DFX Intelligence

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P••••• A••••••• L••

Independent wealth managerSEC-registered· Hague, New Yorkwebsite

Independent wealth manager, based in Hague, New York, reporting $68.2M of regulatory assets across 1 registered advisors.

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

As of 2026-03-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $68.2M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +15%
Private clients: 77%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 23 Mar 2026, RAUM $59.5M to $68.2M (+14.7%) on the Form ADV filed 23 Mar 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 300774 · SEC 801-121363 · 12 filingsShow

CRD 300774SEC 801-121363First filing on the tape Apr 30, 2021, latest Mar 23, 2026SEC status approved since Jun 1, 2021IAPD

RAUM

$68.2M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

77%

$52.3M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$68.2M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

12 filings and snapshots on the tape

RAUM +22% a year over three years · the tape starts Apr 30, 2021

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

RAUM$68.2M as of Mar 23, 2026

Feb 22, 2022$27.6M then

HNW client RAUM$44.7M as of Mar 23, 2026

Feb 22, 2022$24.9M then

State-registered IARs (5.B.3)1 as of Mar 23, 2026

Feb 22, 20221 then

Employees (5.A)1 as of Mar 23, 2026

Feb 22, 20221 then

Private funds: no history

RAUM +15% over the last fiscal year+22% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 23, 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: $68.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 49derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.2MderivedHNW RAUM over HNW clients
Average account: $545,879derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 16%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: +15%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +26%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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

66% high-net-worth individuals, 16% charitable organizations, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow

High-net-worth individuals$44.7M66%
Charitable organizations$11.1M16%
Individuals$7.6M11%
Pooled investment vehicles$4.2M6.2%
Corporations and businesses$520,9110.8%

Individual clients: 29reported
HNW clients: 20reported
Pension plan clients: 0reported
Charitable clients: 2reported
Accounts: 125reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 77% private clients, 6% pooled funds, 16% 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

K•••••• B• P••••• from P••••• I••••••••• L••
Jun 22, 2021 · Other

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
K•••••• B• P•••••Certified Financial Planner	Hague, Ny	Jun 22, 2021	25 y	2

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P•••••• K••••••• B• · Managing Member & Chief Compliance Officercontrol
since 02/2019 · 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 · 114 to 125
Mar 18, 2025 to Mar 23, 2026
HNW clients · 15 to 20
Mar 18, 2025 to Mar 23, 2026
Individual clients · 24 to 29
Mar 18, 2025 to Mar 23, 2026
Discretionary RAUM · $59.5M to $68.2M
Mar 18, 2025 to Mar 23, 2026
HNW RAUM · $37.2M to $44.7M
Mar 18, 2025 to Mar 23, 2026

Full history · 51 changes

Individual RAUM · $7.1M to $7.6M
Mar 18, 2025 to Mar 23, 2026
Pooled vehicle RAUM · $3.7M to $4.2M
Mar 18, 2025 to Mar 23, 2026
RAUM · $59.5M to $68.2M
Mar 18, 2025 to Mar 23, 2026
Accounts · 92 to 114
Apr 11, 2024 to Mar 18, 2025
Corporate clients · 0 to 1
Apr 11, 2024 to Mar 18, 2025
Individual clients · 11 to 24
Apr 11, 2024 to Mar 18, 2025
Pooled vehicle clients · 0 to 1
Apr 11, 2024 to Mar 18, 2025
Financial planning clients · 11-25 to 11-25
Apr 11, 2024 to Mar 18, 2025
Discretionary RAUM · $50.8M to $59.5M
Apr 11, 2024 to Mar 18, 2025
HNW RAUM · $33.7M to $37.2M
Apr 11, 2024 to Mar 18, 2025
Individual RAUM · $3.9M to $7.1M
Apr 11, 2024 to Mar 18, 2025
Pooled vehicle RAUM · $0 to $3.7M
Apr 11, 2024 to Mar 18, 2025
RAUM · $50.8M to $59.5M
Apr 11, 2024 to Mar 18, 2025
Accounts · 82 to 92
Mar 16, 2023 to Feb 14, 2024
HNW clients · 13 to 15
Mar 16, 2023 to Feb 14, 2024
Individual clients · 16 to 11
Mar 16, 2023 to Feb 14, 2024
Pension plan clients · 2 to 0
Mar 16, 2023 to Feb 14, 2024
Discretionary RAUM · $37.5M to $50.8M
Mar 16, 2023 to Feb 14, 2024
HNW RAUM · $20.2M to $33.7M
Mar 16, 2023 to Feb 14, 2024
Individual RAUM · $4.3M to $3.9M
Mar 16, 2023 to Feb 14, 2024
Pension RAUM · $324,937 to $0
Mar 16, 2023 to Feb 14, 2024
RAUM · $37.5M to $50.8M
Mar 16, 2023 to Feb 14, 2024
Accounts · 66 to 82
Feb 22, 2022 to Mar 16, 2023
Charity clients · 1 to 2
Feb 22, 2022 to Mar 16, 2023
HNW clients · 14 to 13
Feb 22, 2022 to Mar 16, 2023
Individual clients · 10 to 16
Feb 22, 2022 to Mar 16, 2023
Pension plan clients · 1 to 2
Feb 22, 2022 to Mar 16, 2023
Discretionary RAUM · $27.6M to $37.5M
Feb 22, 2022 to Mar 16, 2023
HNW RAUM · $24.9M to $20.2M
Feb 22, 2022 to Mar 16, 2023
Individual RAUM · $2.2M to $4.3M
Feb 22, 2022 to Mar 16, 2023
Pension RAUM · $250,868 to $324,937
Feb 22, 2022 to Mar 16, 2023
RAUM · $27.6M to $37.5M
Feb 22, 2022 to Mar 16, 2023
Accounts · 51 to 66
Oct 27, 2021 to Feb 22, 2022
Charity clients · 2 to 1
Oct 27, 2021 to Feb 22, 2022
Corporate clients · unset to 0.0
Oct 27, 2021 to Feb 22, 2022
HNW clients · 11 to 14
Oct 27, 2021 to Feb 22, 2022
Individual clients · 7 to 10
Oct 27, 2021 to Feb 22, 2022
Pension plan clients · unset to 1.0
Oct 27, 2021 to Feb 22, 2022
Pooled vehicle clients · unset to 0.0
Oct 27, 2021 to Feb 22, 2022
Financial planning clients · 1-10 to 11-25
Oct 27, 2021 to Feb 22, 2022
Discretionary RAUM · $26.8M to $27.6M
Oct 27, 2021 to Feb 22, 2022
HNW RAUM · $24.6M to $24.9M
Oct 27, 2021 to Feb 22, 2022
Individual RAUM · $2.2M to $2.2M
Oct 27, 2021 to Feb 22, 2022
Pension RAUM · unset to 250868.0
Oct 27, 2021 to Feb 22, 2022
Pooled vehicle RAUM · unset to 0.0
Oct 27, 2021 to Feb 22, 2022
RAUM · $26.8M to $27.6M
Oct 27, 2021 to Feb 22, 2022

Signals

1 dated events

••• Locked
Apr 30, 2021 · 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 23, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 23, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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: $68.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026