DFX Intelligence
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SEC-registered adviser
C•••••••
Legal name C••••••• L••
Latest filing Sep 16, 2026
First filing on the tape Jul 16, 2020 · 17 filings
SEC status approved since Aug 17, 2020
RAUM
$4.4M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$4.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$4.4M
derived; firm RAUM over IAPD count
Employees
1
1 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$4.4M as of Jul 29, 2026
Mar 30, 2021$1.2M then
HNW client RAUM$4.2M as of Jul 29, 2026
Mar 30, 2021$1.2M then
State-registered IARs (5.B.3)1 as of Jul 29, 2026
Mar 30, 20210 then
Employees (5.A)1 as of Jul 29, 2026
Mar 30, 20211 then
Private funds: no history
RAUM -87% over the last fiscal year-18% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $4.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $734,621derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%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 offices incl. principal (1.F.5)
- RAUM growth, one year
- -87%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.2M96%
- Individuals$193,7184.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• H• S••••••Chartered Financial Analyst | Coral Gables, Fl | Jul 21, 2021 | 16 y | 0 |
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• J•••••••• H• · Managing Member And Ccocontrolsince 10/2018 · 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
- Financial planning clients · to unsetJul 29, 2026 to Sep 16, 2026
- HQ city · to unsetJul 29, 2026 to Sep 16, 2026
- HQ state · to unsetJul 29, 2026 to Sep 16, 2026
- Other offices · 1 to 0Jul 29, 2026 to Sep 16, 2026
- Related adviser · false to unsetJul 29, 2026 to Sep 16, 2026
- Related bank · false to unsetJul 29, 2026 to Sep 16, 2026
- Related broker-dealer · false to unsetJul 29, 2026 to Sep 16, 2026
- Related insurance company · false to unsetJul 29, 2026 to Sep 16, 2026
- Succession · false to unsetJul 29, 2026 to Sep 16, 2026
- Other offices · 0 to 1Mar 31, 2026 to Jul 29, 2026
- Accounts · 47 to 6Aug 15, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.8M to $4.1MAug 15, 2025 to Mar 31, 2026
- HNW RAUM · $3.8M to $4.2MAug 15, 2025 to Mar 31, 2026
- Individual RAUM · $169,233 to $193,718Aug 15, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $31.4M to $290,857Aug 15, 2025 to Mar 31, 2026
- RAUM · $35.2M to $4.4MAug 15, 2025 to Mar 31, 2026
- HQ city · NEW YORK to Jun 5, 2025 to Aug 15, 2025
- HQ state · NY to Jun 5, 2025 to Aug 15, 2025
- Financial planning clients · unset to Mar 31, 2025 to Jun 5, 2025
- Accounts · 9 to 47Mar 29, 2024 to Mar 31, 2025
- HNW clients · 5.0 to unsetMar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $7.7M to $3.8MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $7.7M to $3.8MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · unset to 169233.0Mar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $31.4MMar 29, 2024 to Mar 31, 2025
- RAUM · $7.7M to $35.2MMar 29, 2024 to Mar 31, 2025
- Accounts · 11 to 9Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $6.4M to $7.7MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $6.4M to $7.7MMar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $1.7M to $0Mar 30, 2023 to Mar 29, 2024
- RAUM · $8.1M to $7.7MMar 30, 2023 to Mar 29, 2024
- State-registered IARs · 0 to 1Mar 22, 2022 to Mar 30, 2023
- Discretionary RAUM · $6.6M to $6.4MMar 22, 2022 to Mar 30, 2023
- HNW RAUM · $6.6M to $6.4MMar 22, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $83,601 to $1.7MMar 22, 2022 to Mar 30, 2023
- RAUM · $6.6M to $8.1MMar 22, 2022 to Mar 30, 2023
- Accounts · 2 to 11Oct 27, 2021 to Mar 22, 2022
- HNW clients · unset to 5.0Oct 27, 2021 to Mar 22, 2022
- Discretionary RAUM · $1.2M to $6.6MOct 27, 2021 to Mar 22, 2022
- HNW RAUM · $1.2M to $6.6MOct 27, 2021 to Mar 22, 2022
Signals
1 dated events
- ••• LockedJul 16, 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
- Website
- c•••••••.comreportedpublic record, Form ADV, Sep 16, 2026
- Principal office phone
- 212-810-1187reportedpublic record, Form ADV, Sep 16, 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
- $4.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026