DFX Intelligence

RIA Intelligence

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SEC-registered adviser

I••••••••• I•••

Independent wealth managerNew York, New YorkCRD 285955SEC 801-110150website IAPD

Latest filing Mar 19, 2026

First filing on the tape Mar 8, 2017 · 23 filings

SEC status approved since Mar 27, 2017

RAUM

$26.2M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$26.2M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

9 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

23 filings and snapshots on the tape

RAUM$26.2M as of Mar 19, 2026

Mar 7, 2018$34.0M then

HNW client RAUM$21.6M as of Mar 19, 2026

Mar 7, 2018$0 then

State-registered IARs (5.B.3)1 as of Mar 19, 2026

Mar 7, 20180 then

Employees (5.A)17 as of Mar 19, 2026

Mar 7, 20188 then

Private funds: no history

RAUM n/a over the last fiscal year-3.4% a year over three

Practice profile

derived from the filing of Mar 19, 2026; every figure names its basis

Archetypes, each a printed rule

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

RAUM per advisor: $26.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 6,999derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $21.6MderivedHNW RAUM over HNW clients
Average account: $3,740derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 17.0derivedItem 5.A over advisors
Advisors per office: 0.3derived3 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, fixed feesreportedItem 5.E
Advisory activities: otherreportedItem 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

High-net-worth individuals$21.6M82%
Individuals$4.6M18%

Individual clients: 6,998reported
HNW clients: 1reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 6,999reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
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

J••• C••••• G•••••• Z••••••• to B•••••••••
Aug 29, 2025 · RIA to a state-registered adviser

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••••••• B••••••••• · Chief Executive And Chief Compliance Officercontrol
since 01/2019 · owns 25% to 50%
S•••• J••••••• · Shareholdercontrol
since 02/2017 · owns 25% to 50%
S•••• A••••• A•• · Trusteecontrol
since 06/2018 · owns F of J•• T••••

Entity owners

J•• T•••• · Shareholder
direct · owns 5% to 10%

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
New York, Ny · principal	0	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $53.1M to $26.2M
May 20, 2025 to Mar 19, 2026
HNW RAUM · $23.6M to $21.6M
May 20, 2025 to Mar 19, 2026
Individual RAUM · $4.6M to $4.6M
May 20, 2025 to Mar 19, 2026
RAUM · $53.1M to $26.2M
May 20, 2025 to Mar 19, 2026
Advisory employees · 8 to 9
Nov 11, 2024 to May 20, 2025
Employees · 16 to 17
Nov 11, 2024 to May 20, 2025
Financial planning clients · unset to
Nov 11, 2024 to May 20, 2025
State-registered IARs · 0 to 1
Nov 11, 2024 to May 20, 2025
Other offices · 0 to 2
Nov 11, 2024 to May 20, 2025
Accounts · 6,998 to 6,999
Oct 11, 2024 to Nov 11, 2024
Discretionary RAUM · $26.6M to $53.1M
Oct 11, 2024 to Nov 11, 2024
HNW RAUM · $22.0M to $23.6M
Oct 11, 2024 to Nov 11, 2024
RAUM · $26.6M to $53.1M
Oct 11, 2024 to Nov 11, 2024
Discretionary RAUM · $0 to $26.6M
Mar 26, 2024 to Oct 11, 2024
Non-discretionary RAUM · $26.6M to $0
Mar 26, 2024 to Oct 11, 2024
Accounts · 7,470 to 6,998
Mar 30, 2023 to Mar 26, 2024
HNW clients · 0 to 1
Mar 30, 2023 to Mar 26, 2024
Individual clients · 7,467 to 6,998
Mar 30, 2023 to Mar 26, 2024
HNW RAUM · $0 to $22.0M
Mar 30, 2023 to Mar 26, 2024
Individual RAUM · $4.6M to $4.6M
Mar 30, 2023 to Mar 26, 2024
Non-discretionary RAUM · $29.0M to $26.6M
Mar 30, 2023 to Mar 26, 2024
RAUM · $29.0M to $26.6M
Mar 30, 2023 to Mar 26, 2024
Accounts · 4 to 7,470
Jan 20, 2023 to Mar 30, 2023
Business name · F••••••••• I••• to I••••••••• I•••
Jan 20, 2023 to Mar 30, 2023
Individual clients · 0 to 7,467
Jan 20, 2023 to Mar 30, 2023
Legal name · F••••••••• I••• to I••••••••• I•••
Jan 20, 2023 to Mar 30, 2023
Individual RAUM · $0 to $4.6M
Jan 20, 2023 to Mar 30, 2023
Non-discretionary RAUM · $32.2M to $29.0M
Jan 20, 2023 to Mar 30, 2023
RAUM · $32.2M to $29.0M
Jan 20, 2023 to Mar 30, 2023
Accounts · 2 to 4
Feb 25, 2021 to Mar 31, 2022
Employees · 8 to 16
Feb 25, 2021 to Mar 31, 2022
Financial planning clients · 0 to unset
Feb 25, 2021 to Mar 31, 2022
Non-discretionary RAUM · $30.9M to $32.2M
Feb 25, 2021 to Mar 31, 2022
RAUM · $30.9M to $32.2M
Feb 25, 2021 to Mar 31, 2022
Non-discretionary RAUM · $27.7M to $30.9M
Dec 11, 2020 to Feb 25, 2021
RAUM · $27.7M to $30.9M
Dec 11, 2020 to Feb 25, 2021
Business name · A••••••••• I••• to F••••••••• I•••
Nov 23, 2020 to Dec 11, 2020
Legal name · A••••••••• I••• to F••••••••• I•••
Nov 23, 2020 to Dec 11, 2020
Non-discretionary RAUM · $29.0M to $27.7M
Aug 28, 2019 to Sep 15, 2020
RAUM · $29.0M to $27.7M
Aug 28, 2019 to Sep 15, 2020

Signals

3 dated events

J••• C••••• G•••••• Z••••••• left I••••••••• I••• for B365Invest (registered 2025-11-19)
Aug 29, 2025 · Advisor changed firm · fact
J••••• Ali (Shareholder) no longer on Schedule A of I••••••••• I••• (listed 2021-02-25, absent 2022-03-31)
Mar 31, 2022 · Control person left · inference
A••••••••• L•• filed its initial SEC registration (Form ADV)
Mar 8, 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

Website: i••••••••.appreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 212-995-9191reportedpublic record, Form ADV, Mar 19, 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