DFX Intelligence

RIA Intelligence

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SEC-registered adviser

T•• P•••••• W••••• M••••••••• L••

Independent wealth managerCRD 310464SEC 801-119416IAPD
Latest filing Mar 11, 2026
First filing on the tape Aug 8, 2020 · 13 filings
SEC status approved since Sep 8, 2020
RAUM
$119M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
100%
$119M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
13 filings and snapshots on the tape
RAUM$119M as of Mar 11, 2026
Mar 4, 2021$46.0M then
HNW client RAUM$119M as of Mar 11, 2026
Mar 4, 2021$46.0M then
State-registered IARs (5.B.3)0 as of Mar 11, 2026
Mar 4, 20210 then
Employees (5.A)1 as of Mar 11, 2026
Mar 4, 20211 then
Private funds: no history
RAUM +13% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
  • uhnw p•••••• wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
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
$10.8MderivedHNW RAUM over HNW clients
Average account
$5.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
92%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
+13%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, selection of other advisersreportedItem 5.G
Wrap fee program
$109MreportedItem 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
  • 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$119M100%
Individual clients
n/areported
HNW clients
11reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
22reported
Financial planning clients
reported
Wrap fee programs
$109M sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • N••••• T••••••• C•••••• · Principal And Chief Compliance Officercontrol
        since 08/2020 · 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
      • Discretionary RAUM · $95.4M to $109M
        Feb 28, 2025 to Mar 11, 2026
      • HNW RAUM · $105M to $119M
        Feb 28, 2025 to Mar 11, 2026
      • Non-discretionary RAUM · $9.7M to $10.0M
        Feb 28, 2025 to Mar 11, 2026
      • RAUM · $105M to $119M
        Feb 28, 2025 to Mar 11, 2026
      • Wrap assets (sponsor) · $49.5M to $109M
        Feb 28, 2025 to Mar 11, 2026
      • Financial planning clients · unset to
        Mar 7, 2024 to Feb 28, 2025
      • HQ city · unset to
        Mar 7, 2024 to Feb 28, 2025
      • HQ state · unset to
        Mar 7, 2024 to Feb 28, 2025
      • Discretionary RAUM · $94.0M to $95.4M
        Mar 7, 2024 to Feb 28, 2025
      • HNW RAUM · $103M to $105M
        Mar 7, 2024 to Feb 28, 2025
      • Non-discretionary RAUM · $9.2M to $9.7M
        Mar 7, 2024 to Feb 28, 2025
      • RAUM · $103M to $105M
        Mar 7, 2024 to Feb 28, 2025
      • Discretionary RAUM · $73.9M to $94.0M
        Feb 2, 2023 to Mar 7, 2024
      • HNW RAUM · $80.0M to $103M
        Feb 2, 2023 to Mar 7, 2024
      • Non-discretionary RAUM · $6.1M to $9.2M
        Feb 2, 2023 to Mar 7, 2024
      • RAUM · $80.0M to $103M
        Feb 2, 2023 to Mar 7, 2024
      • Accounts · 8 to 22
        Feb 9, 2022 to Feb 2, 2023
      • HNW clients · unset to 11.0
        Feb 9, 2022 to Feb 2, 2023
      • Discretionary RAUM · $53.1M to $73.9M
        Feb 9, 2022 to Feb 2, 2023
      • HNW RAUM · $56.6M to $80.0M
        Feb 9, 2022 to Feb 2, 2023
      • Non-discretionary RAUM · $3.5M to $6.1M
        Feb 9, 2022 to Feb 2, 2023
      • RAUM · $56.6M to $80.0M
        Feb 9, 2022 to Feb 2, 2023
      • Accounts · 6 to 8
        Sep 29, 2021 to Feb 9, 2022
      • Discretionary RAUM · $46.0M to $53.1M
        Sep 29, 2021 to Feb 9, 2022
      • HNW RAUM · $46.0M to $56.6M
        Sep 29, 2021 to Feb 9, 2022
      • Non-discretionary RAUM · $0 to $3.5M
        Sep 29, 2021 to Feb 9, 2022
      • RAUM · $46.0M to $56.6M
        Sep 29, 2021 to Feb 9, 2022
      • Wrap assets (sponsor) · $0 to $49.5M
        Mar 4, 2021 to Sep 1, 2021
      • Accounts · 0 to 6
        Nov 13, 2020 to Jan 4, 2021
      • Discretionary RAUM · $0 to $46.0M
        Nov 13, 2020 to Jan 4, 2021
      • HNW RAUM · unset to 45983657.0
        Nov 13, 2020 to Jan 4, 2021
      • RAUM · $0 to $46.0M
        Nov 13, 2020 to Jan 4, 2021
      • Wrap assets (manager) · unset to 0.0
        Aug 13, 2020 to Nov 13, 2020
      • Wrap assets (sponsor) · unset to 0.0
        Aug 13, 2020 to Nov 13, 2020
      • Business name · N•••• W••••• M••••••••• to T•• P•••••• W••••• M••••••••• L••
        Aug 8, 2020 to Aug 13, 2020
      • Legal name · N•••• W••••• M••••••••• to T•• P•••••• W••••• M••••••••• L••
        Aug 8, 2020 to Aug 13, 2020
      Signals
      1 dated events
      • ••• Locked
        Aug 8, 2020 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Principal office phone
      (917) 494-9304reportedpublic record, Form ADV, Mar 11, 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