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A••••• C••••••• L••
Independent wealth managerSEC-registered· New York,, New York
Independent wealth manager, based in New York,, New York, reporting $138M of regulatory assets across 1 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
- $138M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +13%
- Private clients
- 94% of RAUM, $130M
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
- Contact points 1
Every filed figure, and the identifiersCRD 168788 · SEC 801-78732 · 26 filingsShowHide
CRD 168788SEC 801-78732First filing on the tape Oct 21, 2013, latest Jan 6, 2026SEC status approved since Oct 29, 2013IAPD
RAUM
$138M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$130M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$138M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$138M as of Jan 6, 2026
Jan 31, 2014$90.5M then
HNW client RAUM$128M as of Jan 6, 2026
Jan 31, 2018$77.2M then
State-registered IARs (5.B.3)1 as of Jan 6, 2026
Jan 31, 20140 then
Employees (5.A)1 as of Jan 6, 2026
Jan 31, 20143 then
Private funds: no history
RAUM +13% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $138MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.2%derived
- Compensation
- percentage of assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$128M93%
- Corporations and businesses$5.2M3.8%
- Pension and profit-sharing plans$2.5M1.8%
- Individuals$2.0M1.5%
- Individual clients
- 4reported
- HNW clients
- 26reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 81reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• S• V••••• | New York,, Ny | Jan 31, 2014 | 27 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
- V•••••• J•••••••• S• · Managing Member And Chief Compliance Officercontrolsince 09/2013 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 80 to 81Jan 15, 2025 to Jan 6, 2026
- HNW clients · 27 to 26Jan 15, 2025 to Jan 6, 2026
- Discretionary RAUM · $122M to $138MJan 15, 2025 to Jan 6, 2026
- HNW RAUM · $114M to $128MJan 15, 2025 to Jan 6, 2026
- Individual RAUM · $1.9M to $2.0MJan 15, 2025 to Jan 6, 2026
- Pension RAUM · $2.2M to $2.5MJan 15, 2025 to Jan 6, 2026
- RAUM · $122M to $138MJan 15, 2025 to Jan 6, 2026
- Accounts · 79 to 80Feb 29, 2024 to Jan 15, 2025
- Financial planning clients · unset to Feb 29, 2024 to Jan 15, 2025
- Discretionary RAUM · $113M to $122MFeb 29, 2024 to Jan 15, 2025
- HNW RAUM · $107M to $114MFeb 29, 2024 to Jan 15, 2025
- Individual RAUM · $2.0M to $1.9MFeb 29, 2024 to Jan 15, 2025
- Pension RAUM · $1.3M to $2.2MFeb 29, 2024 to Jan 15, 2025
- RAUM · $113M to $122MFeb 29, 2024 to Jan 15, 2025
- Accounts · 78 to 79Jan 11, 2023 to Feb 29, 2024
- Charity clients · 1 to 0Jan 11, 2023 to Feb 29, 2024
- Corporate clients · 0 to 2Jan 11, 2023 to Feb 29, 2024
- Discretionary RAUM · $95.7M to $113MJan 11, 2023 to Feb 29, 2024
- HNW RAUM · $92.1M to $107MJan 11, 2023 to Feb 29, 2024
- Individual RAUM · $1.8M to $2.0MJan 11, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $911,067 to $0Jan 11, 2023 to Feb 29, 2024
- Pension RAUM · $822,154 to $1.3MJan 11, 2023 to Feb 29, 2024
- RAUM · $96.6M to $113MJan 11, 2023 to Feb 29, 2024
- Accounts · 75 to 78Feb 17, 2022 to Jan 11, 2023
- HNW clients · 34 to 27Feb 17, 2022 to Jan 11, 2023
- Discretionary RAUM · $112M to $95.7MFeb 17, 2022 to Jan 11, 2023
- HNW RAUM · $108M to $92.1MFeb 17, 2022 to Jan 11, 2023
- Individual RAUM · $2.0M to $1.8MFeb 17, 2022 to Jan 11, 2023
- Non-discretionary RAUM · $1.2M to $911,067Feb 17, 2022 to Jan 11, 2023
- Pension RAUM · $1.2M to $822,154Feb 17, 2022 to Jan 11, 2023
- RAUM · $113M to $96.6MFeb 17, 2022 to Jan 11, 2023
- Accounts · 34 to 75Feb 3, 2022 to Feb 17, 2022
- Accounts · 73 to 34Jun 9, 2021 to Feb 3, 2022
- Advisory employees · 2 to 1Jun 9, 2021 to Feb 3, 2022
- HNW clients · 33 to 34Jun 9, 2021 to Feb 3, 2022
- Employees · 2 to 1Jun 9, 2021 to Feb 3, 2022
- Other offices · 1 to 0Jun 9, 2021 to Feb 3, 2022
- Discretionary RAUM · $91.2M to $112MJun 9, 2021 to Feb 3, 2022
- HNW RAUM · $87.1M to $108MJun 9, 2021 to Feb 3, 2022
- Individual RAUM · $1.8M to $2.0MJun 9, 2021 to Feb 3, 2022
Signals
1 dated events
- ••• LockedOct 21, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jan 6, 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
- $138Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026