DFX Intelligence

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B••• F••• W•••••

Independent wealth managerSEC-registered· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $127M of regulatory assets across 2 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: $127M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +54%
Private clients: 99%

See where advisers went See teams that moved

Advisors (2)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 $82.1M to $127M (+54.4%) on the Form ADV filed 23 Mar 2026, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 301066 · SEC 801-117389 · 15 filingsShow

CRD 301066SEC 801-117389Legal name B••• F••• W•••••• L••First filing on the tape Aug 26, 2019, latest Mar 23, 2026SEC status approved since Sep 23, 2019IAPD

RAUM

$127M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$125M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$63.4M

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 +15% a year over three years · the tape starts Aug 26, 2019

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

RAUM$127M as of Mar 23, 2026

Mar 19, 2020$66.3M then

HNW client RAUM$56.3M as of Mar 23, 2026

Mar 19, 2020$31.9M then

State-registered IARs (5.B.3)2 as of Mar 23, 2026

Mar 19, 20201 then

Employees (5.A)4 as of Mar 23, 2026

Mar 19, 20202 then

Private funds: no history

RAUM +54% over the last fiscal year+15% a year over threeIARs 2 to 2

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

Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
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: $63.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 90derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.4MderivedHNW RAUM over HNW clients
Average account: $189,745derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +54%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +38%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
Custody: $72.2M, 159 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

54% individuals, 44% high-net-worth individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

Individuals$69.0M54%
High-net-worth individuals$56.3M44%
Corporations and businesses$1.4M1.1%

Individual clients: 157reported
HNW clients: 23reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 668reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: $72.2M for 159 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 99% 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

D•••••• A••• B•••••••• from C••••••••• F•••••••• N••••••
Jun 19, 2019 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
D•••••• A••• B••••••••Certified Financial Planner	New York, Ny	Apr 27, 2021	21 y	3
C••••••• C•••••• C••••••Certified Financial Planner	New York, Ny	Oct 28, 2021	17 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••••••• D••••••• A••• · President; Ccocontrol
since 12/2016 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
New York, Ny · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 50 %Change between filings · filing Mar 23, 2026
RAUM (Item 5.F) moved from $82,098,522 to $126,749,760 (+54.0%) between the annual amendments of 2025-03-10 and 2026-03-23; the peer median change was +15.0% (4546 comparable advisers, 96.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (4,546) · 96% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 132 to 668
Nov 14, 2025 to Mar 23, 2026
Corporate clients · 2 to 1
Nov 14, 2025 to Mar 23, 2026
HNW clients · 20 to 23
Nov 14, 2025 to Mar 23, 2026
Individual clients · 110 to 157
Nov 14, 2025 to Mar 23, 2026
Assets in custody · $19.8M to $72.2M
Nov 14, 2025 to Mar 23, 2026

Full history · 80 changes

Discretionary RAUM · $82.1M to $127M
Nov 14, 2025 to Mar 23, 2026
HNW RAUM · $40.6M to $56.3M
Nov 14, 2025 to Mar 23, 2026
Individual RAUM · $40.2M to $69.0M
Nov 14, 2025 to Mar 23, 2026
RAUM · $82.1M to $127M
Nov 14, 2025 to Mar 23, 2026
Wrap assets (manager) · 82098522.0 to unset
Mar 10, 2025 to Aug 19, 2025
Wrap assets (sponsor) · 0.0 to unset
Mar 10, 2025 to Aug 19, 2025
HNW clients · 11 to 20
Feb 13, 2024 to Mar 10, 2025
Pension plan clients · 1 to 0
Feb 13, 2024 to Mar 10, 2025
Assets in custody · $16.7M to $19.8M
Feb 13, 2024 to Mar 10, 2025
Financial planning clients · 26-50 to 51-100
Feb 13, 2024 to Mar 10, 2025
Discretionary RAUM · $70.6M to $82.1M
Feb 13, 2024 to Mar 10, 2025
HNW RAUM · $29.3M to $40.6M
Feb 13, 2024 to Mar 10, 2025
Individual RAUM · $39.9M to $40.2M
Feb 13, 2024 to Mar 10, 2025
Pension RAUM · $170,434 to $0
Feb 13, 2024 to Mar 10, 2025
RAUM · $70.6M to $82.1M
Feb 13, 2024 to Mar 10, 2025
Wrap assets (manager) · $70.6M to $82.1M
Feb 13, 2024 to Mar 10, 2025
Accounts · 123 to 132
Feb 13, 2024 to Mar 10, 2025
Corporate clients · 1 to 2
Feb 13, 2024 to Mar 10, 2025
Accounts · 356 to 123
Feb 15, 2023 to Feb 13, 2024
Charity clients · 1 to 0
Feb 15, 2023 to Feb 13, 2024
HNW clients · 9 to 11
Feb 15, 2023 to Feb 13, 2024
Individual clients · 135 to 110
Feb 15, 2023 to Feb 13, 2024
Pension plan clients · 0 to 1
Feb 15, 2023 to Feb 13, 2024
Assets in custody · $33.0M to $16.7M
Feb 15, 2023 to Feb 13, 2024
Discretionary RAUM · $84.2M to $70.6M
Feb 15, 2023 to Feb 13, 2024
HNW RAUM · $43.0M to $29.3M
Feb 15, 2023 to Feb 13, 2024
Individual RAUM · $35.9M to $39.9M
Feb 15, 2023 to Feb 13, 2024
Pension RAUM · $0 to $170,434
Feb 15, 2023 to Feb 13, 2024
RAUM · $84.2M to $70.6M
Feb 15, 2023 to Feb 13, 2024
Wrap assets (manager) · $79.1M to $70.6M
Feb 15, 2023 to Feb 13, 2024
Accounts · 111 to 356
Mar 4, 2022 to Feb 15, 2023
Corporate clients · 3 to 1
Mar 4, 2022 to Feb 15, 2023
HNW clients · 7 to 9
Mar 4, 2022 to Feb 15, 2023
Individual clients · 100 to 135
Mar 4, 2022 to Feb 15, 2023
Assets in custody · $50.5M to $33.0M
Mar 4, 2022 to Feb 15, 2023
Employees · 3 to 4
Mar 4, 2022 to Feb 15, 2023
Discretionary RAUM · $92.2M to $84.2M
Mar 4, 2022 to Feb 15, 2023
HNW RAUM · $52.5M to $43.0M
Mar 4, 2022 to Feb 15, 2023
Individual RAUM · $32.0M to $35.9M
Mar 4, 2022 to Feb 15, 2023
RAUM · $92.2M to $84.2M
Mar 4, 2022 to Feb 15, 2023
Wrap assets (manager) · $92.2M to $79.1M
Mar 4, 2022 to Feb 15, 2023
Accounts · 160 to 111
Aug 27, 2021 to Mar 4, 2022
Advisory employees · 1 to 2
Aug 27, 2021 to Mar 4, 2022
Corporate clients · 1 to 3
Aug 27, 2021 to Mar 4, 2022
HNW clients · 19 to 7
Aug 27, 2021 to Mar 4, 2022
Individual clients · 92 to 100
Aug 27, 2021 to Mar 4, 2022
Pension plan clients · 1 to 0
Aug 27, 2021 to Mar 4, 2022
Assets in custody · $41.8M to $50.5M
Aug 27, 2021 to Mar 4, 2022
Employees · 2 to 3
Aug 27, 2021 to Mar 4, 2022
State-registered IARs · 1 to 2
Aug 27, 2021 to Mar 4, 2022
Discretionary RAUM · $79.2M to $92.2M
Aug 27, 2021 to Mar 4, 2022
HNW RAUM · $50.7M to $52.5M
Aug 27, 2021 to Mar 4, 2022
Individual RAUM · $21.6M to $32.0M
Aug 27, 2021 to Mar 4, 2022
Pension RAUM · $668,019 to $0
Aug 27, 2021 to Mar 4, 2022
RAUM · $79.2M to $92.2M
Aug 27, 2021 to Mar 4, 2022
Wrap assets (manager) · $79.2M to $92.2M
Aug 27, 2021 to Mar 4, 2022
Accounts · 241 to 160
Jun 4, 2020 to Mar 19, 2021
Corporate clients · 2 to 1
Jun 4, 2020 to Mar 19, 2021
HNW clients · 5 to 19
Jun 4, 2020 to Mar 19, 2021
Individual clients · 232 to 92
Jun 4, 2020 to Mar 19, 2021
Assets in custody · $825,430 to $41.8M
Jun 4, 2020 to Mar 19, 2021
Discretionary RAUM · $66.1M to $79.2M
Jun 4, 2020 to Mar 19, 2021
HNW RAUM · $31.9M to $50.7M
Jun 4, 2020 to Mar 19, 2021
Individual RAUM · $27.3M to $21.6M
Jun 4, 2020 to Mar 19, 2021
Non-discretionary RAUM · $194,010 to $0
Jun 4, 2020 to Mar 19, 2021
Pension RAUM · $571,417 to $668,019
Jun 4, 2020 to Mar 19, 2021
RAUM · $66.3M to $79.2M
Jun 4, 2020 to Mar 19, 2021
Wrap assets (manager) · $60.1M to $79.2M
Jun 4, 2020 to Mar 19, 2021
Accounts · 238 to 241
Nov 12, 2019 to Mar 19, 2020
HNW clients · 31 to 5
Nov 12, 2019 to Mar 19, 2020
Individual clients · 200 to 232
Nov 12, 2019 to Mar 19, 2020
Pension plan clients · 4 to 1
Nov 12, 2019 to Mar 19, 2020
Assets in custody · $67.6M to $825,430
Nov 12, 2019 to Mar 19, 2020
Financial planning clients · 0 to 26-50
Nov 12, 2019 to Mar 19, 2020
Discretionary RAUM · $61.1M to $66.1M
Nov 12, 2019 to Mar 19, 2020

Signals

3 dated events

••• Locked
Mar 23, 2026 · ria principal change · fact
••• Locked
Mar 23, 2026 · Control person joined · fact
••• Locked
Aug 26, 2019 · 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

Website: ••• Lockedreportedpublic record, Form ADV, Mar 23, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 23, 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: $63.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026