DFX Intelligence
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A••• A•••• M••••••••• L••
Independent wealth managerSEC-registered
Independent wealth manager, reporting $71.1M 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
- $71.1M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +11%
- Private clients
- 100% of RAUM, $71.1M
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
Nothing material in the last 180 days. Last change: 4 Mar 2026, RAUM $64.1M to $71.1M (+10.9%) on the Form ADV filed 4 Mar 2026, while advisors on the filing rose 1 to 1.
Every filed figure, and the identifiersCRD 173148 · SEC 801-115030 · 10 filingsShowHide
CRD 173148SEC 801-115030First filing on the tape Mar 19, 2019, latest Mar 4, 2026SEC status approved since Apr 18, 2019IAPD
RAUM
$71.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$71.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$71.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$71.1M as of Mar 4, 2026
Mar 29, 2020$49.9M then
HNW client RAUM$71.1M as of Mar 4, 2026
Mar 29, 2020$49.9M then
State-registered IARs (5.B.3)1 as of Mar 4, 2026
Mar 29, 20201 then
Employees (5.A)1 as of Mar 4, 2026
Mar 29, 20201 then
Private funds: no history
RAUM +11% over the last fiscal year+16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 rulesShowHide
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $71.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.9MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM 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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%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 assetsreportedItem 5.E
- Advisory activities
- 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)
- 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
- High-net-worth individuals$71.1M100%
- Individual clients
- 0reported
- HNW clients
- 9reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 24reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Advisors registered through the firm
1 on IAPD today; the 10 longest tenured
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• N•• D••••• | Hastings-On-Hudson, Ny | Mar 30, 2021 | 23 y | 0 |
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• P•••••• N•• · President And Ccocontrolsince 07/2014 · owns 75% or more
Related persons
Schedule D 7.A
- X• P••••••• I• L••investment companyy
- X• P••••••• I•• L••investment companyy
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Assets in custody · unset to 0.0Mar 24, 2025 to Mar 4, 2026
- Accounts · 22 to 24Mar 24, 2025 to Mar 4, 2026
- Financial planning clients · to 0Mar 24, 2025 to Mar 4, 2026
- Discretionary RAUM · $64.1M to $71.1MMar 24, 2025 to Mar 4, 2026
- HNW RAUM · $64.1M to $71.1MMar 24, 2025 to Mar 4, 2026
Full history · 36 changesShow fewer
- RAUM · $64.1M to $71.1MMar 24, 2025 to Mar 4, 2026
- Accounts · 21 to 22Mar 19, 2024 to Mar 24, 2025
- HNW clients · 10 to 9Mar 19, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 24, 2025
- HQ city · unset to Mar 19, 2024 to Mar 24, 2025
- HQ state · unset to Mar 19, 2024 to Mar 24, 2025
- Discretionary RAUM · $49.7M to $64.1MMar 19, 2024 to Mar 24, 2025
- HNW RAUM · $49.7M to $64.1MMar 19, 2024 to Mar 24, 2025
- RAUM · $49.7M to $64.1MMar 19, 2024 to Mar 24, 2025
- Discretionary RAUM · $45.7M to $49.7MMar 23, 2023 to Mar 19, 2024
- HNW RAUM · $45.7M to $49.7MMar 23, 2023 to Mar 19, 2024
- RAUM · $45.7M to $49.7MMar 23, 2023 to Mar 19, 2024
- Accounts · 22 to 21Mar 29, 2022 to Mar 23, 2023
- Discretionary RAUM · $51.0M to $45.7MMar 29, 2022 to Mar 23, 2023
- HNW RAUM · $51.0M to $45.7MMar 29, 2022 to Mar 23, 2023
- RAUM · $51.0M to $45.7MMar 29, 2022 to Mar 23, 2023
- Accounts · 23 to 22Mar 11, 2021 to Mar 29, 2022
- Discretionary RAUM · $41.8M to $51.0MMar 11, 2021 to Mar 29, 2022
- HNW RAUM · $41.8M to $51.0MMar 11, 2021 to Mar 29, 2022
- RAUM · $41.8M to $51.0MMar 11, 2021 to Mar 29, 2022
- Accounts · 21 to 23Jun 4, 2020 to Mar 11, 2021
- HNW clients · 9 to 10Jun 4, 2020 to Mar 11, 2021
- Discretionary RAUM · $49.9M to $41.8MJun 4, 2020 to Mar 11, 2021
- HNW RAUM · $49.9M to $41.8MJun 4, 2020 to Mar 11, 2021
- RAUM · $49.9M to $41.8MJun 4, 2020 to Mar 11, 2021
- Accounts · 20 to 21Apr 22, 2019 to Mar 29, 2020
- HNW clients · 8 to 9Apr 22, 2019 to Mar 29, 2020
- Other offices · 0 to 1Apr 22, 2019 to Mar 29, 2020
- Discretionary RAUM · $42.0M to $49.9MApr 22, 2019 to Mar 29, 2020
- HNW RAUM · $42.0M to $49.9MApr 22, 2019 to Mar 29, 2020
- RAUM · $42.0M to $49.9MApr 22, 2019 to Mar 29, 2020
Signals
1 dated events
- ••• LockedMar 19, 2019 · 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, Mar 4, 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
- $71.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026