DFX Intelligence

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S•••• L••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $88.9M of regulatory assets across 1 registered advisors.

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

As of 2026-01-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $88.9M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +5.5%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-01-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 16 Jan 2026, RAUM $84.3M to $88.9M (+5.5%) on the Form ADV filed 16 Jan 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 171571 · SEC 801-80085 · 19 filingsShow

CRD 171571SEC 801-80085First filing on the tape Jul 8, 2014, latest Jan 16, 2026SEC status approved since Jul 21, 2014IAPD

RAUM

$88.9M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

100%

$88.9M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$88.9M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM +9.5% a year over three years · the tape starts Jul 8, 2014

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

RAUM$88.9M as of Jan 16, 2026

Feb 26, 2015$33.0M then

HNW client RAUM$86.1M as of Jan 16, 2026

Mar 2, 2018$49.0M then

State-registered IARs (5.B.3)1 as of Jan 16, 2026

Feb 26, 20150 then

Employees (5.A)1 as of Jan 16, 2026

Feb 26, 20151 then

Private funds: no history

RAUM +5.5% over the last fiscal year+9.5% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Jan 16, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

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: $88.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 25derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.3MderivedHNW RAUM over HNW clients
Average account: $548,716derivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%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: +5.5%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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

97% high-net-worth individuals, 3.1% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$86.1M97%
Individuals$2.8M3.1%

Individual clients: 5reported
HNW clients: 20reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 162reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 100% 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

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
S••••• P••• C•••••••Certified Financial Planner	Bronxville, Ny	Jun 16, 2021	23 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••••••• S•••••• P••• · Chief Compliance Officer/Managing Membercontrol
since 05/2014 · 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.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

low discretionary shareStatic outlier · filing Jan 16, 2026
discretionary share of RAUM of 0% against a peer median of 100% (309 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: independent wealth managers, under $100M (309) · 0.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 144 to 162
Jan 20, 2025 to Jan 16, 2026
HNW clients · 19 to 20
Jan 20, 2025 to Jan 16, 2026
Individual clients · 6 to 5
Jan 20, 2025 to Jan 16, 2026
HNW RAUM · $81.8M to $86.1M
Jan 20, 2025 to Jan 16, 2026
Individual RAUM · $2.5M to $2.8M
Jan 20, 2025 to Jan 16, 2026

Full history · 80 changes

Non-discretionary RAUM · $84.3M to $88.9M
Jan 20, 2025 to Jan 16, 2026
RAUM · $84.3M to $88.9M
Jan 20, 2025 to Jan 16, 2026
Accounts · 155 to 144
Jan 15, 2024 to Jan 20, 2025
HNW clients · 17 to 19
Jan 15, 2024 to Jan 20, 2025
Financial planning clients · 11-25 to 11-25
Jan 15, 2024 to Jan 20, 2025
HQ city · unset to
Jan 15, 2024 to Jan 20, 2025
HQ state · unset to
Jan 15, 2024 to Jan 20, 2025
HNW RAUM · $68.2M to $81.8M
Jan 15, 2024 to Jan 20, 2025
Individual RAUM · $3.2M to $2.5M
Jan 15, 2024 to Jan 20, 2025
Non-discretionary RAUM · $71.4M to $84.3M
Jan 15, 2024 to Jan 20, 2025
RAUM · $71.4M to $84.3M
Jan 15, 2024 to Jan 20, 2025
Accounts · 170 to 155
Jan 10, 2023 to Jan 15, 2024
HNW clients · 18 to 17
Jan 10, 2023 to Jan 15, 2024
Individual clients · 5 to 6
Jan 10, 2023 to Jan 15, 2024
HNW RAUM · $64.6M to $68.2M
Jan 10, 2023 to Jan 15, 2024
Individual RAUM · $3.2M to $3.2M
Jan 10, 2023 to Jan 15, 2024
Non-discretionary RAUM · $67.8M to $71.4M
Jan 10, 2023 to Jan 15, 2024
RAUM · $67.8M to $71.4M
Jan 10, 2023 to Jan 15, 2024
Accounts · 137 to 170
May 20, 2022 to Jan 10, 2023
HNW clients · 19 to 18
May 20, 2022 to Jan 10, 2023
Individual clients · 6 to 5
May 20, 2022 to Jan 10, 2023
HNW RAUM · $69.5M to $64.6M
May 20, 2022 to Jan 10, 2023
Individual RAUM · $2.2M to $3.2M
May 20, 2022 to Jan 10, 2023
Non-discretionary RAUM · $71.7M to $67.8M
May 20, 2022 to Jan 10, 2023
RAUM · $71.7M to $67.8M
May 20, 2022 to Jan 10, 2023
Assets in custody · 1200000.0 to unset
Feb 2, 2022 to May 20, 2022
Discretionary RAUM · $71.7M to $0
Jan 25, 2022 to Feb 2, 2022
Non-discretionary RAUM · $0 to $71.7M
Jan 25, 2022 to Feb 2, 2022
Accounts · 141 to 137
Jan 27, 2021 to Jan 25, 2022
HNW clients · 20 to 19
Jan 27, 2021 to Jan 25, 2022
Individual clients · 5 to 6
Jan 27, 2021 to Jan 25, 2022
State-registered IARs · 0 to 1
Jan 27, 2021 to Jan 25, 2022
Discretionary RAUM · $0 to $71.7M
Jan 27, 2021 to Jan 25, 2022
HNW RAUM · $64.3M to $69.5M
Jan 27, 2021 to Jan 25, 2022
Individual RAUM · $2.0M to $2.2M
Jan 27, 2021 to Jan 25, 2022
Non-discretionary RAUM · $66.2M to $0
Jan 27, 2021 to Jan 25, 2022
RAUM · $66.2M to $71.7M
Jan 27, 2021 to Jan 25, 2022
Accounts · 144 to 141
Jun 8, 2020 to Jan 27, 2021
HNW clients · 19 to 20
Jun 8, 2020 to Jan 27, 2021
Individual clients · 4 to 5
Jun 8, 2020 to Jan 27, 2021
HNW RAUM · $50.5M to $64.3M
Jun 8, 2020 to Jan 27, 2021
Individual RAUM · $2.1M to $2.0M
Jun 8, 2020 to Jan 27, 2021
Non-discretionary RAUM · $52.6M to $66.2M
Jun 8, 2020 to Jan 27, 2021
RAUM · $52.6M to $66.2M
Jun 8, 2020 to Jan 27, 2021
Accounts · 143 to 144
Apr 25, 2019 to Jan 29, 2020
HNW clients · 20 to 19
Apr 25, 2019 to Jan 29, 2020
Financial planning clients · 1-10 to 11-25
Apr 25, 2019 to Jan 29, 2020
HNW RAUM · $47.5M to $50.5M
Apr 25, 2019 to Jan 29, 2020
Individual RAUM · $1.9M to $2.1M
Apr 25, 2019 to Jan 29, 2020
Non-discretionary RAUM · $49.5M to $52.6M
Apr 25, 2019 to Jan 29, 2020
RAUM · $49.5M to $52.6M
Apr 25, 2019 to Jan 29, 2020
Assets in custody · unset to 1200000.0
Feb 26, 2019 to Apr 25, 2019
Accounts · 122 to 143
Mar 2, 2018 to Feb 26, 2019
HNW clients · 25 to 20
Mar 2, 2018 to Feb 26, 2019
Individual clients · unset to 4.0
Mar 2, 2018 to Feb 26, 2019
Financial planning clients · 11-25 to 1-10
Mar 2, 2018 to Feb 26, 2019
HNW RAUM · $49.0M to $47.5M
Mar 2, 2018 to Feb 26, 2019
Individual RAUM · unset to 1925000.0
Mar 2, 2018 to Feb 26, 2019
Non-discretionary RAUM · $49.0M to $49.5M
Mar 2, 2018 to Feb 26, 2019
RAUM · $49.0M to $49.5M
Mar 2, 2018 to Feb 26, 2019
Accounts · 109 to 122
Feb 20, 2017 to Mar 2, 2018
HNW clients · unset to 25.0
Feb 20, 2017 to Mar 2, 2018
Other offices · unset to 0.0
Feb 20, 2017 to Mar 2, 2018
HNW RAUM · unset to 49000000.0
Feb 20, 2017 to Mar 2, 2018
Non-discretionary RAUM · $39.1M to $49.0M
Feb 20, 2017 to Mar 2, 2018
RAUM · $39.1M to $49.0M
Feb 20, 2017 to Mar 2, 2018
Accounts · 118 to 109
Mar 10, 2016 to Feb 20, 2017
Non-discretionary RAUM · $39.0M to $39.1M
Mar 10, 2016 to Feb 20, 2017
RAUM · $39.0M to $39.1M
Mar 10, 2016 to Feb 20, 2017
Non-discretionary RAUM · $33.0M to $39.0M
Feb 26, 2015 to Mar 10, 2016
RAUM · $33.0M to $39.0M
Feb 26, 2015 to Mar 10, 2016
Accounts · 127 to 118
Nov 18, 2014 to Feb 26, 2015
Non-discretionary RAUM · $34.0M to $33.0M
Nov 18, 2014 to Feb 26, 2015
RAUM · $34.0M to $33.0M
Nov 18, 2014 to Feb 26, 2015
Accounts · 0 to 127
Jul 8, 2014 to Nov 18, 2014

Signals

1 dated events

••• Locked
Jul 8, 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jan 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: $88.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026