DFX Intelligence
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C•••••• L••• L••
Independent wealth manager, based in New York, New York, reporting $3.0B of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $3.0B
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +27%
- Private clients
- 73% of RAUM, $2.2B
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $2.4BRAUM now $3.0B
- Contact points 4
Every filed figure, and the identifiersCRD 309148 · SEC 801-120019 · 17 filingsShowHide
CRD 309148SEC 801-120019First filing on the tape Nov 20, 2020, latest Mar 19, 2026SEC status approved since Mar 9, 2021IAPD
RAUM
$3.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
73%
$2.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$3.0B as of Mar 19, 2026
Mar 15, 2022$356M then
HNW client RAUM$2.2B as of Mar 19, 2026
Mar 15, 2022$219M then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 15, 20220 then
Employees (5.A)6 as of Mar 19, 2026
Mar 15, 20226 then
Private funds: no history
RAUM +27% over the last fiscal year+76% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $3.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- High-net-worth individuals$2.2B73%
- Other investment advisers$825M27%
- Individual clients
- n/areported
- HNW clients
- 645reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 808reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $91.8M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.73 fund_share=0.27 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• P••••• C••••• · Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- K••••••• A••••• N•• · Membercontrolsince 11/2020 · owns 25% to 50% of C•••••• L••• H••••••• L••
- K••••••• T••••••• C••••••••• · Membercontrolsince 05/2021 · owns F of C•••••• L••• H••••••• L••
- K•••••• K••••••• E• · Membercontrolsince 05/2021 · owns 25% to 50% of C•••••• L••• H••••••• L••
- M••••••••• P••••• C••••• · Membercontrolsince 05/2021 · owns F of C•••••• L••• H••••••• L••
Entity owners
- C•••••• L••• H••••••• L•• · Memberdirect · 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.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 19, 2026K••••••• T••••••• C••••••••• (MEMBER) left Schedule A between the filings of 2021-07-01 and 2026-03-19peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 19, 2026K•••••• K••••••• E• (MEMBER) left Schedule A between the filings of 2021-07-01 and 2026-03-19peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 19, 2026K••••••• A••••• N•• (MEMBER) left Schedule A between the filings of 2021-07-01 and 2026-03-19peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 630 to 808Mar 25, 2025 to Mar 19, 2026
- Advisory employees · 5 to 6Mar 25, 2025 to Mar 19, 2026
- HNW clients · 420 to 645Mar 25, 2025 to Mar 19, 2026
- Employees · 5 to 6Mar 25, 2025 to Mar 19, 2026
- Discretionary RAUM · $2.4B to $3.0BMar 25, 2025 to Mar 19, 2026
- HNW RAUM · $1.7B to $2.2BMar 25, 2025 to Mar 19, 2026
- RAUM · $2.4B to $3.0BMar 25, 2025 to Mar 19, 2026
- Wrap assets (manager) · $58.4M to $91.8MMar 25, 2025 to Mar 19, 2026
- Accounts · 330 to 630Dec 13, 2024 to Mar 25, 2025
- HNW clients · 243 to 420Dec 13, 2024 to Mar 25, 2025
- Financial planning clients · unset to Dec 13, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.4B to $2.4BDec 13, 2024 to Mar 25, 2025
- HNW RAUM · $972M to $1.7BDec 13, 2024 to Mar 25, 2025
- RAUM · $1.4B to $2.4BDec 13, 2024 to Mar 25, 2025
- Wrap assets (manager) · $242M to $58.4MDec 13, 2024 to Mar 25, 2025
- Accounts · 289 to 330Dec 21, 2023 to Mar 26, 2024
- HNW clients · 138 to 243Dec 21, 2023 to Mar 26, 2024
- Discretionary RAUM · $1.3B to $1.4BDec 21, 2023 to Mar 26, 2024
- HNW RAUM · $892M to $972MDec 21, 2023 to Mar 26, 2024
- RAUM · $1.3B to $1.4BDec 21, 2023 to Mar 26, 2024
- Wrap assets (manager) · $246M to $242MDec 21, 2023 to Mar 26, 2024
- Accounts · 138 to 289Aug 11, 2023 to Dec 21, 2023
- HNW clients · 97 to 138Aug 11, 2023 to Dec 21, 2023
- Discretionary RAUM · $555M to $1.3BAug 11, 2023 to Dec 21, 2023
- HNW RAUM · $331M to $892MAug 11, 2023 to Dec 21, 2023
- RAUM · $555M to $1.3BAug 11, 2023 to Dec 21, 2023
- Wrap assets (manager) · unset to 246379500.0Aug 11, 2023 to Dec 21, 2023
- Wrap assets (sponsor) · unset to 0.0Aug 11, 2023 to Dec 21, 2023
- Accounts · 66 to 138Jul 11, 2022 to Mar 29, 2023
- Advisory employees · 6 to 5Jul 11, 2022 to Mar 29, 2023
- HNW clients · 47 to 97Jul 11, 2022 to Mar 29, 2023
- Employees · 6 to 5Jul 11, 2022 to Mar 29, 2023
- Discretionary RAUM · $356M to $555MJul 11, 2022 to Mar 29, 2023
- HNW RAUM · $219M to $331MJul 11, 2022 to Mar 29, 2023
- RAUM · $356M to $555MJul 11, 2022 to Mar 29, 2023
- Accounts · 30 to 66Jul 1, 2021 to Mar 15, 2022
- HNW clients · unset to 47.0Jul 1, 2021 to Mar 15, 2022
- Individual clients · 18.0 to unsetJul 1, 2021 to Mar 15, 2022
- Discretionary RAUM · $159M to $356MJul 1, 2021 to Mar 15, 2022
- HNW RAUM · unset to 219043750.0Jul 1, 2021 to Mar 15, 2022
Signals
12 dated events
- ••• LockedMar 19, 2026 · ria indirect owner change · derived
- ••• LockedMar 19, 2026 · RAUM change · derived
- ••• LockedMar 19, 2026 · ria indirect owner change · derived
- ••• LockedMar 25, 2025 · RAUM change · derived
- ••• LockedDec 21, 2023 · RAUM change · derived
- ••• LockedMar 29, 2023 · RAUM change · derived
- ••• LockedMar 15, 2022 · RAUM change · derived
- ••• LockedJul 1, 2021 · Control person joined · fact
- ••• LockedJul 1, 2021 · Control person joined · fact
- ••• LockedJul 1, 2021 · Control person joined · fact
- ••• LockedMar 8, 2021 · Succession (Item 4) · fact
- ••• LockedNov 20, 2020 · 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 17, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 19, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 19, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026