DFX Intelligence

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M••••••••

Independent wealth managerSEC-registered· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $12.4M of regulatory assets.

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

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $12.4M
Advisors: 0
RAUM change, 1 year: +10.0%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

2 changes
ownership and control
1 control person joined and 1 left Schedule A in the last 12 months.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
+10.0%
RAUM, one year
RAUM $11.2M to $12.4M (+10.0%) on the Form ADV filed 30 Mar 2026, while advisors on the filing fell 1 to 0.
Assets holding up while advisors and offices fall means the departures have not yet shown in the assets; the next filing will.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 289521 · SEC 801-111640 · 33 filingsShow

CRD 289521SEC 801-111640Legal name M• W••••• L••First filing on the tape Aug 8, 2017, latest Mar 30, 2026SEC status approved since Sep 20, 2017IAPD

RAUM

$12.4M

reported, Item 5.F

Discretionary

96%

of RAUM

Private clients

100%

$12.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

0 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

33 filings and snapshots on the tape

RAUM +4.7% a year over three years · the tape starts Aug 8, 2017

Peer group: Independent wealth managers, under $100M, 707 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$12.4M as of Mar 30, 2026

Mar 31, 2018$620,530 then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Mar 31, 20180 then

Employees (5.A)13 as of Mar 30, 2026

Mar 31, 201810 then

Private funds: no history

RAUM +10.0% over the last fiscal year+4.7% a year over threeIARs 1 to 0

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $17derivedRAUM over accounts (5.F.2.f)
Discretionary: 96%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: +10.0%derivedbetween the last two annual amendments
Advisor growth, one year: -100%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: otherreportedItem 5.E
Advisory activities: portfolio management for individuals, publicationsreportedItem 5.G
Custody: $12.4M, 732,776 clientsreportedItem 9.A
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% individuals

The breakdown by client type, and the client counts1 client typesShow

Individuals$12.4M100%

Individual clients: 732,776reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 738,184reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $12.4M for 732,776 clientsreported
Compensation: n/areported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; a related broker-dealer; no related bank; 200% of advisors also broker-dealer representativesderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••••••• J••• C••••••• · Head Of Wealth Management & Ccocontrol
since 06/2022 · owns less than 5%

Entity owners

M•••••••• T••••••••• I••• · Member
direct · owns 75% or more
M•••••••• I••• · Shareholder
indirect · owns 75% or more of M•••••••• T••••••••• I••• · public reporting company

Ownership changes

13 Schedule A changes between consecutive filings, latest first

Removed L•••••• K•••••• A••• · Chief Compliance Officer control
filing of Dec 1, 2023, against Mar 30, 2023 · owns under 5%
Removed D•••••• C•••••• M• · Chief Executive Officer control
filing of Dec 16, 2022, against Nov 4, 2022 · owns under 5%
Removed M•••••• D•••••• · Head of Wealth Management & Investing control
filing of Jun 13, 2022, against Mar 24, 2022 · owns under 5%
Added L•••••• K•••••• A••• · Chief Compliance Officer control
filing of Mar 24, 2022, against Nov 29, 2021 · owns under 5%
Added M•••••••• T••••••••• I••• · Member control
filing of Mar 24, 2022, against Nov 29, 2021 · owns 75% or more · entity

12 latest of 13 changes

Removed D•••• S•••••••• M•••••• · General Counsel and Chief Compliance Officer control
filing of Mar 25, 2020, against Jan 17, 2020 · owns under 5%
Removed D•••• T••••• M••••• · Chief Compliance Officer control
filing of Jan 17, 2020, against Sep 6, 2019 · owns under 5%
Added D•••• T••••• M••••• · Chief Compliance Officer control
filing of Mar 30, 2019, against Oct 1, 2018 · owns under 5%
Added M•••••• D•••••• · Wealth Management -- Director of Product control
filing of Sep 7, 2018, against Jun 14, 2018 · owns under 5%
Removed D•••••• G•••••••• · Legal Advisor control
filing of Sep 7, 2018, against Jun 14, 2018 · owns under 5%
Removed V••••• G•••• K•••• · General Manager control
filing of Sep 7, 2018, against Jun 14, 2018 · owns under 5%
Added J•• S•••••••• C••••••• · Head of Wealth Management control
filing of Jun 14, 2018, against May 17, 2018 · owns under 5%

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

M•••••••• S••••••••• L••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 679,253 to 738,184
Dec 19, 2025 to Mar 30, 2026
Advisory employees · 1 to 0
Dec 19, 2025 to Mar 30, 2026
BD registered reps · 3 to 2
Dec 19, 2025 to Mar 30, 2026
Individual clients · 675,437 to 732,776
Dec 19, 2025 to Mar 30, 2026
Assets in custody · $11.2M to $12.4M
Dec 19, 2025 to Mar 30, 2026

Full history · 80 changes

Employees · 14 to 13
Dec 19, 2025 to Mar 30, 2026
State-registered IARs · 1 to 0
Dec 19, 2025 to Mar 30, 2026
Discretionary RAUM · $10.9M to $11.9M
Dec 19, 2025 to Mar 30, 2026
Individual RAUM · $11.2M to $12.4M
Dec 19, 2025 to Mar 30, 2026
Non-discretionary RAUM · $326,407 to $446,111
Dec 19, 2025 to Mar 30, 2026
RAUM · $11.2M to $12.4M
Dec 19, 2025 to Mar 30, 2026
Financial planning clients · 0 to 0
Mar 26, 2025 to May 15, 2025
Accounts · 624,434 to 679,253
Aug 8, 2024 to Mar 26, 2025
Individual clients · 623,148 to 675,437
Aug 8, 2024 to Mar 26, 2025
Assets in custody · $10.5M to $11.2M
Aug 8, 2024 to Mar 26, 2025
Employees · 11 to 14
Aug 8, 2024 to Mar 26, 2025
Discretionary RAUM · $10.5M to $10.9M
Aug 8, 2024 to Mar 26, 2025
Individual RAUM · $10.6M to $11.2M
Aug 8, 2024 to Mar 26, 2025
Non-discretionary RAUM · $111,475 to $326,407
Aug 8, 2024 to Mar 26, 2025
RAUM · $10.6M to $11.2M
Aug 8, 2024 to Mar 26, 2025
Accounts · 522,345 to 624,434
Dec 1, 2023 to Mar 28, 2024
Individual clients · 522,345 to 623,148
Dec 1, 2023 to Mar 28, 2024
Assets in custody · $13.8M to $10.5M
Dec 1, 2023 to Mar 28, 2024
Employees · 12 to 11
Dec 1, 2023 to Mar 28, 2024
Discretionary RAUM · $10.7M to $10.5M
Dec 1, 2023 to Mar 28, 2024
Individual RAUM · $10.8M to $10.6M
Dec 1, 2023 to Mar 28, 2024
Non-discretionary RAUM · $30,662 to $111,475
Dec 1, 2023 to Mar 28, 2024
RAUM · $10.8M to $10.6M
Dec 1, 2023 to Mar 28, 2024
Accounts · 458,138 to 522,345
Dec 16, 2022 to Mar 30, 2023
Individual clients · 458,138 to 522,345
Dec 16, 2022 to Mar 30, 2023
Employees · 11 to 12
Dec 16, 2022 to Mar 30, 2023
Discretionary RAUM · $13.8M to $10.7M
Dec 16, 2022 to Mar 30, 2023
Individual RAUM · $13.8M to $10.8M
Dec 16, 2022 to Mar 30, 2023
Non-discretionary RAUM · $0 to $30,662
Dec 16, 2022 to Mar 30, 2023
RAUM · $13.8M to $10.8M
Dec 16, 2022 to Mar 30, 2023
BD registered reps · 4 to 3
Nov 4, 2022 to Dec 16, 2022
Employees · 12 to 11
Nov 4, 2022 to Dec 16, 2022
Advisory employees · 2 to 1
Mar 24, 2022 to Jun 13, 2022
Employees · 14 to 12
Mar 24, 2022 to Jun 13, 2022
State-registered IARs · 2 to 1
Mar 24, 2022 to Jun 13, 2022
Legal name · M• W•••••, LLC to M• W••••• L••
Mar 24, 2022 to Jun 13, 2022
Accounts · 349,966 to 458,138
Nov 29, 2021 to Mar 24, 2022
BD registered reps · 3 to 4
Nov 29, 2021 to Mar 24, 2022
Individual clients · 349,966 to 458,138
Nov 29, 2021 to Mar 24, 2022
Assets in custody · $16.7M to $13.8M
Nov 29, 2021 to Mar 24, 2022
Employees · 11 to 14
Nov 29, 2021 to Mar 24, 2022
Discretionary RAUM · $16.7M to $13.8M
Nov 29, 2021 to Mar 24, 2022
Individual RAUM · $16.7M to $13.8M
Nov 29, 2021 to Mar 24, 2022
RAUM · $16.7M to $13.8M
Nov 29, 2021 to Mar 24, 2022
Accounts · 292,390 to 349,966
Sep 17, 2020 to Mar 29, 2021
Individual clients · 292,390 to 349,966
Sep 17, 2020 to Mar 29, 2021
Assets in custody · $20.7M to $16.7M
Sep 17, 2020 to Mar 29, 2021
Discretionary RAUM · $20.7M to $16.7M
Sep 17, 2020 to Mar 29, 2021
Individual RAUM · $20.7M to $16.7M
Sep 17, 2020 to Mar 29, 2021
RAUM · $20.7M to $16.7M
Sep 17, 2020 to Mar 29, 2021
Accounts · 235,569 to 292,390
Jan 17, 2020 to Mar 25, 2020
BD registered reps · 4 to 3
Jan 17, 2020 to Mar 25, 2020
Individual clients · 235,569 to 292,390
Jan 17, 2020 to Mar 25, 2020
Assets in custody · $42.6M to $20.7M
Jan 17, 2020 to Mar 25, 2020
Employees · 13 to 11
Jan 17, 2020 to Mar 25, 2020
State-registered IARs · 3 to 2
Jan 17, 2020 to Mar 25, 2020
Discretionary RAUM · $42.6M to $20.7M
Jan 17, 2020 to Mar 25, 2020
Individual RAUM · $42.6M to $20.7M
Jan 17, 2020 to Mar 25, 2020
RAUM · $42.6M to $20.7M
Jan 17, 2020 to Mar 25, 2020
BD registered reps · 0 to 4
Jul 25, 2019 to Sep 6, 2019
State-registered IARs · 0 to 3
Jul 25, 2019 to Sep 6, 2019
Related broker-dealer · false to true
Jul 25, 2019 to Sep 6, 2019
Accounts · 214,282 to 235,569
Jun 5, 2019 to Jul 25, 2019
Individual clients · 214,282 to 235,569
Jun 5, 2019 to Jul 25, 2019
Assets in custody · $32.4M to $42.6M
Jun 5, 2019 to Jul 25, 2019
Discretionary RAUM · $32.4M to $42.6M
Jun 5, 2019 to Jul 25, 2019
Individual RAUM · $32.4M to $42.6M
Jun 5, 2019 to Jul 25, 2019
RAUM · $32.4M to $42.6M
Jun 5, 2019 to Jul 25, 2019
Accounts · 75,849 to 214,282
Oct 1, 2018 to Mar 30, 2019
Advisory activities · 1 to 2
Oct 1, 2018 to Mar 30, 2019
Individual clients · 75,849 to 214,282
Oct 1, 2018 to Mar 30, 2019
Assets in custody · $13.0M to $32.4M
Oct 1, 2018 to Mar 30, 2019
Custody of client assets · false to true
Oct 1, 2018 to Mar 30, 2019
Employees · 10 to 13
Oct 1, 2018 to Mar 30, 2019
State-registered IARs · 3 to 0
Oct 1, 2018 to Mar 30, 2019

Signals

14 dated events

••• Locked
Mar 30, 2026 · ria indirect owner change · fact
••• Locked
Mar 30, 2026 · Control person left · inference
••• Locked
Mar 30, 2026 · Control person joined · fact
••• Locked
Mar 30, 2026 · ria principal change · fact
••• Locked
Mar 30, 2026 · ria principal change · fact

Full timeline · 14 events

••• Locked
Mar 30, 2026 · ria principal change · derived
••• Locked
Dec 1, 2023 · Control person left · inference
••• Locked
Dec 16, 2022 · Control person left · inference
••• Locked
Jun 13, 2022 · Control person left · inference
••• Locked
Mar 24, 2022 · Control person joined · fact
••• Locked
Mar 25, 2020 · Control person left · inference
••• Locked
Jan 17, 2020 · Control person left · inference
••• Locked
Mar 30, 2019 · Control person joined · fact
••• Locked
Aug 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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (2), LinkedIn company page (1), Facebook (1), X (Twitter) (1), Instagram (1), YouTube (1), TikTok (1), Video (1), Other link (1) · the addresses open with an account

9 earlier addresses on Form ADV filings, the earliest seen Aug 29, 2017

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.