DFX Intelligence

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SEC-registered adviser

H•••••• A•••••••• L••

Independent wealth managerGarden City, New YorkCRD 306342SEC 801-124958website IAPD

Latest filing Jan 13, 2026

First filing on the tape Apr 5, 2022 · 10 filings

SEC status approved since May 5, 2022

RAUM

$171M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$171M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$85.6M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$171M as of Jan 13, 2026

Feb 10, 2023$50.7M then

HNW client RAUM$144M as of Jan 13, 2026

Feb 10, 2023$39.3M then

State-registered IARs (5.B.3)2 as of Jan 13, 2026

Feb 10, 20231 then

Employees (5.A)2 as of Jan 13, 2026

Feb 10, 20231 then

Private funds: no history

RAUM +37% over the last fiscal year+50% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Jan 13, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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

RAUM per advisor: $85.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 51derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.8MderivedHNW RAUM over HNW clients
Average account: $397,013derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +37%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -27%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$144M84%
Individuals$27.2M16%

Individual clients: 49reported
HNW clients: 52reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 431reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
K•••• P•••••• H••••••Certified Financial Planner, Chartered Financial Analyst	Garden City, Ny	Jan 5, 2024	20 y	1
B•••• A••••• H••••••	Garden City, Ny	Jan 5, 2024	29 y	1

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

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H••••••• K••••• P•••••• · Principal And Ccocontrol
since 10/2019 · 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
Garden City, Ny · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

3 against comparable advisers; where to look, not conclusions

clients down average size upCombination · filing Jan 13, 2026
private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $125,300,000 to $171,112,405, advisors 2 to 2, private clients 138 to 101, offices 0 to 0 (2025-01-28 to 2026-01-13)
peers: independent wealth managers, $100M to $500M (5,678)
HNW share shiftChange between filings · filing Jan 13, 2026
HNW share of RAUM moved from 67.0% to 84.0% between the annual amendments of 2025-01-28 and 2026-01-13
peers: independent wealth managers, $100M to $500M (5,678)
RAUM up 25 %Change between filings · filing Jan 13, 2026
RAUM (Item 5.F) moved from $125,300,000 to $171,112,405 (+37.0%) between the annual amendments of 2025-01-28 and 2026-01-13; the peer median change was +15.0% (4548 comparable advisers, 91.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (4,548) · 91% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 370 to 431
Jan 28, 2025 to Jan 13, 2026
HNW clients · 44 to 52
Jan 28, 2025 to Jan 13, 2026
Individual clients · 94 to 49
Jan 28, 2025 to Jan 13, 2026
Discretionary RAUM · $125M to $171M
Jan 28, 2025 to Jan 13, 2026
HNW RAUM · $84.1M to $144M
Jan 28, 2025 to Jan 13, 2026
Individual RAUM · $41.2M to $27.2M
Jan 28, 2025 to Jan 13, 2026
RAUM · $125M to $171M
Jan 28, 2025 to Jan 13, 2026
Accounts · 184 to 370
Oct 28, 2024 to Jan 28, 2025
HNW clients · 36 to 44
Oct 28, 2024 to Jan 28, 2025
Individual clients · 80 to 94
Oct 28, 2024 to Jan 28, 2025
Financial planning clients · 1-10 to 1-10
Oct 28, 2024 to Jan 28, 2025
Discretionary RAUM · $93.4M to $125M
Oct 28, 2024 to Jan 28, 2025
HNW RAUM · $60.8M to $84.1M
Oct 28, 2024 to Jan 28, 2025
Individual RAUM · $32.7M to $41.2M
Oct 28, 2024 to Jan 28, 2025
RAUM · $93.4M to $125M
Oct 28, 2024 to Jan 28, 2025
Accounts · 230 to 184
Jan 5, 2024 to Jan 23, 2024
Advisory employees · 1 to 2
Jan 5, 2024 to Jan 23, 2024
HNW clients · 22 to 36
Jan 5, 2024 to Jan 23, 2024
Individual clients · 39 to 80
Jan 5, 2024 to Jan 23, 2024
Employees · 1 to 2
Jan 5, 2024 to Jan 23, 2024
State-registered IARs · 1 to 2
Jan 5, 2024 to Jan 23, 2024
Discretionary RAUM · $50.7M to $93.4M
Jan 5, 2024 to Jan 23, 2024
HNW RAUM · $39.3M to $60.8M
Jan 5, 2024 to Jan 23, 2024
Individual RAUM · $11.4M to $32.7M
Jan 5, 2024 to Jan 23, 2024
RAUM · $50.7M to $93.4M
Jan 5, 2024 to Jan 23, 2024
Advisory activities · 3 to 2
Feb 10, 2023 to Jul 31, 2023
Accounts · 185 to 230
May 24, 2022 to Feb 10, 2023
HNW clients · 27 to 22
May 24, 2022 to Feb 10, 2023
Individual clients · 47 to 39
May 24, 2022 to Feb 10, 2023
Discretionary RAUM · $41.3M to $50.7M
May 24, 2022 to Feb 10, 2023
HNW RAUM · $26.4M to $39.3M
May 24, 2022 to Feb 10, 2023
Individual RAUM · $15.0M to $11.4M
May 24, 2022 to Feb 10, 2023
RAUM · $41.3M to $50.7M
May 24, 2022 to Feb 10, 2023

Signals

1 dated events

H•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Apr 5, 2022 · 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 phone: 516-280-2323reportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 516-724-1540reportedpublished by the firm, firm site, Sep 17, 2026
Website: h•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 516-280-2323reportedpublic record, Form ADV, Jan 13, 2026
Contact form: h•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $85.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026