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Independent wealth managerSEC-registered· Warwick, New Yorkwebsite

Independent wealth manager, based in Warwick, New York, reporting $40.4M of regulatory assets across 1 registered advisors.

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

Regulatory AUM
$40.4M
Advisors
1
Net advisor flow, 12 months
0
0 joined, 0 left
RAUM change, 1 year
+24%
Private clients
96%
of RAUM, $38.7M
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 5 Mar 2026, RAUM $32.5M to $40.4M (+24.3%) on the Form ADV filed 5 Mar 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 169107 · SEC 801-129921 · 5 filingsShow
CRD 169107SEC 801-129921First filing on the tape Mar 18, 2024, latest Mar 5, 2026SEC status approved since Apr 17, 2024IAPD
RAUM
$40.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$38.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$40.4M
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
5 filings and snapshots on the tape

RAUM +24% over the last fiscal year · the tape starts Mar 18, 2024

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$40.4M as of Mar 5, 2026
Feb 7, 2025$32.5M then
HNW client RAUM$25.2M as of Mar 5, 2026
Feb 7, 2025$20.7M then
State-registered IARs (5.B.3)1 as of Mar 5, 2026
Feb 7, 20251 then
Employees (5.A)1 as of Mar 5, 2026
Feb 7, 20251 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$40.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$517,606derivedRAUM 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
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
+24%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 individualsreportedItem 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

62% high-net-worth individuals, 33% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow
  • High-net-worth individuals$25.2M62%
  • Individuals$13.5M33%
  • Corporations and businesses$1.7M4.3%
Individual clients
22reported
HNW clients
21reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
78reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
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 departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      R••• P•••• B•••••San Francisco, Ca Apr 8, 202124 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• R•••• P•••• · Principal And Chief Compliance Officercontrol
        since 11/2009 · owns 75% or more
      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.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Corporate clients · unset to 1.0
        May 9, 2025 to Mar 5, 2026
      • Discretionary RAUM · $32.5M to $40.4M
        May 9, 2025 to Mar 5, 2026
      • HNW RAUM · $20.7M to $25.2M
        May 9, 2025 to Mar 5, 2026
      • Individual RAUM · $11.8M to $13.5M
        May 9, 2025 to Mar 5, 2026
      • RAUM · $32.5M to $40.4M
        May 9, 2025 to Mar 5, 2026
      Full history · 14 changes
      • Financial planning clients · 26-50 to 26-50
        Feb 7, 2025 to May 9, 2025
      • Accounts · 73 to 78
        Apr 24, 2024 to Feb 7, 2025
      • HNW clients · 25 to 21
        Apr 24, 2024 to Feb 7, 2025
      • Individual clients · 16 to 22
        Apr 24, 2024 to Feb 7, 2025
      • Financial planning clients · 1-10 to 26-50
        Apr 24, 2024 to Feb 7, 2025
      • Discretionary RAUM · $26.7M to $32.5M
        Apr 24, 2024 to Feb 7, 2025
      • HNW RAUM · $21.0M to $20.7M
        Apr 24, 2024 to Feb 7, 2025
      • Individual RAUM · $5.7M to $11.8M
        Apr 24, 2024 to Feb 7, 2025
      • RAUM · $26.7M to $32.5M
        Apr 24, 2024 to Feb 7, 2025
      Signals
      1 dated events
      • ••• Locked
        Mar 18, 2024 · 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 17, 2026
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 5, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 5, 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
      $40.4Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026