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.

Y••••••• Y•••• A•••••••

Independent wealth managerSEC-registered· Brooklyn, New Yorkwebsite

Independent wealth manager, based in Brooklyn, New York, reporting $87.1M of regulatory assets across 1 registered advisors.

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

As of 2026-03-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $87.1M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +14%
Private clients: 99%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 25 Mar 2026, RAUM $76.1M to $87.1M (+14.4%) on the Form ADV filed 25 Mar 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 307719 · SEC 801-127793 · 11 filingsShow

CRD 307719SEC 801-127793Legal name Y••••••• Y•••• A••••••• L••First filing on the tape Mar 29, 2023, latest Mar 25, 2026SEC status approved since Apr 28, 2023IAPD

RAUM

$87.1M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$86.1M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$87.1M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM +14% over the last fiscal year · the tape starts Mar 29, 2023

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

RAUM$87.1M as of Mar 25, 2026

Mar 21, 2024$55.1M then

HNW client RAUM$80.2M as of Mar 25, 2026

Mar 21, 2024$51.7M then

State-registered IARs (5.B.3)1 as of Mar 25, 2026

Mar 21, 20241 then

Employees (5.A)2 as of Mar 25, 2026

Mar 21, 20242 then

Private funds: no history

RAUM +14% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Mar 25, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

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: $87.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 24derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.7MderivedHNW RAUM over HNW clients
Average account: $1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +14%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +14%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Custody: $5.3M, 1 clientreportedItem 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

92% high-net-worth individuals, 6.8% individuals, and 1 other client type

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

High-net-worth individuals$80.2M92%
Individuals$5.9M6.8%
Charitable organizations$990,6441.1%

Individual clients: 10reported
HNW clients: 14reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 65reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: $5.3M for 1 clientreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 99% private clients, 0% pooled funds, 1% 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
K•••••••• Y••••••• Y••••Certified Financial Planner, Chartered Financial Analyst	Brooklyn, Ny	Jul 29, 2021	19 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Y••••• K••••••••• Y••••••• · Founder, Ccocontrol
since 01/2020 · owns 75% or more

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

Assets in custody · $778,562 to $5.3M
Feb 23, 2026 to Mar 25, 2026
Accounts · 49 to 65
Oct 8, 2025 to Feb 23, 2026
HNW clients · 12 to 14
Oct 8, 2025 to Feb 23, 2026
Individual clients · 9 to 10
Oct 8, 2025 to Feb 23, 2026
Assets in custody · $719,839 to $778,562
Oct 8, 2025 to Feb 23, 2026

Full history · 34 changes

Discretionary RAUM · $76.1M to $87.1M
Oct 8, 2025 to Feb 23, 2026
HNW RAUM · $71.7M to $80.2M
Oct 8, 2025 to Feb 23, 2026
Individual RAUM · $4.4M to $5.9M
Oct 8, 2025 to Feb 23, 2026
RAUM · $76.1M to $87.1M
Oct 8, 2025 to Feb 23, 2026
Accounts · 34 to 49
Sep 11, 2024 to Mar 12, 2025
HNW clients · 9 to 12
Sep 11, 2024 to Mar 12, 2025
Individual clients · 8 to 9
Sep 11, 2024 to Mar 12, 2025
Financial planning clients · 26-50 to 26-50
Sep 11, 2024 to Mar 12, 2025
Discretionary RAUM · $66.3M to $76.1M
Sep 11, 2024 to Mar 12, 2025
HNW RAUM · $63.5M to $71.7M
Sep 11, 2024 to Mar 12, 2025
Individual RAUM · $2.8M to $4.4M
Sep 11, 2024 to Mar 12, 2025
RAUM · $66.3M to $76.1M
Sep 11, 2024 to Mar 12, 2025
Accounts · 36 to 34
Jul 1, 2024 to Aug 29, 2024
HNW clients · 4 to 9
Jul 1, 2024 to Aug 29, 2024
Assets in custody · $806,833 to $719,839
Jul 1, 2024 to Aug 29, 2024
Discretionary RAUM · $55.1M to $66.3M
Jul 1, 2024 to Aug 29, 2024
HNW RAUM · $51.7M to $63.5M
Jul 1, 2024 to Aug 29, 2024
Individual RAUM · $3.4M to $2.8M
Jul 1, 2024 to Aug 29, 2024
RAUM · $55.1M to $66.3M
Jul 1, 2024 to Aug 29, 2024
Accounts · 24 to 36
Oct 30, 2023 to Mar 21, 2024
HNW clients · 1 to 4
Oct 30, 2023 to Mar 21, 2024
Individual clients · 9 to 8
Oct 30, 2023 to Mar 21, 2024
Assets in custody · $533,000 to $806,833
Oct 30, 2023 to Mar 21, 2024
Employees · 1 to 2
Oct 30, 2023 to Mar 21, 2024
Financial planning clients · 11-25 to 26-50
Oct 30, 2023 to Mar 21, 2024
Discretionary RAUM · $49.0M to $55.1M
Oct 30, 2023 to Mar 21, 2024
HNW RAUM · $46.5M to $51.7M
Oct 30, 2023 to Mar 21, 2024
Individual RAUM · $2.6M to $3.4M
Oct 30, 2023 to Mar 21, 2024
RAUM · $49.0M to $55.1M
Oct 30, 2023 to Mar 21, 2024

Signals

1 dated events

••• Locked
Mar 29, 2023 · 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
Website: ••• Lockedreportedpublic record, Form ADV, Mar 25, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 25, 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: $87.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026