DFX Intelligence

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SEC-registered adviser

D••••••• I••••••••• A•••••••

Independent wealth managerWhite Plains, New YorkCRD 168812SEC 801-110387website IAPD

Legal name M••••• A•••• M••••••••• L••

Latest filing Feb 5, 2026

First filing on the tape Apr 4, 2017 · 28 filings

SEC status approved since Apr 17, 2017

RAUM

$125M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

93%

$116M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$125M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

28 filings and snapshots on the tape

RAUM$125M as of Feb 5, 2026

Jan 29, 2018$76.2M then

HNW client RAUM$106M as of Feb 5, 2026

Jan 29, 2018$43.5M then

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

Jan 29, 20181 then

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

Jan 29, 20181 then

Private funds: no history

RAUM +4.2% over the last fiscal year+3.3% a year over threeIARs 1 to 1offices 1 to 0

Practice profile

derived from the filing of Feb 5, 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: $125MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 54derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.0MderivedHNW RAUM over HNW clients
Average account: $819,000derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 7.2%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: +4.2%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -11%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
Custody: $2.3M, 1 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

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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$106M85%
Individuals$9.8M7.8%
Charitable organizations$9.0M7.2%

Individual clients: 19reported
HNW clients: 35reported
Pension plan clients: n/areported
Charitable clients: 5reported
Accounts: 153reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $2.3M for 1 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=0.93 fund_share=0.0 institutional_share=0.07 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
S••• A••••••••	West Harrison, Ny	Jul 21, 2021	13 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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A••••••••• S••• · Managing Member And Chief Compliance Officercontrol
since 07/2013 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Accounts · 162 to 153
Feb 12, 2025 to Jan 30, 2026
Charity clients · 6 to 5
Feb 12, 2025 to Jan 30, 2026
HNW clients · 37 to 35
Feb 12, 2025 to Jan 30, 2026
Individual clients · 24 to 19
Feb 12, 2025 to Jan 30, 2026
Other offices · 1 to 0
Feb 12, 2025 to Jan 30, 2026
Discretionary RAUM · $120M to $125M
Feb 12, 2025 to Jan 30, 2026
HNW RAUM · $97.9M to $106M
Feb 12, 2025 to Jan 30, 2026
Individual RAUM · $13.3M to $9.8M
Feb 12, 2025 to Jan 30, 2026
RAUM · $120M to $125M
Feb 12, 2025 to Jan 30, 2026
Financial planning clients · unset to
Jan 30, 2025 to Feb 12, 2025
Accounts · 68 to 162
Feb 6, 2024 to Jan 30, 2025
Charity clients · unset to 6.0
Feb 6, 2024 to Jan 30, 2025
HNW clients · 35 to 37
Feb 6, 2024 to Jan 30, 2025
Individual clients · 28 to 24
Feb 6, 2024 to Jan 30, 2025
Discretionary RAUM · $126M to $120M
Feb 6, 2024 to Jan 30, 2025
HNW RAUM · $105M to $97.9M
Feb 6, 2024 to Jan 30, 2025
Individual RAUM · $13.3M to $13.3M
Feb 6, 2024 to Jan 30, 2025
Pension RAUM · 53797.0 to unset
Feb 6, 2024 to Jan 30, 2025
RAUM · $126M to $120M
Feb 6, 2024 to Jan 30, 2025
Accounts · 138 to 68
Apr 13, 2023 to Feb 5, 2024
Charity clients · 3.0 to unset
Apr 13, 2023 to Feb 5, 2024
HNW clients · 34 to 35
Apr 13, 2023 to Feb 5, 2024
Individual clients · 58 to 28
Apr 13, 2023 to Feb 5, 2024
Assets in custody · $2.3M to $2.3M
Apr 13, 2023 to Feb 5, 2024
Employees · 2 to 1
Apr 13, 2023 to Feb 5, 2024
Discretionary RAUM · $114M to $126M
Apr 13, 2023 to Feb 5, 2024
HNW RAUM · $102M to $105M
Apr 13, 2023 to Feb 5, 2024
Individual RAUM · $4.3M to $13.3M
Apr 13, 2023 to Feb 5, 2024
Pension RAUM · unset to 53797.0
Apr 13, 2023 to Feb 5, 2024
RAUM · $114M to $126M
Apr 13, 2023 to Feb 5, 2024
Accounts · 139 to 138
Mar 1, 2022 to Jan 27, 2023
HNW clients · 28 to 34
Mar 1, 2022 to Jan 27, 2023
Individual clients · 27 to 58
Mar 1, 2022 to Jan 27, 2023
Assets in custody · unset to 2250000.0
Mar 1, 2022 to Jan 27, 2023
Custody of client assets · false to true
Mar 1, 2022 to Jan 27, 2023
Employees · 1 to 2
Mar 1, 2022 to Jan 27, 2023
Discretionary RAUM · $126M to $114M
Mar 1, 2022 to Jan 27, 2023
HNW RAUM · $109M to $102M
Mar 1, 2022 to Jan 27, 2023
Individual RAUM · $7.7M to $4.3M
Mar 1, 2022 to Jan 27, 2023
Pension RAUM · 114000.0 to unset
Mar 1, 2022 to Jan 27, 2023

Signals

1 dated events

D••••••• I••••••••• A••••••• filed its initial SEC registration (Form ADV)
Apr 4, 2017 · 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 phone: 917-363-4919reportedpublished by the firm, firm site, Sep 16, 2026
Website: d•••••••••.comreportedpublic record, Form ADV, Feb 5, 2026
Principal office phone: (917) 363-4919reportedpublic record, Form ADV, Feb 5, 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: $125Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026