DFX Intelligence

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V••••• A••••••• L••

Wealth manager with institutional or fund businessSEC-registeredwebsite

Wealth manager with institutional or fund business, reporting $155M of regulatory assets across 1 registered advisors.

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: $155M
Advisors: 1
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +18%
Private clients: 43% of RAUM, $67.2M

See where advisers went See teams that moved

Advisors (1)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

+17.7%
RAUM, one year
RAUM $132M to $155M (+17.7%) on the Form ADV filed 30 Mar 2026, while advisors on the filing rose 1 to 1.
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 294631 · SEC 801-113475 · 15 filingsShow

CRD 294631SEC 801-113475First filing on the tape May 21, 2018, latest Mar 30, 2026SEC status approved since Jun 18, 2018IAPD

RAUM

$155M

reported, Item 5.F

Discretionary

48%

of RAUM

Private clients

43%

$67.2M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$155M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM$155M as of Mar 30, 2026

Mar 20, 2019$54.2M then

HNW client RAUM$43.0M as of Mar 30, 2026

Mar 20, 2019$15.6M then

State-registered IARs (5.B.3)1 as of Mar 30, 2026

Mar 20, 20190 then

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

Mar 20, 20191 then

Private funds: no history

RAUM +18% over the last fiscal year+19% a year over threeIARs 1 to 1

Practice profile

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

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 rulesShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $155MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 144derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.0MderivedHNW RAUM over HNW clients
Average account: $973,708derivedRAUM over accounts (5.F.2.f)
Discretionary: 48%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 5.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +18%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -3.4%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, 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

buys or sells securities as principal to or from clients (8.A.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Corporations and businesses$87.6M57%
High-net-worth individuals$43.0M28%
Individuals$24.2M16%

Individual clients: 102reported
HNW clients: 42reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 159reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.43 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived

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

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the 10 longest tenured

Name	Branch	Here since	In industry	Prior firms
E•••••• A•••••• Z••••••• V•••••Chartered Financial Analyst	New York, Ny	Jun 8, 2023	15 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

R••••••• C••••• · Chief Executive Officer, Chief Compliance Officer, Managercontrol
since 03/2018 · owns less than 5%
A•••••• V•••••••• · Ownercontrol
since 12/2023 · owns F of V••••• H••••••• L••
C••••••••• J•••• T•••• · Ownercontrol
since 02/2018 · owns 50% to 75% of V••••• H••••••• L••
C••••••••• V•••••• · Ownercontrol
since 02/2018 · owns 25% to 50% of V••••• H••••••• L••
R••••••• C••••• · Ownercontrol
since 02/2018 · owns F of V••••• H••••••• L••
V•••••••• E•••••• · Ownercontrol
since 12/2023 · owns F of V••••• H••••••• L••
C••••••••• J•••• T•••• · Manager
since 03/2018 · owns less than 5%
C••••••••• V•••••• · Manager
since 03/2018 · owns less than 5%

Entity owners

V••••• H••••••• L•• · Member
direct · owns 75% or more

Related persons

Schedule D 7.A

M••••••• C••• D• B•••• C•••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 168 to 159
Mar 31, 2025 to Mar 30, 2026
Corporate clients · 19 to 15
Mar 31, 2025 to Mar 30, 2026
HNW clients · 50 to 42
Mar 31, 2025 to Mar 30, 2026
Individual clients · 99 to 102
Mar 31, 2025 to Mar 30, 2026
Discretionary RAUM · $49.3M to $74.5M
Mar 31, 2025 to Mar 30, 2026

Full history · 80 changes

HNW RAUM · $36.1M to $43.0M
Mar 31, 2025 to Mar 30, 2026
Individual RAUM · $17.0M to $24.2M
Mar 31, 2025 to Mar 30, 2026
Non-discretionary RAUM · $82.2M to $80.3M
Mar 31, 2025 to Mar 30, 2026
RAUM · $132M to $155M
Mar 31, 2025 to Mar 30, 2026
Accounts · 130 to 168
Apr 1, 2024 to Mar 31, 2025
Corporate clients · 14 to 19
Apr 1, 2024 to Mar 31, 2025
HNW clients · 6 to 50
Apr 1, 2024 to Mar 31, 2025
Individual clients · 110 to 99
Apr 1, 2024 to Mar 31, 2025
Financial planning clients · 0 to 0
Apr 1, 2024 to Mar 31, 2025
HQ city · unset to
Apr 1, 2024 to Mar 31, 2025
HQ state · unset to
Apr 1, 2024 to Mar 31, 2025
Discretionary RAUM · $38.4M to $49.3M
Apr 1, 2024 to Mar 31, 2025
HNW RAUM · $11.5M to $36.1M
Apr 1, 2024 to Mar 31, 2025
Individual RAUM · $28.1M to $17.0M
Apr 1, 2024 to Mar 31, 2025
Non-discretionary RAUM · $79.4M to $82.2M
Apr 1, 2024 to Mar 31, 2025
RAUM · $118M to $132M
Apr 1, 2024 to Mar 31, 2025
Accounts · 141 to 130
Aug 24, 2023 to Apr 1, 2024
Advisory employees · 3 to 2
Aug 24, 2023 to Apr 1, 2024
Corporate clients · 22 to 14
Aug 24, 2023 to Apr 1, 2024
HNW clients · 59 to 6
Aug 24, 2023 to Apr 1, 2024
Individual clients · 60 to 110
Aug 24, 2023 to Apr 1, 2024
Employees · 4 to 5
Aug 24, 2023 to Apr 1, 2024
State-registered IARs · 0 to 1
Aug 24, 2023 to Apr 1, 2024
Discretionary RAUM · $0 to $38.4M
Aug 24, 2023 to Apr 1, 2024
HNW RAUM · $25.3M to $11.5M
Aug 24, 2023 to Apr 1, 2024
Individual RAUM · $6.8M to $28.1M
Aug 24, 2023 to Apr 1, 2024
Non-discretionary RAUM · $92.7M to $79.4M
Aug 24, 2023 to Apr 1, 2024
RAUM · $92.7M to $118M
Aug 24, 2023 to Apr 1, 2024
HQ city · NEW YORK to unset
Apr 3, 2023 to Aug 24, 2023
HQ state · NY to unset
Apr 3, 2023 to Aug 24, 2023
Accounts · 129 to 141
Mar 30, 2022 to Apr 3, 2023
Corporate clients · 19 to 22
Mar 30, 2022 to Apr 3, 2023
HNW clients · 60 to 59
Mar 30, 2022 to Apr 3, 2023
Individual clients · 50 to 60
Mar 30, 2022 to Apr 3, 2023
HNW RAUM · $32.5M to $25.3M
Mar 30, 2022 to Apr 3, 2023
Individual RAUM · $6.3M to $6.8M
Mar 30, 2022 to Apr 3, 2023
Non-discretionary RAUM · $106M to $92.7M
Mar 30, 2022 to Apr 3, 2023
RAUM · $106M to $92.7M
Mar 30, 2022 to Apr 3, 2023
Accounts · 105 to 129
Sep 21, 2021 to Mar 30, 2022
Corporate clients · 12 to 19
Sep 21, 2021 to Mar 30, 2022
HNW clients · 25 to 60
Sep 21, 2021 to Mar 30, 2022
Individual clients · 33 to 50
Sep 21, 2021 to Mar 30, 2022
HNW RAUM · $27.1M to $32.5M
Sep 21, 2021 to Mar 30, 2022
Individual RAUM · $6.2M to $6.3M
Sep 21, 2021 to Mar 30, 2022
Non-discretionary RAUM · $93.1M to $106M
Sep 21, 2021 to Mar 30, 2022
RAUM · $93.1M to $106M
Sep 21, 2021 to Mar 30, 2022
Accounts · 46 to 105
Jun 17, 2020 to Mar 30, 2021
Advisory employees · 1 to 3
Jun 17, 2020 to Mar 30, 2021
BD registered reps · 1 to 0
Jun 17, 2020 to Mar 30, 2021
Corporate clients · 4 to 12
Jun 17, 2020 to Mar 30, 2021
HNW clients · 13 to 25
Jun 17, 2020 to Mar 30, 2021
Individual clients · 21 to 33
Jun 17, 2020 to Mar 30, 2021
Employees · 1 to 4
Jun 17, 2020 to Mar 30, 2021
Discretionary RAUM · $245,950 to $0
Jun 17, 2020 to Mar 30, 2021
HNW RAUM · $13.9M to $27.1M
Jun 17, 2020 to Mar 30, 2021
Individual RAUM · $5.7M to $6.2M
Jun 17, 2020 to Mar 30, 2021
Non-discretionary RAUM · $52.1M to $93.1M
Jun 17, 2020 to Mar 30, 2021
RAUM · $52.4M to $93.1M
Jun 17, 2020 to Mar 30, 2021
Accounts · 36 to 46
Mar 20, 2019 to Mar 26, 2020
HNW clients · 10 to 13
Mar 20, 2019 to Mar 26, 2020
Individual clients · 14 to 21
Mar 20, 2019 to Mar 26, 2020
Discretionary RAUM · $0 to $245,950
Mar 20, 2019 to Mar 26, 2020
HNW RAUM · $15.6M to $13.9M
Mar 20, 2019 to Mar 26, 2020
Individual RAUM · $2.3M to $5.7M
Mar 20, 2019 to Mar 26, 2020
Non-discretionary RAUM · $54.2M to $52.1M
Mar 20, 2019 to Mar 26, 2020
RAUM · $54.2M to $52.4M
Mar 20, 2019 to Mar 26, 2020
Accounts · 34 to 36
Oct 16, 2018 to Mar 20, 2019
Corporate clients · 14 to 4
Oct 16, 2018 to Mar 20, 2019
HNW clients · 9 to 10
Oct 16, 2018 to Mar 20, 2019
HNW RAUM · $12.4M to $15.6M
Oct 16, 2018 to Mar 20, 2019
Individual RAUM · $2.2M to $2.3M
Oct 16, 2018 to Mar 20, 2019
Non-discretionary RAUM · $48.3M to $54.2M
Oct 16, 2018 to Mar 20, 2019
RAUM · $48.3M to $54.2M
Oct 16, 2018 to Mar 20, 2019
Accounts · 0 to 34
Oct 12, 2018 to Oct 15, 2018
Corporate clients · unset to 14.0
Oct 12, 2018 to Oct 15, 2018

Signals

3 dated events

••• Locked
Apr 1, 2024 · Control person joined · fact
••• Locked
Apr 1, 2024 · Control person joined · fact
••• Locked
May 21, 2018 · 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 email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic 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: Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor: $155Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026