DFX Intelligence
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M••• W•••••
Independent wealth manager, reporting $65.0M of regulatory assets across 1 registered advisors.
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
- $65.0M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +26%
- Private clients
- 100% of RAUM, $65.0M
Form ADV
IAPD
IAPD registration history
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 $51.4MRAUM now $65.0M
- Contact points 2
Every filed figure, and the identifiersCRD 311475 · SEC 801-120070 · 21 filingsShowHide
CRD 311475SEC 801-120070Legal name M••• A••••••• L••First filing on the tape Dec 1, 2020, latest Jan 4, 2026SEC status approved since Jan 4, 2021IAPD
RAUM
$65.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$65.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$65.0M
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
21 filings and snapshots on the tape
RAUM$65.0M as of Jan 4, 2026
Jan 31, 2022$25.7M then
HNW client RAUM$60.5M as of Jan 4, 2026
Jan 31, 2022$12.6M then
State-registered IARs (5.B.3)1 as of Jan 4, 2026
Jan 31, 20221 then
Employees (5.A)1 as of Jan 4, 2026
Jan 31, 20221 then
Private funds: no history
RAUM +26% over the last fiscal year+37% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 4, 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
- $65.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $257,848derivedRAUM 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 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$60.5M93%
- Individuals$4.5M6.9%
- Individual clients
- 27reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 252reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• S•••• V••••Certified Financial Planner | New York, Ny | Jan 12, 2021 | 10 y | 1 |
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
- S•••• S•••• V•••• from M••• C•••••• L••Jan 12, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V••••• S••••• S•••• · President, Manager, Ccocontrolsince 02/2020 · owns less than 5%
- V••••• S••••• S•••• · Shareholdercontrolsince 02/2020 · owns 75% or more of M••• I•••
Entity owners
- M••• I••• · Corporate Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- M••• T••• L••insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 268 to 252Nov 24, 2025 to Jan 4, 2026
- HNW clients · 38 to 32Nov 24, 2025 to Jan 4, 2026
- Individual clients · 26 to 27Nov 24, 2025 to Jan 4, 2026
- Discretionary RAUM · $51.4M to $65.0MNov 24, 2025 to Jan 4, 2026
- HNW RAUM · $45.6M to $60.5MNov 24, 2025 to Jan 4, 2026
- Individual RAUM · $5.9M to $4.5MNov 24, 2025 to Jan 4, 2026
- RAUM · $51.4M to $65.0MNov 24, 2025 to Jan 4, 2026
- Accounts · 236 to 268Oct 16, 2024 to Jan 8, 2025
- HNW clients · 41 to 38Oct 16, 2024 to Jan 8, 2025
- Individual clients · 23 to 26Oct 16, 2024 to Jan 8, 2025
- Financial planning clients · 26-50 to 51-100Oct 16, 2024 to Jan 8, 2025
- HQ city · unset to Oct 16, 2024 to Jan 8, 2025
- HQ state · unset to Oct 16, 2024 to Jan 8, 2025
- Discretionary RAUM · $39.3M to $51.4MOct 16, 2024 to Jan 8, 2025
- HNW RAUM · $34.9M to $45.6MOct 16, 2024 to Jan 8, 2025
- Individual RAUM · $4.4M to $5.9MOct 16, 2024 to Jan 8, 2025
- RAUM · $39.3M to $51.4MOct 16, 2024 to Jan 8, 2025
- Accounts · 261 to 236Jul 14, 2023 to Jan 3, 2024
- HNW clients · 35 to 41Jul 14, 2023 to Jan 3, 2024
- Individual clients · 20 to 23Jul 14, 2023 to Jan 3, 2024
- Financial planning clients · 51-100 to 26-50Jul 14, 2023 to Jan 3, 2024
- Discretionary RAUM · $25.0M to $39.3MJul 14, 2023 to Jan 3, 2024
- HNW RAUM · $20.4M to $34.9MJul 14, 2023 to Jan 3, 2024
- Individual RAUM · $4.6M to $4.4MJul 14, 2023 to Jan 3, 2024
- RAUM · $25.0M to $39.3MJul 14, 2023 to Jan 3, 2024
- Related adviser · true to falseJul 14, 2023 to Jan 3, 2024
- Accounts · 258 to 261Aug 1, 2022 to Jan 3, 2023
- HNW clients · 29 to 35Aug 1, 2022 to Jan 3, 2023
- Individual clients · 75 to 20Aug 1, 2022 to Jan 3, 2023
- Financial planning clients · 101-250 to 51-100Aug 1, 2022 to Jan 3, 2023
- Discretionary RAUM · $25.7M to $25.0MAug 1, 2022 to Jan 3, 2023
- HNW RAUM · $12.6M to $20.4MAug 1, 2022 to Jan 3, 2023
- Individual RAUM · $9.9M to $4.6MAug 1, 2022 to Jan 3, 2023
- RAUM · $25.7M to $25.0MAug 1, 2022 to Jan 3, 2023
- Accounts · 250 to 258Jan 24, 2022 to Jan 31, 2022
- HNW clients · 10 to 29Jan 24, 2022 to Jan 31, 2022
- Individual clients · 150 to 75Jan 24, 2022 to Jan 31, 2022
- Discretionary RAUM · $25.0M to $25.7MJan 24, 2022 to Jan 31, 2022
- HNW RAUM · $10.0M to $12.6MJan 24, 2022 to Jan 31, 2022
- Individual RAUM · $15.0M to $9.9MJan 24, 2022 to Jan 31, 2022
Signals
1 dated events
- ••• LockedDec 1, 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
- ••• Lockedreportedpublic record, Form ADV, Jan 4, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jan 4, 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
- $65.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026