DFX Intelligence

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E••• A••••••• S•••••••• L••

Independent wealth managerSEC-registered· Albany, New Yorkwebsite

Independent wealth manager, based in Albany, New York, reporting $27.8M of regulatory assets across 2 registered advisors.

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

As of 2026-09-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $27.8M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: Not established
Private clients: 100% of RAUM, $27.8M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-09-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 277083 · SEC 801-135828 · 2 filingsShow

CRD 277083SEC 801-135828First filing on the tape Apr 13, 2026, latest Sep 4, 2026SEC status approved since Apr 20, 2026IAPD

RAUM

$27.8M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$27.8M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$13.9M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

2 filings and snapshots on the tape

RAUM$27.8M as of Sep 4, 2026

Apr 13, 2026$27.8M then

HNW client RAUM$6.5M as of Sep 4, 2026

Apr 13, 2026$6.5M then

State-registered IARs (5.B.3)3 as of Sep 4, 2026

Apr 13, 20262 then

Employees (5.A)3 as of Sep 4, 2026

Apr 13, 20263 then

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Sep 4, 2026; every figure names its basis

Archetypes, each a printed rule

Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $13.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 89derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.3MderivedHNW RAUM over HNW clients
Average account: $157,062derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
Ownership: controlled by a public reporting companyderived
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)
controlled by a public reporting company (10.A)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$21.4M77%
High-net-worth individuals$6.5M23%

Individual clients: 172reported
HNW clients: 5reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 177reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
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

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J••••• A••••• V••••••	Albany, Ny	Jan 10, 2022	40 y	2
N••••••• V••••••	Albany, Ny	Jan 4, 2024	10 y	0

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

J••••• A••••• V•••••• from V••• F•••••••• A•••••••• I•••
Jan 10, 2022 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

V••••••• N••••••• · Principle Owner / Ccocontrol
since 07/2024 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Albany, Ny · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 2 to 3
Apr 13, 2026 to Sep 4, 2026
Financial planning clients · 1-10 to 1-10
Apr 13, 2026 to Sep 4, 2026
State-registered IARs · 2 to 3
Apr 13, 2026 to Sep 4, 2026
Succession · false to unset
Apr 13, 2026 to Sep 4, 2026

Signals

No event on the tape.

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

Website: ••• Lockedreportedpublic record, Form ADV, Sep 4, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 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: $13.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026