DFX Intelligence

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SEC-registered adviser

B•••••••• C•••••• A•••••••

Independent wealth managerNew York, New YorkCRD 287796SEC 801-110194IAPD
Legal name B•••••••• C•••••• A••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 14, 2017 · 17 filings
SEC status approved since Mar 24, 2017
RAUM
$124M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
100%
$124M 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
17 filings and snapshots on the tape
RAUM$124M as of Mar 30, 2026
Mar 12, 2018$30.0M then
HNW client RAUM$124M as of Mar 30, 2026
Mar 12, 2018$30.0M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 12, 20181 then
Employees (5.A)1 as of Mar 30, 2026
Mar 12, 20181 then
Private funds: no history
RAUM +4.8% over the last fiscal year+8.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
  • UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
RAUM per advisor
$124MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$12.4MderivedHNW RAUM over HNW clients
Average account
$8.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
88%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
+4.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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$124M100%
Individual clients
n/areported
HNW clients
10reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
14reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • W••••• A•••••• O••• · Managing Member & Chief Compliance Officercontrol
        since 12/2013 · 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.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • discretionary share shiftChange between filings · filing Mar 30, 2026
        discretionary share of RAUM moved from 0.0% to 88.0% between the annual amendments of 2025-04-01 and 2026-03-30
        peers: independent wealth managers, $100M to $500M (5,679)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $103M to $109M
        Dec 19, 2025 to Mar 30, 2026
      • HNW RAUM · $118M to $124M
        Dec 19, 2025 to Mar 30, 2026
      • Non-discretionary RAUM · $15.5M to $14.6M
        Dec 19, 2025 to Mar 30, 2026
      • RAUM · $118M to $124M
        Dec 19, 2025 to Mar 30, 2026
      • Accounts · 10 to 14
        Apr 1, 2025 to Dec 19, 2025
      • Discretionary RAUM · $0 to $103M
        Apr 1, 2025 to Dec 19, 2025
      • Non-discretionary RAUM · $118M to $15.5M
        Apr 1, 2025 to Dec 19, 2025
      • Financial planning clients · 1-10 to 11-25
        Mar 29, 2024 to Apr 1, 2025
      • HNW RAUM · $106M to $118M
        Mar 29, 2024 to Apr 1, 2025
      • Non-discretionary RAUM · $106M to $118M
        Mar 29, 2024 to Apr 1, 2025
      • RAUM · $106M to $118M
        Mar 29, 2024 to Apr 1, 2025
      • HNW RAUM · $97.4M to $106M
        Mar 17, 2023 to Mar 29, 2024
      • Non-discretionary RAUM · $97.4M to $106M
        Mar 17, 2023 to Mar 29, 2024
      • RAUM · $97.4M to $106M
        Mar 17, 2023 to Mar 29, 2024
      • Accounts · 6 to 10
        Mar 31, 2022 to Mar 17, 2023
      • HNW clients · 6 to 10
        Mar 31, 2022 to Mar 17, 2023
      • HNW RAUM · $61.2M to $97.4M
        Mar 31, 2022 to Mar 17, 2023
      • Non-discretionary RAUM · $61.2M to $97.4M
        Mar 31, 2022 to Mar 17, 2023
      • RAUM · $61.2M to $97.4M
        Mar 31, 2022 to Mar 17, 2023
      • Accounts · 4 to 6
        Mar 19, 2021 to Mar 31, 2022
      • HNW clients · unset to 6.0
        Mar 19, 2021 to Mar 31, 2022
      • HNW RAUM · $43.4M to $61.2M
        Mar 19, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $43.4M to $61.2M
        Mar 19, 2021 to Mar 31, 2022
      • RAUM · $43.4M to $61.2M
        Mar 19, 2021 to Mar 31, 2022
      • Accounts · 5 to 4
        Jun 29, 2020 to Mar 19, 2021
      • HNW clients · 5.0 to unset
        Jun 29, 2020 to Mar 19, 2021
      • Discretionary RAUM · $16.2M to $0
        Jun 29, 2020 to Mar 19, 2021
      • HNW RAUM · $59.1M to $43.4M
        Jun 29, 2020 to Mar 19, 2021
      • Non-discretionary RAUM · $42.9M to $43.4M
        Jun 29, 2020 to Mar 19, 2021
      • RAUM · $59.1M to $43.4M
        Jun 29, 2020 to Mar 19, 2021
      • Accounts · 3 to 5
        Mar 30, 2019 to Mar 30, 2020
      • HNW clients · 3 to 5
        Mar 30, 2019 to Mar 30, 2020
      • Discretionary RAUM · $0 to $16.2M
        Mar 30, 2019 to Mar 30, 2020
      • HNW RAUM · $28.6M to $59.1M
        Mar 30, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $28.6M to $42.9M
        Mar 30, 2019 to Mar 30, 2020
      • RAUM · $28.6M to $59.1M
        Mar 30, 2019 to Mar 30, 2020
      • Accounts · 4 to 3
        Sep 4, 2018 to Mar 30, 2019
      • HNW clients · unset to 3.0
        Sep 4, 2018 to Mar 30, 2019
      • Financial planning clients · 0 to 1-10
        Sep 4, 2018 to Mar 30, 2019
      • HNW RAUM · $29.1M to $28.6M
        Sep 4, 2018 to Mar 30, 2019
      Signals
      1 dated events
      • ••• Locked
        Mar 14, 2017 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Principal office phone
      212-339-8590reportedpublic record, Form ADV, Mar 30, 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