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H••••• V••• A•••••••• L••
Independent wealth managerSEC-registered· Croton-On-H•••••, New York
Independent wealth manager, based in Croton-On-H•••••, New York, reporting $64.3M of regulatory assets across 1 registered advisors.
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
- $64.3M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +19%
- Private clients
- 91% of RAUM, $58.2M
Form ADV
IAPD
IAPD registration history
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
- RAUM a year earlier $53.9MRAUM now $64.3M
- HNW share of RAUM 0.530273243822912
- Contact points 1
Every filed figure, and the identifiersCRD 288839 · SEC 801-111035 · 18 filingsShowHide
CRD 288839SEC 801-111035First filing on the tape Jul 21, 2017, latest Mar 10, 2026SEC status approved since Aug 22, 2017IAPD
RAUM
$64.3M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
91%
$58.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$64.3M
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
18 filings and snapshots on the tape
RAUM$64.3M as of Mar 10, 2026
Feb 20, 2018$27.8M then
HNW client RAUM$34.1M as of Mar 10, 2026
Feb 20, 2018$8.8M then
State-registered IARs (5.B.3)1 as of Mar 10, 2026
Feb 20, 20181 then
Employees (5.A)1 as of Mar 10, 2026
Feb 20, 20181 then
Private funds: no history
RAUM +19% over the last fiscal year+19% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 10, 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
- $64.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 117derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $278,523derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 9.5%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
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -44%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)
- 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$34.1M53%
- Individuals$24.1M37%
- Pension and profit-sharing plans$6.1M9.5%
- Individual clients
- 105reported
- HNW clients
- 12reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 231reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• G••••• F••••••Chartered Financial Consultant | Croton-On-H•••••, Ny | Oct 5, 2021 | 24 y | 3 |
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
- T••••• G••••• F•••••• from M•• I•••••••• S•••••••• L••Oct 5, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• T•••••• G••••• · Managing Member & Chief Compliance Officercontrolsince 05/2017 · 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.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 10, 2026discretionary share of RAUM of 0% against a peer median of 100% (309 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, under $100M (309) · 0.0% percentile
- HNW share shiftChange between filings · filing Mar 10, 2026HNW share of RAUM moved from 37.0% to 53.0% between the annual amendments of 2025-03-12 and 2026-03-10peers: independent wealth managers, under $100M (706)
- client count collapseChange between filings · filing Mar 10, 2026individual and HNW clients (Item 5.D) moved from 210.0 to 117.0 (-44.0%) between the annual amendments of 2025-03-12 and 2026-03-10; the peer median change was 0.0% (119 comparable advisers, 8.0th percentile of changes)peers: independent wealth managers, under $100M (119) · 7.6% percentile
What changed
consecutive filings, newest first
- RAUM · $53.9M to $64.3MMar 12, 2025 to Mar 10, 2026
- Accounts · 211 to 231Mar 12, 2025 to Mar 10, 2026
- HNW clients · 7 to 12Mar 12, 2025 to Mar 10, 2026
- Individual clients · 203 to 105Mar 12, 2025 to Mar 10, 2026
- Financial planning clients · 26-50 to 11-25Mar 12, 2025 to Mar 10, 2026
- HNW RAUM · $20.2M to $34.1MMar 12, 2025 to Mar 10, 2026
- Individual RAUM · $27.7M to $24.1MMar 12, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $53.9M to $64.3MMar 12, 2025 to Mar 10, 2026
- Pension RAUM · $6.0M to $6.1MMar 12, 2025 to Mar 10, 2026
- Accounts · 201 to 211Mar 12, 2024 to Mar 12, 2025
- Individual clients · 115 to 203Mar 12, 2024 to Mar 12, 2025
- Financial planning clients · 51-100 to 26-50Mar 12, 2024 to Mar 12, 2025
- HNW RAUM · $16.0M to $20.2MMar 12, 2024 to Mar 12, 2025
- Individual RAUM · $23.9M to $27.7MMar 12, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $45.7M to $53.9MMar 12, 2024 to Mar 12, 2025
- Pension RAUM · $5.9M to $6.0MMar 12, 2024 to Mar 12, 2025
- RAUM · $45.7M to $53.9MMar 12, 2024 to Mar 12, 2025
- Accounts · 173 to 201Mar 30, 2023 to Mar 12, 2024
- HNW clients · 8 to 7Mar 30, 2023 to Mar 12, 2024
- Individual clients · 164 to 115Mar 30, 2023 to Mar 12, 2024
- HNW RAUM · $13.8M to $16.0MMar 30, 2023 to Mar 12, 2024
- Individual RAUM · $19.7M to $23.9MMar 30, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $37.7M to $45.7MMar 30, 2023 to Mar 12, 2024
- Pension RAUM · $4.2M to $5.9MMar 30, 2023 to Mar 12, 2024
- RAUM · $37.7M to $45.7MMar 30, 2023 to Mar 12, 2024
- Accounts · 176 to 173Mar 16, 2022 to Mar 14, 2023
- HNW clients · 7 to 8Mar 16, 2022 to Mar 14, 2023
- Individual clients · 168 to 164Mar 16, 2022 to Mar 14, 2023
- HNW RAUM · $16.6M to $13.8MMar 16, 2022 to Mar 14, 2023
- Individual RAUM · $18.5M to $19.7MMar 16, 2022 to Mar 14, 2023
- Non-discretionary RAUM · $40.2M to $37.7MMar 16, 2022 to Mar 14, 2023
- Pension RAUM · $5.1M to $4.2MMar 16, 2022 to Mar 14, 2023
- RAUM · $40.2M to $37.7MMar 16, 2022 to Mar 14, 2023
- Accounts · 172 to 176Dec 17, 2021 to Mar 16, 2022
- HNW clients · 5 to 7Dec 17, 2021 to Mar 16, 2022
- Individual clients · 97 to 168Dec 17, 2021 to Mar 16, 2022
- Financial planning clients · 26-50 to 51-100Dec 17, 2021 to Mar 16, 2022
- HNW RAUM · $13.1M to $16.6MDec 17, 2021 to Mar 16, 2022
- Individual RAUM · $20.1M to $18.5MDec 17, 2021 to Mar 16, 2022
- Non-discretionary RAUM · $38.3M to $40.2MDec 17, 2021 to Mar 16, 2022
Signals
1 dated events
- ••• LockedJul 21, 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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 10, 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
- $64.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026