DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

S••••• O• P••••••• F••••••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $28.7M of regulatory assets across 1 registered advisors.

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

As of 2026-02-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $28.7M
Advisors: 1
Net advisor flow, 12 months: 0
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-02-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 307332 · SEC 801-135660 · 1 filingShow

CRD 307332SEC 801-135660Legal name S••••• O• P••••••• F••••••• L••First filing on the tape Feb 24, 2026, latest Feb 24, 2026SEC status approved since Mar 26, 2026IAPD

RAUM

$28.7M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$28.7M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$28.7M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

1 filing and snapshots on the tape

Filed figures over time · the tape starts Feb 24, 2026

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

RAUM: $28.7M

HNW client RAUM: $21.0M

State-registered IARs (5.B.3): 1

Employees (5.A): 1

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Feb 24, 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: $28.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 32derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.3MderivedHNW RAUM over HNW clients
Average account: $353,741derivedRAUM 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: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween 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 feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, educational seminarsreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

73% high-net-worth individuals, 27% individuals

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

High-net-worth individuals$21.0M73%
Individuals$7.7M27%

Individual clients: 23reported
HNW clients: 9reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 81reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 100% 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

none on the tape

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
R•••••• K•••• M••••••••Certified Financial Planner	Yorktown Heigths, Ny	May 28, 2020	23 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M••••••••• R••••••• K•••• · Owner And Chief Compliance Officercontrol
since 05/2019 · 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

One filing, no change to show.

Signals

No event on the tape.

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: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Feb 24, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 24, 2026
Contact form: ••• 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: $28.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: RAUM change, 1 year.