DFX Intelligence

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M••••• A•••• M••••••••• L•

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $153M of regulatory assets across 2 registered advisors.

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

As of 2026-09-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $153M
Advisors: 2
Net advisor flow, 12 months: +1
RAUM change, 1 year: +27%
Private clients: 79%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-09-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+26.7%
RAUM, one year
RAUM $120M to $153M (+26.7%) on the Form ADV filed 2 Sep 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 311719 · SEC 801-119940 · 16 filingsShow

CRD 311719SEC 801-119940First filing on the tape Nov 6, 2020, latest Sep 2, 2026SEC status approved since Dec 4, 2020IAPD

RAUM

$153M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

79%

$121M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$76.3M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM +24% a year over three years · the tape starts Nov 6, 2020

Peer group: Independent wealth managers, $100M to $500M, 5,683 firms

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

RAUM$153M as of Mar 30, 2026

Mar 31, 2021$35.7M then

HNW client RAUM$101M as of Mar 30, 2026

Mar 31, 2021$25.6M then

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Mar 31, 20210 then

Employees (5.A)3 as of Mar 30, 2026

Mar 31, 20212 then

Private funds2 as of Mar 30, 2026

Mar 25, 20221 then

RAUM +27% over the last fiscal year+24% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Sep 2, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control

RAUM per advisor: $76.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 206derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $360,065derivedHNW RAUM over HNW clients
Average account: $369,277derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 1.0derived2 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: +12%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

66% high-net-worth individuals, 21% pooled investment vehicles, and 1 other client type

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

High-net-worth individuals$101M66%
Pooled investment vehicles$31.9M21%
Individuals$19.4M13%

Individual clients: 131reported
HNW clients: 281reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 413reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 79% private clients, 21% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

1 left over 36 months

0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount

Where they went: the top destinations among the 1 most recent departures on the tape

T••••••• W••••• M••••••••• L••1 advisor

Left, latest

W•••••• C•••••• T••••••• to T••••••• W••••• M••••••••• L••
Jul 18, 2025 · RIA to a state-registered adviser

Joined, latest

G••••• K•••• A••••••• from P•••• C•••••• M••••••••• L••
Sep 23, 2026 · RIA to RIA

Every departure Every arrival

Advisors registered through the firm

3 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
M•••••• K•••••	Rye, Ny	Aug 30, 2021	13 y	0
D•••• M• M••••	Rye, Ny	Dec 1, 2021	17 y	0
G••••• K•••• A•••••••	New York, Ny	Sep 23, 2026	10 y	1

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
M••••• V••••••• F••• L•	Hedge Fund	$31.9M	70	Sep 2, 2026
M••••• A•••• F••• L•	Hedge Fund	$7.7M	18	Mar 25, 2022

Owners and control persons

Schedule A and B, latest filing

K•••••• M••••••• K••• · Managing Director & Ccocontrol
since 10/2020 · owns 25% to 50%
M••••• D•••• · Managing Directorcontrol
since 10/2020 · owns 25% to 50%
K•••••• M••••••• K••• · Managing Partnercontrol
since 11/2019 · owns 50% to 75% of M••••• A•••• M••••••••• G•• L••
M••••• D•••• · Managing Partnercontrol
since 11/2019 · owns 50% to 75% of M••••• A•••• M••••••••• G•• L••

Entity owners

M••••• A•••• M••••••••• G•• L•• · General Partner
direct · owns less than 5%

Ownership changes

Schedule A, between consecutive filings

No owner or control person joined or left between filings on the tape.

Who runs the funds

related persons named most often on the Form D filings of the firm's funds; 4 fund-person rows in all

Name	Where	Funds	Filings	Named
D•••• M••••executive officer	Rye, NY	1	3	Nov 2, 2021 to Nov 2, 2023
M••••• A•••• M••••••••• G•• L••entityexecutive officer	Rye, NY	1	3	Nov 2, 2021 to Nov 2, 2023
M••••• A•••• M••••••••• L•entityexecutive officer	Rye, NY	1	3	Nov 2, 2021 to Nov 2, 2023
M•••••• K•••••executive officer	Rye, NY	1	3	Nov 2, 2021 to Nov 2, 2023

SEC Form D, item 3 (related persons: executive officers, directors and promoters of the issuer), every amendment on EDGAR. A name links to its IAPD record only when it matches exactly one Schedule A owner of the same adviser (2 of 4 here); every other name is as filed and is not joined to anyone.

Related persons

Schedule D 7.A

M••••• A•••• F••• G• L••
pooled vehicle sponsorn

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Rye, Ny	3	1	0
Arnold, Md	0	0	0

Offices

Schedule D 1.F, the 25 largest

, 1 employee

ADV anomalies

1 against comparable advisers; where to look, not conclusions

HNW share shiftChange between filings · filing Mar 30, 2026
HNW share of RAUM moved from 83.0% to 66.0% between the annual amendments of 2025-03-27 and 2026-03-30
peers: independent wealth managers, $100M to $500M (5,683)

How anomalies are measured

What changed

consecutive filings, newest first

Financial planning clients · to unset
Mar 30, 2026 to Sep 2, 2026
HQ city · to unset
Mar 30, 2026 to Sep 2, 2026
HQ state · to unset
Mar 30, 2026 to Sep 2, 2026
Private funds · 2 to unset
Mar 30, 2026 to Sep 2, 2026
Succession · false to unset
Mar 30, 2026 to Sep 2, 2026

Full history · 60 changes

Accounts · 370 to 413
Aug 27, 2025 to Mar 30, 2026
HNW clients · 243 to 281
Aug 27, 2025 to Mar 30, 2026
Individual clients · 126 to 131
Aug 27, 2025 to Mar 30, 2026
Employees · 2 to 3
Aug 27, 2025 to Mar 30, 2026
Private funds · 1 to 2
Aug 27, 2025 to Mar 30, 2026
Discretionary RAUM · $120M to $153M
Aug 27, 2025 to Mar 30, 2026
HNW RAUM · $99.6M to $101M
Aug 27, 2025 to Mar 30, 2026
Individual RAUM · $13.0M to $19.4M
Aug 27, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $7.7M to $31.9M
Aug 27, 2025 to Mar 30, 2026
RAUM · $120M to $153M
Aug 27, 2025 to Mar 30, 2026
Accounts · 262 to 370
Mar 26, 2024 to Mar 27, 2025
HNW clients · 141 to 243
Mar 26, 2024 to Mar 27, 2025
Individual clients · 120 to 126
Mar 26, 2024 to Mar 27, 2025
Financial planning clients · unset to
Mar 26, 2024 to Mar 27, 2025
HQ city · unset to
Mar 26, 2024 to Mar 27, 2025
HQ state · unset to
Mar 26, 2024 to Mar 27, 2025
Discretionary RAUM · $96.2M to $120M
Mar 26, 2024 to Mar 27, 2025
HNW RAUM · $71.6M to $99.6M
Mar 26, 2024 to Mar 27, 2025
Individual RAUM · $7.7M to $13.0M
Mar 26, 2024 to Mar 27, 2025
Pooled vehicle RAUM · $16.9M to $7.7M
Mar 26, 2024 to Mar 27, 2025
RAUM · $96.2M to $120M
Mar 26, 2024 to Mar 27, 2025
Accounts · 197 to 262
Jun 27, 2023 to Mar 26, 2024
HNW clients · 159 to 141
Jun 27, 2023 to Mar 26, 2024
Individual clients · 37 to 120
Jun 27, 2023 to Mar 26, 2024
Discretionary RAUM · $80.3M to $96.2M
Jun 27, 2023 to Mar 26, 2024
HNW RAUM · $69.5M to $71.6M
Jun 27, 2023 to Mar 26, 2024
Individual RAUM · $3.8M to $7.7M
Jun 27, 2023 to Mar 26, 2024
Pooled vehicle RAUM · $7.0M to $16.9M
Jun 27, 2023 to Mar 26, 2024
RAUM · $80.3M to $96.2M
Jun 27, 2023 to Mar 26, 2024
Accounts · 66 to 197
Jan 3, 2023 to Mar 28, 2023
HNW clients · 49 to 159
Jan 3, 2023 to Mar 28, 2023
Individual clients · 16 to 37
Jan 3, 2023 to Mar 28, 2023
Discretionary RAUM · $57.9M to $80.3M
Jan 3, 2023 to Mar 28, 2023
HNW RAUM · $38.4M to $69.5M
Jan 3, 2023 to Mar 28, 2023
Individual RAUM · $6.9M to $3.8M
Jan 3, 2023 to Mar 28, 2023
Pooled vehicle RAUM · $12.6M to $7.0M
Jan 3, 2023 to Mar 28, 2023
RAUM · $57.9M to $80.3M
Jan 3, 2023 to Mar 28, 2023
Accounts · 48 to 66
Nov 30, 2021 to Mar 25, 2022
Advisory activities · 2 to 3
Nov 30, 2021 to Mar 25, 2022
HNW clients · 28 to 49
Nov 30, 2021 to Mar 25, 2022
Individual clients · 20 to 16
Nov 30, 2021 to Mar 25, 2022
Pooled vehicle clients · unset to 1.0
Nov 30, 2021 to Mar 25, 2022
Private funds · unset to 1
Nov 30, 2021 to Mar 25, 2022
Discretionary RAUM · $35.7M to $57.9M
Nov 30, 2021 to Mar 25, 2022
HNW RAUM · $25.6M to $38.4M
Nov 30, 2021 to Mar 25, 2022
Individual RAUM · $10.1M to $6.9M
Nov 30, 2021 to Mar 25, 2022
Pooled vehicle RAUM · unset to 12588614.0
Nov 30, 2021 to Mar 25, 2022
RAUM · $35.7M to $57.9M
Nov 30, 2021 to Mar 25, 2022
Accounts · 0 to 48
Mar 25, 2021 to Mar 31, 2021
HNW clients · unset to 28.0
Mar 25, 2021 to Mar 31, 2021
Individual clients · unset to 20.0
Mar 25, 2021 to Mar 31, 2021
Discretionary RAUM · $0 to $35.7M
Mar 25, 2021 to Mar 31, 2021
HNW RAUM · unset to 25635339.0
Mar 25, 2021 to Mar 31, 2021
Individual RAUM · unset to 10059915.0
Mar 25, 2021 to Mar 31, 2021
RAUM · $0 to $35.7M
Mar 25, 2021 to Mar 31, 2021

Signals

5 dated events

••• Locked
Sep 23, 2026 · Advisor registered · fact
••• Locked
Sep 2, 2026 · private fund first reported · fact
••• Locked
Sep 2, 2026 · ria principal change · fact
••• Locked
Jul 18, 2025 · Advisor changed firm · fact
••• Locked
Nov 6, 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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (1), LinkedIn company page (1) · the addresses open with an account

How to reach

public business contact points only, each with its source

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Sep 2, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 2, 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: $76.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026