DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

A••••• A••••••• S••••••• L••

Independent wealth managerSEC-registered· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $66.6M of regulatory assets.

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

As of 2026-09-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $66.6M
Advisors: 0
RAUM change, 1 year: +430%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-09-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+429.8%
RAUM, one year
RAUM $12.6M to $66.6M (+429.8%) on the Form ADV filed 1 Sep 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 311782 · SEC 801-120032 · 13 filingsShow

CRD 311782SEC 801-120032First filing on the tape Nov 24, 2020, latest Sep 1, 2026SEC status approved since Jan 26, 2021IAPD

RAUM

$66.6M

reported, Item 5.F

Discretionary

71%

of RAUM

Private clients

100%

$66.6M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM +308% a year over three years · the tape starts Nov 24, 2020

Peer group: Independent wealth managers, under $100M, 707 firms

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

RAUM$66.6M as of Mar 11, 2026

Mar 31, 2022$0 then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 11, 2026

Mar 31, 20220 then

Employees (5.A)10 as of Mar 11, 2026

Mar 31, 20221 then

Private funds: no history

RAUM +430% over the last fiscal year+308% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Sep 1, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: unknownderivedHNW RAUM over HNW clients
Average account: $576derivedRAUM over accounts (5.F.2.f)
Discretionary: 71%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 office incl. principal (1.F.5)
RAUM growth, one year: +430%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: subscriptionreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Wrap fee program: $47.5MreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% individuals

The breakdown by client type, and the client counts1 client typesShow

Individuals$66.6M100%

Individual clients: 115,693reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 115,693reported
Financial planning clients: n/areported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: n/areported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; related broker-dealer not reported; related bank not reportedderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H•••••• E•• · President, Board Membercontrol
since 06/2020 · owns 25% to 50%
L••••••• A••• · Ceo And Ccocontrol
since 06/2020 · owns 25% to 50%

Ownership changes

1 Schedule A change between consecutive filings, latest first

Removed N•••• A•••••• · Member, Board of Directors control
filing of Feb 7, 2024, against Mar 6, 2023 · owns 25 to 50%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

account count surgeChange between filings · filing Mar 11, 2026
accounts (Item 5.F.2.f) moved from 35,075.0 to 115,693.0 (+230.0%) between the annual amendments of 2025-02-25 and 2026-03-11; the peer median change was +2.0% (132 comparable advisers, 97.0th percentile of changes)
peers: independent wealth managers, under $100M (132) · 97% percentile
discretionary share shiftChange between filings · filing Mar 11, 2026
discretionary share of RAUM moved from 42.0% to 71.0% between the annual amendments of 2025-02-25 and 2026-03-11
peers: independent wealth managers, under $100M (707)

How anomalies are measured

What changed

consecutive filings, newest first

Financial planning clients · to unset
Mar 11, 2026 to Sep 1, 2026
Related adviser · false to unset
Mar 11, 2026 to Sep 1, 2026
Related bank · false to unset
Mar 11, 2026 to Sep 1, 2026
Related broker-dealer · false to unset
Mar 11, 2026 to Sep 1, 2026
Related insurance company · false to unset
Mar 11, 2026 to Sep 1, 2026

Full history · 41 changes

Succession · false to unset
Mar 11, 2026 to Sep 1, 2026
Accounts · 35,075 to 115,693
Feb 25, 2025 to Mar 11, 2026
Advisory activities · 2 to 1
Feb 25, 2025 to Mar 11, 2026
Business name · A••••• I•••••• I••• to A••••• A••••••• S••••••• L••
Feb 25, 2025 to Mar 11, 2026
Individual clients · 35,075 to 115,693
Feb 25, 2025 to Mar 11, 2026
Employees · 1 to 10
Feb 25, 2025 to Mar 11, 2026
HQ city · to NEW YORK
Feb 25, 2025 to Mar 11, 2026
HQ state · to NY
Feb 25, 2025 to Mar 11, 2026
Legal name · A••••• I•••••• I••• to A••••• A••••••• S••••••• L••
Feb 25, 2025 to Mar 11, 2026
Organization form · Corporation to Limited Liability Company
Feb 25, 2025 to Mar 11, 2026
Discretionary RAUM · $5.2M to $47.5M
Feb 25, 2025 to Mar 11, 2026
Individual RAUM · $12.6M to $66.6M
Feb 25, 2025 to Mar 11, 2026
Non-discretionary RAUM · $7.3M to $19.1M
Feb 25, 2025 to Mar 11, 2026
RAUM · $12.6M to $66.6M
Feb 25, 2025 to Mar 11, 2026
Wrap assets (manager) · unset to 0.0
Feb 25, 2025 to Mar 11, 2026
Wrap assets (sponsor) · unset to 0.0
Feb 25, 2025 to Mar 11, 2026
Accounts · 8,164 to 35,075
Feb 7, 2024 to Feb 25, 2025
Individual clients · 8,164 to 35,075
Feb 7, 2024 to Feb 25, 2025
Financial planning clients · unset to
Feb 7, 2024 to Feb 25, 2025
HQ city · unset to
Feb 7, 2024 to Feb 25, 2025
HQ state · unset to
Feb 7, 2024 to Feb 25, 2025
Discretionary RAUM · $977,940 to $5.2M
Feb 7, 2024 to Feb 25, 2025
Individual RAUM · $2.8M to $12.6M
Feb 7, 2024 to Feb 25, 2025
Non-discretionary RAUM · $1.8M to $7.3M
Feb 7, 2024 to Feb 25, 2025
RAUM · $2.8M to $12.6M
Feb 7, 2024 to Feb 25, 2025
Accounts · 3,080 to 8,164
Mar 6, 2023 to Feb 7, 2024
Individual clients · 3,080 to 8,164
Mar 6, 2023 to Feb 7, 2024
Discretionary RAUM · $0 to $977,940
Mar 6, 2023 to Feb 7, 2024
Individual RAUM · $980,000 to $2.8M
Mar 6, 2023 to Feb 7, 2024
Non-discretionary RAUM · $980,000 to $1.8M
Mar 6, 2023 to Feb 7, 2024
RAUM · $980,000 to $2.8M
Mar 6, 2023 to Feb 7, 2024
Accounts · 0 to 3,080
Mar 31, 2022 to Feb 27, 2023
Individual clients · unset to 3080.0
Mar 31, 2022 to Feb 27, 2023
Individual RAUM · unset to 980000.0
Mar 31, 2022 to Feb 27, 2023
Non-discretionary RAUM · $0 to $980,000
Mar 31, 2022 to Feb 27, 2023
RAUM · $0 to $980,000
Mar 31, 2022 to Feb 27, 2023

Signals

6 dated events

••• Locked
Sep 1, 2026 · ria principal change · fact
••• Locked
Sep 1, 2026 · ria majority owner change · fact
••• Locked
Sep 1, 2026 · ria ownership band change · fact
••• Locked
Sep 1, 2026 · ria ownership band change · fact
••• Locked
Feb 7, 2024 · Control person left · inference

Full timeline · 6 events

••• Locked
Nov 24, 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), Facebook (1), X (Twitter) (1), Instagram (1), Blog (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 16, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Sep 1, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 1, 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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.