DFX Intelligence

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F•••• T••••••

Independent wealth managerSEC-registered· New York, New York

Independent wealth manager, based in New York, New York, reporting $160M of regulatory assets.

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

As of 2026-02-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $160M
Advisors: 0
RAUM change, 1 year: +21%
Private clients: 62%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-02-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 18 Feb 2026, RAUM $133M to $160M (+20.8%) on the Form ADV filed 18 Feb 2026.

Every filed figure, and the identifiersCRD 291069 · SEC 801-112181 · 29 filingsShow

CRD 291069SEC 801-112181Legal name F•••• A•••• M••••••••• L••First filing on the tape Nov 15, 2017, latest Feb 18, 2026SEC status approved since Dec 14, 2017IAPD

RAUM

$160M

reported, Item 5.F

Discretionary

84%

of RAUM

Private clients

62%

$99.9M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

29 filings and snapshots on the tape

RAUM +34% a year over three years · the tape starts Nov 15, 2017

Peer group: Independent wealth managers, $100M to $500M, 5,683 firms

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

RAUM$160M as of Feb 18, 2026

Apr 4, 2018$0 then

HNW client RAUM$99.9M as of Feb 18, 2026

Apr 4, 2018$0 then

State-registered IARs (5.B.3)0 as of Feb 18, 2026

Apr 4, 20181 then

Employees (5.A)5 as of Feb 18, 2026

Apr 4, 201825 then

Private funds: no history

RAUM +21% over the last fiscal year+34% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Feb 18, 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: $291,155derivedHNW RAUM over HNW clients
Average account: $358,888derivedRAUM over accounts (5.F.2.f)
Discretionary: 84%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: +21%derivedbetween 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, hourly, fixed fees, otherreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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

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

62% high-net-worth individuals, 38% corporations and businesses

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$99.9M62%
Corporations and businesses$60.6M38%

Individual clients: n/areported
HNW clients: 343reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 447reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 62% private clients, 0% pooled funds, 0% institutions; a related broker-dealer; no related bank; 300% 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

G••••• P•••••••• J••••• · Managing Membercontrol
since 10/2017 · owns 10% to 25%
B••••• M••••••• O••• · Chief Compliance Officer
since 10/2019 · owns less than 5%

Entity owners

F•••• F•••••••• L•• · Member Entity
direct · owns 75% or more
M•••••• V•••••• P••••••• L•• · Indirect Owner Entity
indirect · owns 25% to 50% of F•••• F•••••••• L••
R••• C•••••• P••••••• L•• · Indirect Owner Entity
indirect · owns 25% to 50% of F•••• F•••••••• L••

Ownership changes

4 Schedule A changes between consecutive filings, latest first

Added F•••• F•••••••• L•• · Member Entity control
filing of Oct 30, 2019, against Oct 22, 2019 · owns 75% or more · entity
Added M•••••• V•••••• P••••••• L•• · Indirect Owner Entity
filing of Oct 30, 2019, against Oct 22, 2019 · owns 25 to 50% · entity
Added R••• C•••••• P••••••• L•• · Indirect Owner Entity
filing of Oct 30, 2019, against Oct 22, 2019 · owns 25 to 50% · entity
Added M•••••• B•••• O••• · Chief Compliance Officer
filing of Oct 22, 2019, against Apr 5, 2019 · 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

F•••• S••••••••• L••
broker-dealery

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 440 to 447
Mar 21, 2025 to Feb 18, 2026
Advisory employees · 3 to 4
Mar 21, 2025 to Feb 18, 2026
BD registered reps · 2 to 3
Mar 21, 2025 to Feb 18, 2026
Corporate clients · 75 to 104
Mar 21, 2025 to Feb 18, 2026
HNW clients · 365 to 343
Mar 21, 2025 to Feb 18, 2026

Full history · 80 changes

Employees · 3 to 5
Mar 21, 2025 to Feb 18, 2026
Discretionary RAUM · $107M to $135M
Mar 21, 2025 to Feb 18, 2026
HNW RAUM · $88.9M to $99.9M
Mar 21, 2025 to Feb 18, 2026
Non-discretionary RAUM · $25.4M to $25.2M
Mar 21, 2025 to Feb 18, 2026
RAUM · $133M to $160M
Mar 21, 2025 to Feb 18, 2026
Accounts · 396 to 440
Nov 11, 2024 to Mar 21, 2025
Corporate clients · 48 to 75
Nov 11, 2024 to Mar 21, 2025
HNW clients · unset to 365.0
Nov 11, 2024 to Mar 21, 2025
Individual clients · 348.0 to unset
Nov 11, 2024 to Mar 21, 2025
Financial planning clients · 0 to 0
Nov 11, 2024 to Mar 21, 2025
Discretionary RAUM · $105M to $107M
Nov 11, 2024 to Mar 21, 2025
HNW RAUM · unset to 88863623.0
Nov 11, 2024 to Mar 21, 2025
Individual RAUM · 77435755.0 to unset
Nov 11, 2024 to Mar 21, 2025
Non-discretionary RAUM · $14.6M to $25.4M
Nov 11, 2024 to Mar 21, 2025
RAUM · $119M to $133M
Nov 11, 2024 to Mar 21, 2025
Accounts · 319 to 396
Aug 31, 2023 to Feb 6, 2024
Corporate clients · 8 to 48
Aug 31, 2023 to Feb 6, 2024
Individual clients · 311 to 348
Aug 31, 2023 to Feb 6, 2024
Discretionary RAUM · $66.6M to $105M
Aug 31, 2023 to Feb 6, 2024
Individual RAUM · $61.8M to $77.4M
Aug 31, 2023 to Feb 6, 2024
Non-discretionary RAUM · $453,926 to $14.6M
Aug 31, 2023 to Feb 6, 2024
RAUM · $67.0M to $119M
Aug 31, 2023 to Feb 6, 2024
Accounts · 315 to 319
Jan 25, 2022 to Feb 28, 2023
Corporate clients · 6 to 8
Jan 25, 2022 to Feb 28, 2023
Individual clients · 309 to 311
Jan 25, 2022 to Feb 28, 2023
Discretionary RAUM · $90.0M to $66.6M
Jan 25, 2022 to Feb 28, 2023
Individual RAUM · $86.0M to $61.8M
Jan 25, 2022 to Feb 28, 2023
Non-discretionary RAUM · $2.0M to $453,926
Jan 25, 2022 to Feb 28, 2023
RAUM · $92.0M to $67.0M
Jan 25, 2022 to Feb 28, 2023
Accounts · 310 to 315
Jun 15, 2021 to Jan 25, 2022
Corporate clients · 5 to 6
Jun 15, 2021 to Jan 25, 2022
Individual clients · 305 to 309
Jun 15, 2021 to Jan 25, 2022
Discretionary RAUM · $86.9M to $90.0M
Jun 15, 2021 to Jan 25, 2022
Individual RAUM · $84.5M to $86.0M
Jun 15, 2021 to Jan 25, 2022
Non-discretionary RAUM · $1.7M to $2.0M
Jun 15, 2021 to Jan 25, 2022
RAUM · $88.5M to $92.0M
Jun 15, 2021 to Jan 25, 2022
Business name · F•••• A•••• M••••••••• L•• to F•••• T••••••
Apr 2, 2021 to Apr 2, 2021
Accounts · 240 to 310
Nov 30, 2020 to Mar 2, 2021
Corporate clients · 3 to 5
Nov 30, 2020 to Mar 2, 2021
HNW clients · 9.0 to unset
Nov 30, 2020 to Mar 2, 2021
Individual clients · 228 to 305
Nov 30, 2020 to Mar 2, 2021
Discretionary RAUM · $61.0M to $86.9M
Nov 30, 2020 to Mar 2, 2021
HNW RAUM · 14389100.0 to unset
Nov 30, 2020 to Mar 2, 2021
Individual RAUM · $45.5M to $84.5M
Nov 30, 2020 to Mar 2, 2021
Non-discretionary RAUM · $1.5M to $1.7M
Nov 30, 2020 to Mar 2, 2021
RAUM · $62.5M to $88.5M
Nov 30, 2020 to Mar 2, 2021
Accounts · 314 to 240
Jun 30, 2020 to Jul 13, 2020
Corporate clients · 24 to 3
Jun 30, 2020 to Jul 13, 2020
HNW clients · 6 to 9
Jun 30, 2020 to Jul 13, 2020
Individual clients · 284 to 228
Jun 30, 2020 to Jul 13, 2020
Employees · 5 to 3
Jun 30, 2020 to Jul 13, 2020
Financial planning clients · 251-500 to 0
Jun 30, 2020 to Jul 13, 2020
Discretionary RAUM · $1.4M to $61.0M
Jun 30, 2020 to Jul 13, 2020
HNW RAUM · $9.7M to $14.4M
Jun 30, 2020 to Jul 13, 2020
Individual RAUM · $25.1M to $45.5M
Jun 30, 2020 to Jul 13, 2020
Non-discretionary RAUM · $35.7M to $1.5M
Jun 30, 2020 to Jul 13, 2020
RAUM · $37.1M to $62.5M
Jun 30, 2020 to Jul 13, 2020
Other offices · 3 to 0
Oct 30, 2019 to Dec 11, 2019
Advisory employees · 1 to 3
Oct 22, 2019 to Oct 30, 2019
BD registered reps · 5 to 2
Oct 22, 2019 to Oct 30, 2019
Charity clients · 0.0 to unset
Oct 22, 2019 to Oct 30, 2019
Pension plan clients · 0.0 to unset
Oct 22, 2019 to Oct 30, 2019
Pooled vehicle clients · 0.0 to unset
Oct 22, 2019 to Oct 30, 2019
Commission compensation · true to false
Oct 22, 2019 to Oct 30, 2019
Other offices · 25 to 3
Oct 22, 2019 to Oct 30, 2019
Pension RAUM · 0.0 to unset
Oct 22, 2019 to Oct 30, 2019
Pooled vehicle RAUM · 0.0 to unset
Oct 22, 2019 to Oct 30, 2019
Accounts · 0 to 314
Apr 4, 2018 to Apr 5, 2019
Advisory employees · 25 to 1
Apr 4, 2018 to Apr 5, 2019
BD registered reps · 1 to 5
Apr 4, 2018 to Apr 5, 2019
Corporate clients · 0 to 24
Apr 4, 2018 to Apr 5, 2019
HNW clients · 0 to 6
Apr 4, 2018 to Apr 5, 2019
Individual clients · 0 to 284
Apr 4, 2018 to Apr 5, 2019
Employees · 25 to 5
Apr 4, 2018 to Apr 5, 2019
Financial planning clients · 0 to 251-500
Apr 4, 2018 to Apr 5, 2019

Signals

6 dated events

••• Locked
Feb 18, 2026 · ria indirect owner change · derived
••• Locked
Feb 18, 2026 · ria indirect owner change · derived
••• Locked
Feb 18, 2026 · ria indirect owner change · fact
••• Locked
Oct 30, 2019 · Office count change · derived
••• Locked
Apr 4, 2018 · RAUM change · derived

Full timeline · 6 events

••• Locked
Nov 15, 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, Feb 18, 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.