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Independent wealth managerSEC-registered· Brooklyn, New Yorkwebsite

Independent wealth manager, based in Brooklyn, New York, reporting $46.4M of regulatory assets across 1 registered advisors.

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

Regulatory AUM
$46.4M
Advisors
1
Net advisor flow, 12 months
0
0 joined, 0 left
RAUM change, 1 year
+25%
Private clients
100%
of RAUM, $46.4M
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 22 Jan 2026, RAUM $37M to $46.4M (+25.3%) on the Form ADV filed 22 Jan 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 288987 · SEC 801-129959 · 5 filingsShow
CRD 288987SEC 801-129959First filing on the tape Mar 21, 2024, latest Jan 22, 2026SEC status approved since Apr 24, 2024IAPD
RAUM
$46.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$46.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$46.4M
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
5 filings and snapshots on the tape

RAUM +25% over the last fiscal year · the tape starts Mar 21, 2024

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$46.4M as of Jan 22, 2026
Jan 16, 2025$28.3M then
HNW client RAUM$34.8M as of Jan 22, 2026
Jan 16, 2025$22.2M then
State-registered IARs (5.B.3)1 as of Jan 22, 2026
Jan 16, 20251 then
Employees (5.A)1 as of Jan 22, 2026
Jan 16, 20251 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 22, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShow
  • 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, and at most 25 employees (Item 5.A)
RAUM per advisor
$46.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
87derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.0MderivedHNW RAUM over HNW clients
Average account
$250,728derivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+12%derived
Compensation
percentage of assets, hourly, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

75% high-net-worth individuals, 25% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$34.8M75%
  • Individuals$11.6M25%
Individual clients
80reported
HNW clients
7reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
185reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      J••••••• P•••• E•••Certified Financial PlannerBrooklyn, NyAug 7, 202111 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E•••• J•••••••• P•••• · President And Chief Compliance Officercontrol
        since 06/2017 · owns 75% or more
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      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 · 157 to 185
        Mar 13, 2025 to Jan 22, 2026
      • HNW clients · 8 to 7
        Mar 13, 2025 to Jan 22, 2026
      • Individual clients · 70 to 80
        Mar 13, 2025 to Jan 22, 2026
      • Financial planning clients · 11-25 to 0
        Mar 13, 2025 to Jan 22, 2026
      • Discretionary RAUM · $37.0M to $46.4M
        Mar 13, 2025 to Jan 22, 2026
      Full history · 16 changes
      • HNW RAUM · $28.5M to $34.8M
        Mar 13, 2025 to Jan 22, 2026
      • Individual RAUM · $8.5M to $11.6M
        Mar 13, 2025 to Jan 22, 2026
      • RAUM · $37.0M to $46.4M
        Mar 13, 2025 to Jan 22, 2026
      • Accounts · 123 to 157
        Jan 16, 2025 to Mar 13, 2025
      • HNW clients · 6 to 8
        Jan 16, 2025 to Mar 13, 2025
      • Individual clients · 62 to 70
        Jan 16, 2025 to Mar 13, 2025
      • Financial planning clients · 0 to 11-25
        Jan 16, 2025 to Mar 13, 2025
      • Discretionary RAUM · $28.3M to $37.0M
        Jan 16, 2025 to Mar 13, 2025
      • HNW RAUM · $22.2M to $28.5M
        Jan 16, 2025 to Mar 13, 2025
      • Individual RAUM · $6.1M to $8.5M
        Jan 16, 2025 to Mar 13, 2025
      • RAUM · $28.3M to $37.0M
        Jan 16, 2025 to Mar 13, 2025
      Signals
      1 dated events
      • ••• Locked
        Mar 21, 2024 · 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 17, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Jan 22, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jan 22, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      $46.4Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026