DFX Intelligence

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G•••• W••••• M•••••••••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $42.1M of regulatory assets across 1 registered advisors.

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

As of 2026-03-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $42.1M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +31%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 24 Mar 2026, RAUM $32.3M to $42.1M (+30.5%) on the Form ADV filed 24 Mar 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 264788 · SEC 801-129937 · 4 filingsShow

CRD 264788SEC 801-129937Legal name G•••• W••••• M••••••••• L••First filing on the tape Mar 19, 2024, latest Mar 24, 2026SEC status approved since Apr 22, 2024IAPD

RAUM

$42.1M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$42.1M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$42.1M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

4 filings and snapshots on the tape

RAUM +31% over the last fiscal year · the tape starts Mar 19, 2024

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

RAUM$42.1M as of Mar 24, 2026

Mar 31, 2024$27.2M then

HNW client RAUM$35.2M as of Mar 24, 2026

Mar 31, 2024$22.1M then

State-registered IARs (5.B.3)1 as of Mar 24, 2026

Mar 31, 20241 then

Employees (5.A)2 as of Mar 24, 2026

Mar 31, 20242 then

Private funds: no history

RAUM +31% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Mar 24, 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: $42.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 37derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.2MderivedHNW RAUM over HNW clients
Average account: $230,046derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +31%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +5.7%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consultingreportedItem 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

84% high-net-worth individuals, 16% individuals

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

High-net-worth individuals$35.2M84%
Individuals$6.9M16%

Individual clients: 21reported
HNW clients: 16reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 183reported
Financial planning clients: 26-50reported
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
M•••••• H••••Certified Financial Planner	Putnam Valley, Ny	Apr 11, 2016	11 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H••••• M•••••• · President/Ccocontrol
since 05/2015 · 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

Accounts · 168 to 183
Mar 25, 2025 to Mar 24, 2026
HNW clients · 15 to 16
Mar 25, 2025 to Mar 24, 2026
Individual clients · 20 to 21
Mar 25, 2025 to Mar 24, 2026
Discretionary RAUM · $32.3M to $42.1M
Mar 25, 2025 to Mar 24, 2026
HNW RAUM · $26.2M to $35.2M
Mar 25, 2025 to Mar 24, 2026

Full history · 19 changes

Individual RAUM · $5.8M to $6.9M
Mar 25, 2025 to Mar 24, 2026
RAUM · $32.3M to $42.1M
Mar 25, 2025 to Mar 24, 2026
Accounts · 36 to 168
Mar 31, 2024 to Mar 25, 2025
HNW clients · 18 to 15
Mar 31, 2024 to Mar 25, 2025
Individual clients · 17 to 20
Mar 31, 2024 to Mar 25, 2025
Financial planning clients · 26-50 to 26-50
Mar 31, 2024 to Mar 25, 2025
HQ city · unset to
Mar 31, 2024 to Mar 25, 2025
HQ state · unset to
Mar 31, 2024 to Mar 25, 2025
Other offices · 0 to 1
Mar 31, 2024 to Mar 25, 2025
Discretionary RAUM · $27.2M to $32.3M
Mar 31, 2024 to Mar 25, 2025
HNW RAUM · $22.1M to $26.2M
Mar 31, 2024 to Mar 25, 2025
Individual RAUM · $5.0M to $5.8M
Mar 31, 2024 to Mar 25, 2025
RAUM · $27.2M to $32.3M
Mar 31, 2024 to Mar 25, 2025
Accounts · 163 to 36
Mar 19, 2024 to Mar 31, 2024

Signals

2 dated events

••• Locked
Mar 24, 2026 · ria office opened · fact
••• Locked
Mar 19, 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 phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 24, 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: $42.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026