · 66 to 64
Mar 10, 2023 to Mar 12, 2024
HNW clients · 17 to 15
Mar 10, 2023 to Mar 12, 2024
Accounts · 68 to 66
Mar 11, 2022 to Mar 8, 2023
Corporate clients · unset to 2.0
Mar 11, 2022 to Mar 8, 2023
HNW clients · 10 to 17
Mar 11, 2022 to Mar 8, 2023
Individual clients · unset to 2.0
Mar 11, 2022 to Mar 8, 2023
Financial planning clients · 0 to 11-25
Mar 11, 2022 to Mar 8, 2023
Discretionary RAUM · $64.3M to $66.6M
Mar 11, 2022 to Mar 8, 2023
HNW RAUM · $59.6M to $62.5M
Mar 11, 2022 to Mar 8, 2023
Individual RAUM · $882,079 to $731,429
Mar 11, 2022 to Mar 8, 2023
RAUM · $64.3M to $66.6M
Mar 11, 2022 to Mar 8, 2023
Wrap assets (manager) · $0 to $66.6M
Mar 11, 2022 to Mar 8, 2023
Accounts · 56 to 68
Mar 2, 2021 to Mar 9, 2022
Advisory employees · 3 to 2
Mar 2, 2021 to Mar 9, 2022
HNW clients · 9 to 10
Mar 2, 2021 to Mar 9, 2022
Employees · 3 to 2
Mar 2, 2021 to Mar 9, 2022
State-registered IARs · 1 to 2
Mar 2, 2021 to Mar 9, 2022
Discretionary RAUM · $54.5M to $64.3M
Mar 2, 2021 to Mar 9, 2022
HNW RAUM · $52.5M to $59.6M
Mar 2, 2021 to Mar 9, 2022
Individual RAUM · $1.7M to $882,079
Mar 2, 2021 to Mar 9, 2022
RAUM · $54.5M to $64.3M
Mar 2, 2021 to Mar 9, 2022
Accounts · 55 to 56
Jun 24, 2020 to Mar 1, 2021
Financial planning clients · 1-10 to 0
Jun 24, 2020 to Mar 1, 2021
State-registered IARs · 0 to 1
Jun 24, 2020 to Mar 1, 2021
Discretionary RAUM · $52.7M to $54.5M
Jun 24, 2020 to Mar 1, 2021
HNW RAUM · $52.3M to $52.5M
Jun 24, 2020 to Mar 1, 2021
Individual RAUM · $350,939 to $1.7M
Jun 24, 2020 to Mar 1, 2021
RAUM · $52.7M to $54.5M
Jun 24, 2020 to Mar 1, 2021
Accounts · 53 to 55
Aug 8, 2019 to Mar 4, 2020
HNW clients · 8 to 9
Aug 8, 2019 to Mar 4, 2020
Discretionary RAUM · $48.0M to $52.7M
Aug 8, 2019 to Mar 4, 2020
HNW RAUM · $47.7M to $52.3M
Aug 8, 2019 to Mar 4, 2020
Individual RAUM · $285,418 to $350,939
Aug 8, 2019 to Mar 4, 2020
RAUM · $48.0M to $52.7M
Aug 8, 2019 to Mar 4, 2020
Other offices · 0 to 1
Feb 25, 2019 to Aug 8, 2019
Accounts · 41 to 53
May 10, 2018 to Feb 25, 2019
HNW clients · 6 to 8
May 10, 2018 to Feb 25, 2019
Discretionary RAUM · $51.7M to $48.0M
May 10, 2018 to Feb 25, 2019
HNW RAUM · $51.4M to $47.7M
May 10, 2018 to Feb 25, 2019
Individual RAUM · $289,889 to $285,418
May 10, 2018 to Feb 25, 2019
RAUM · $51.7M to $48.0M
May 10, 2018 to Feb 25, 2019
Accounts · 43 to 41
Mar 28, 2017 to Mar 9, 2018
HNW clients · unset to 6.0
Mar 28, 2017 to Mar 9, 2018
Other offices · unset to 0.0
Mar 28, 2017 to Mar 9, 2018
Discretionary RAUM · $51.1M to $51.7M
Mar 28, 2017 to Mar 9, 2018
HNW RAUM · unset to 51409973.0
Mar 28, 2017 to Mar 9, 2018
Individual RAUM · unset to 289889.0
Mar 28, 2017 to Mar 9, 2018
RAUM · $51.1M to $51.7M
Mar 28, 2017 to Mar 9, 2018
Wrap assets (manager) · unset to 0.0
Mar 28, 2017 to Mar 9, 2018
Wrap assets (sponsor) · unset to 0.0
Mar 28, 2017 to Mar 9, 2018
Accounts · 35 to 43
Mar 17, 2016 to Mar 28, 2017
Advisory employees · 1 to 3
Mar 17, 2016 to Mar 28, 2017
Employees · 1 to 3
Mar 17, 2016 to Mar 28, 2017
Discretionary RAUM · $46.7M to $51.1M
Mar 17, 2016 to Mar 28, 2017
RAUM · $46.7M to $51.1M
Mar 17, 2016 to Mar 28, 2017
Financial planning clients · 0 to 1-10
Mar 17, 2015 to Mar 17, 2016
Discretionary RAUM · $49.8M to $46.7M
Mar 17, 2015 to Mar 17, 2016
RAUM · $49.8M to $46.7M
Mar 17, 2015 to Mar 17, 2016
Accounts · 19 to 35
Feb 26, 2014 to Mar 17, 2015

Signals

1 dated events

••• Locked
Aug 2, 2013 · 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), LinkedIn company page (1), Facebook (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
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jan 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jan 30, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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: $46.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026