DFX Intelligence

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L••••• I••••••••• M••••••••• L•••

Independent wealth managerSEC-registered· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $313M of regulatory assets.

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

As of 2026-03-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $313M
Advisors: 0
RAUM change, 1 year: +2.8%
Private clients: 67%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 17 Mar 2026, RAUM $304M to $313M (+2.8%) on the Form ADV filed 17 Mar 2026.

Every filed figure, and the identifiersCRD 170961 · SEC 801-79596 · 22 filingsShow

CRD 170961SEC 801-79596First filing on the tape Apr 4, 2014, latest Mar 17, 2026SEC status approved since Apr 17, 2014IAPD

RAUM

$313M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

67%

$209M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM -1.0% a year over three years · the tape starts Apr 4, 2014

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

RAUM$313M as of Mar 17, 2026

Mar 31, 2015$860M then

HNW client RAUM$193M as of Mar 17, 2026

Mar 27, 2018$383M then

State-registered IARs (5.B.3)0 as of Mar 17, 2026

Mar 31, 20150 then

Employees (5.A)4 as of Mar 17, 2026

Mar 31, 201511 then

Private funds: no history

RAUM +2.8% over the last fiscal year-1.0% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 17, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $6.4MderivedHNW RAUM over HNW clients
Average account: $6.4MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +2.8%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -7.7%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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

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

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

High-net-worth individuals$193M62%
Charitable organizations$104M33%
Individuals$15.7M5.0%

Individual clients: 18reported
HNW clients: 30reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 49reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.67 fund_share=0.0 institutional_share=0.33 related_bd=false related_bank=false bd_reps=0.0derived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D•••••• F•••••• K•••••••• · Limited Partner, Senior Managing Principalcontrol
since 05/2014 · owns 75% or more
O••••• J••••• A•••••• · Chief Compliance Officercontrol
since 09/2018 · owns less than 5%
B••••••• S••••• · Elected Managercontrol
since 04/2011 · owns F of H•••••• K••••••• L••
D•••••• F•••••• K•••••••• · Membercontrol
since 05/2014 · owns 75% or more of L••••• I••••••••• M••••••••• L••
D••••• L•••••••• P•••••• · Elected Managercontrol
since 04/2011 · owns F of H•••••• K••••••• L••

All 11 control persons

D••••• P••••• B•••••• · Elected Managercontrol
since 04/2011 · owns F of H•••••• K••••••• L••
E••••• T•••••• C••••••• · Elected Managercontrol
since 04/2011 · owns F of H•••••• K••••••• L••
K••••••• J••• H••••• · Elected Managercontrol
since 04/2011 · owns F of H•••••• K••••••• L••
P•••••••• L••••• · Elected Managercontrol
since 04/2011 · owns F of H•••••• K••••••• L••
S••••• M••••• · Chairman Of The Board Of Managers And Elected Managercontrol
since 04/2011 · owns F of H•••••• K••••••• L••
W•••••••• A•••• L• · Membercontrol
since 02/2021 · owns F of H•••••• K••••••• L••

Entity owners

L••••• I••••••••• M••••••••• L•• · General Partner
direct · owns less than 5%
H•••••• C••••• I•• · Member
indirect · owns 25% to 50% of H•••••• K••••••• L••
K••••••• C••••• I•• · Member
indirect · owns 25% to 50% of H•••••• K••••••• L••
H•••••• C••••• I••• · Limited Partner
direct · owns 5% to 10%
H•••••• K••••••• L•• · Limited Partner
direct · owns 5% to 10%

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 · 53 to 49
Mar 28, 2025 to Mar 17, 2026
HNW clients · 33 to 30
Mar 28, 2025 to Mar 17, 2026
Individual clients · 19 to 18
Mar 28, 2025 to Mar 17, 2026
Discretionary RAUM · $304M to $313M
Mar 28, 2025 to Mar 17, 2026
HNW RAUM · $192M to $193M
Mar 28, 2025 to Mar 17, 2026

Full history · 80 changes

Individual RAUM · $14.5M to $15.7M
Mar 28, 2025 to Mar 17, 2026
RAUM · $304M to $313M
Mar 28, 2025 to Mar 17, 2026
Accounts · 58 to 53
Mar 11, 2024 to Mar 28, 2025
HNW clients · 36 to 33
Mar 11, 2024 to Mar 28, 2025
Financial planning clients · unset to
Mar 11, 2024 to Mar 28, 2025
Discretionary RAUM · $314M to $304M
Mar 11, 2024 to Mar 28, 2025
HNW RAUM · $178M to $192M
Mar 11, 2024 to Mar 28, 2025
Individual RAUM · $13.0M to $14.5M
Mar 11, 2024 to Mar 28, 2025
RAUM · $314M to $304M
Mar 11, 2024 to Mar 28, 2025
Accounts · 64 to 58
Mar 6, 2023 to Mar 11, 2024
HNW clients · 42 to 36
Mar 6, 2023 to Mar 11, 2024
Discretionary RAUM · $322M to $314M
Mar 6, 2023 to Mar 11, 2024
HNW RAUM · $171M to $178M
Mar 6, 2023 to Mar 11, 2024
Individual RAUM · $11.9M to $13.0M
Mar 6, 2023 to Mar 11, 2024
RAUM · $322M to $314M
Mar 6, 2023 to Mar 11, 2024
Accounts · 66 to 64
Sep 23, 2022 to Mar 6, 2023
HNW clients · 43 to 42
Sep 23, 2022 to Mar 6, 2023
Discretionary RAUM · $500M to $322M
Sep 23, 2022 to Mar 6, 2023
HNW RAUM · $227M to $171M
Sep 23, 2022 to Mar 6, 2023
Individual RAUM · $16.1M to $11.9M
Sep 23, 2022 to Mar 6, 2023
RAUM · $500M to $322M
Sep 23, 2022 to Mar 6, 2023
Accounts · 64 to 66
Mar 17, 2021 to Mar 11, 2022
HNW clients · 41 to 43
Mar 17, 2021 to Mar 11, 2022
Discretionary RAUM · $464M to $500M
Mar 17, 2021 to Mar 11, 2022
HNW RAUM · $208M to $227M
Mar 17, 2021 to Mar 11, 2022
Individual RAUM · $15.0M to $16.1M
Mar 17, 2021 to Mar 11, 2022
RAUM · $464M to $500M
Mar 17, 2021 to Mar 11, 2022
Accounts · 63 to 64
Jun 29, 2020 to Mar 17, 2021
Discretionary RAUM · $302M to $464M
Jun 29, 2020 to Mar 17, 2021
HNW RAUM · $145M to $208M
Jun 29, 2020 to Mar 17, 2021
Individual RAUM · $10.9M to $15.0M
Jun 29, 2020 to Mar 17, 2021
RAUM · $302M to $464M
Jun 29, 2020 to Mar 17, 2021
Accounts · 67 to 63
Mar 25, 2019 to Mar 25, 2020
Charity clients · 1.0 to unset
Mar 25, 2019 to Mar 25, 2020
Corporate clients · 2.0 to unset
Mar 25, 2019 to Mar 25, 2020
HNW clients · 44 to 41
Mar 25, 2019 to Mar 25, 2020
Individual clients · 20 to 19
Mar 25, 2019 to Mar 25, 2020
Discretionary RAUM · $276M to $302M
Mar 25, 2019 to Mar 25, 2020
HNW RAUM · $138M to $145M
Mar 25, 2019 to Mar 25, 2020
Individual RAUM · $9.1M to $10.9M
Mar 25, 2019 to Mar 25, 2020
RAUM · $276M to $302M
Mar 25, 2019 to Mar 25, 2020
Discretionary RAUM · $285M to $276M
Oct 25, 2018 to Mar 25, 2019
HNW RAUM · $142M to $138M
Oct 25, 2018 to Mar 25, 2019
Individual RAUM · $9.4M to $9.1M
Oct 25, 2018 to Mar 25, 2019
RAUM · $285M to $276M
Oct 25, 2018 to Mar 25, 2019
Succession · true to false
Oct 25, 2018 to Mar 25, 2019
Accounts · 118 to 67
Sep 28, 2018 to Oct 25, 2018
Advisory employees · 5 to 2
Sep 28, 2018 to Oct 25, 2018
Charity clients · 3 to 1
Sep 28, 2018 to Oct 25, 2018
Corporate clients · 4 to 2
Sep 28, 2018 to Oct 25, 2018
HNW clients · 78 to 44
Sep 28, 2018 to Oct 25, 2018
Individual clients · 32 to 20
Sep 28, 2018 to Oct 25, 2018
Assets in custody · 108148081.0 to unset
Sep 28, 2018 to Oct 25, 2018
Custody of client assets · true to false
Sep 28, 2018 to Oct 25, 2018
Employees · 12 to 4
Sep 28, 2018 to Oct 25, 2018
Discretionary RAUM · $1.0B to $285M
Sep 28, 2018 to Oct 25, 2018
HNW RAUM · $383M to $142M
Sep 28, 2018 to Oct 25, 2018
Individual RAUM · $13.4M to $9.4M
Sep 28, 2018 to Oct 25, 2018
RAUM · $1.0B to $285M
Sep 28, 2018 to Oct 25, 2018
Succession · false to true
Sep 28, 2018 to Oct 25, 2018
Charity clients · unset to 3.0
Sep 28, 2017 to Mar 27, 2018
Corporate clients · unset to 4.0
Sep 28, 2017 to Mar 27, 2018
HNW clients · unset to 78.0
Sep 28, 2017 to Mar 27, 2018
Individual clients · unset to 32.0
Sep 28, 2017 to Mar 27, 2018
Assets in custody · $92.7M to $108M
Sep 28, 2017 to Mar 27, 2018
Employees · 11 to 12
Sep 28, 2017 to Mar 27, 2018
Other offices · unset to 0.0
Sep 28, 2017 to Mar 27, 2018
Discretionary RAUM · $807M to $1.0B
Sep 28, 2017 to Mar 27, 2018
HNW RAUM · unset to 383152207.0
Sep 28, 2017 to Mar 27, 2018
Individual RAUM · unset to 13368645.0
Sep 28, 2017 to Mar 27, 2018
RAUM · $807M to $1.0B
Sep 28, 2017 to Mar 27, 2018
Advisory activities · 1 to 2
Sep 28, 2017 to Mar 27, 2018
Accounts · 119 to 118
Feb 8, 2016 to Feb 24, 2017
Assets in custody · $25.5M to $92.7M
Feb 8, 2016 to Feb 24, 2017
Discretionary RAUM · $856M to $807M
Feb 8, 2016 to Feb 24, 2017

Signals

18 dated events

••• Locked
Mar 17, 2026 · ria indirect owner change · derived
••• Locked
Mar 17, 2026 · ria indirect owner change · derived
••• Locked
Mar 17, 2026 · ria indirect owner change · derived
••• Locked
Mar 17, 2026 · ria indirect owner change · derived
••• Locked
Mar 17, 2026 · ria indirect owner change · derived

Full timeline · 18 events

••• Locked
Mar 17, 2026 · ria indirect owner change · derived
••• Locked
Mar 17, 2026 · ria indirect owner change · derived
••• Locked
Mar 17, 2026 · ria indirect owner change · derived
••• Locked
Mar 17, 2026 · ria indirect owner change · derived
••• Locked
Mar 17, 2026 · ria indirect owner change · derived
••• Locked
Mar 17, 2026 · ria indirect owner change · fact
••• Locked
Mar 6, 2023 · RAUM change · derived
••• Locked
Mar 11, 2022 · Control person joined · fact
••• Locked
Mar 17, 2021 · RAUM change · derived
••• Locked
Mar 17, 2021 · Control person left · inference
••• Locked
Oct 25, 2018 · RAUM change · derived
••• Locked
Oct 25, 2018 · Succession (Item 4) · fact
••• Locked
Apr 4, 2014 · 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 phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 17, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 17, 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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.