DFX Intelligence
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T••••••••• W••••• C••••••••• L••
Independent wealth manager, based in New York, New York, reporting $43.9M of regulatory assets.
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
- $43.9M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +5.8%
- Private clients
- 100% of RAUM, $43.9M
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 4
Every filed figure, and the identifiersCRD 283193 · SEC 801-111906 · 30 filingsShowHide
CRD 283193SEC 801-111906First filing on the tape Sep 22, 2017, latest Jun 23, 2026SEC status approved since Oct 25, 2017IAPD
RAUM
$43.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$43.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$43.9M as of Jun 23, 2026
Mar 2, 2018$35.0M then
HNW client RAUM$15.1M as of Jun 23, 2026
Mar 2, 2018$11.2M then
State-registered IARs (5.B.3)1 as of Jun 23, 2026
Mar 2, 20181 then
Employees (5.A)1 as of Jun 23, 2026
Mar 2, 20181 then
Private funds: no history
RAUM +5.8% over the last fiscal year-1.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 23, 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
- $43.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 117derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $249,205derivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- 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)
- 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
- Individuals$28.8M66%
- High-net-worth individuals$15.1M34%
- Individual clients
- 108reported
- HNW clients
- 9reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 176reported
- Financial planning clients
- reported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• C••••••• F••••••••• · Owner/Chief Compliance Officercontrolsince 01/2017 · 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.
What changed
consecutive filings, newest first
- Accounts · 178 to 176Mar 27, 2025 to Jun 23, 2026
- Discretionary RAUM · $42.8M to $43.9MMar 27, 2025 to Jun 23, 2026
- Individual RAUM · $27.7M to $28.8MMar 27, 2025 to Jun 23, 2026
- RAUM · $42.8M to $43.9MMar 27, 2025 to Jun 23, 2026
- Accounts · 209 to 178Mar 26, 2024 to Mar 27, 2025
- Individual clients · 122 to 108Mar 26, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $41.4M to $42.8MMar 26, 2024 to Mar 27, 2025
- HNW RAUM · $14.1M to $15.1MMar 26, 2024 to Mar 27, 2025
- Individual RAUM · $27.3M to $27.7MMar 26, 2024 to Mar 27, 2025
- RAUM · $41.4M to $42.8MMar 26, 2024 to Mar 27, 2025
- HNW clients · 10 to 9Mar 1, 2023 to Mar 26, 2024
- Individual clients · 139 to 122Mar 1, 2023 to Mar 26, 2024
- Discretionary RAUM · $42.0M to $41.4MMar 1, 2023 to Mar 26, 2024
- HNW RAUM · $14.0M to $14.1MMar 1, 2023 to Mar 26, 2024
- Individual RAUM · $28.0M to $27.3MMar 1, 2023 to Mar 26, 2024
- RAUM · $42.0M to $41.4MMar 1, 2023 to Mar 26, 2024
- Accounts · 214 to 209Mar 30, 2022 to Mar 1, 2023
- Individual clients · 121 to 139Mar 30, 2022 to Mar 1, 2023
- Other offices · 1 to 0Mar 30, 2022 to Mar 1, 2023
- Discretionary RAUM · $46.2M to $42.0MMar 30, 2022 to Mar 1, 2023
- HNW RAUM · $19.6M to $14.0MMar 30, 2022 to Mar 1, 2023
- Individual RAUM · $26.5M to $28.0MMar 30, 2022 to Mar 1, 2023
- RAUM · $46.2M to $42.0MMar 30, 2022 to Mar 1, 2023
- Accounts · 209 to 214Mar 4, 2022 to Mar 30, 2022
- Individual clients · 139 to 121Mar 4, 2022 to Mar 30, 2022
- Discretionary RAUM · $45.0M to $46.2MMar 4, 2022 to Mar 30, 2022
- HNW RAUM · $15.0M to $19.6MMar 4, 2022 to Mar 30, 2022
- Individual RAUM · $30.0M to $26.5MMar 4, 2022 to Mar 30, 2022
- RAUM · $45.0M to $46.2MMar 4, 2022 to Mar 30, 2022
- HQ city · LAKEVILLE to NEW YORKAug 31, 2021 to Jan 20, 2022
- Accounts · 270 to 209Jul 14, 2020 to Mar 19, 2021
- Advisory activities · 3 to 2Jul 14, 2020 to Mar 19, 2021
- HNW clients · 11 to 10Jul 14, 2020 to Mar 19, 2021
- Individual clients · 251 to 139Jul 14, 2020 to Mar 19, 2021
- Pension plan clients · 1 to 0Jul 14, 2020 to Mar 19, 2021
- Financial planning clients · 51-100 to unsetJul 14, 2020 to Mar 19, 2021
- Discretionary RAUM · $42.3M to $45.0MJul 14, 2020 to Mar 19, 2021
- HNW RAUM · $14.2M to $15.0MJul 14, 2020 to Mar 19, 2021
- Individual RAUM · $27.9M to $30.0MJul 14, 2020 to Mar 19, 2021
Signals
2 dated events
- ••• LockedJan 14, 2020 · Control person left · inference
- ••• LockedSep 22, 2017 · 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 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Jun 23, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jun 23, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026