DFX Intelligence

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A•••• P••••••• L••

Independent wealth managerSEC-registered· Plainview, New Yorkwebsite

Independent wealth manager, based in Plainview, New York, reporting $40.5M of regulatory assets across 2 registered advisors.

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

As of 2026-07-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $40.5M
Advisors: 2
Net advisor flow, 12 months: 0
Private clients: 100%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-07-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 313006 · SEC 801-136972 · 1 filingShow

CRD 313006SEC 801-136972First filing on the tape Jul 16, 2026, latest Jul 16, 2026SEC status approved since Aug 5, 2026IAPD

RAUM

$40.5M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$40.5M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$20.2M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

1 filing and snapshots on the tape

Filed figures over time · the tape starts Jul 16, 2026

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

RAUM: $40.5M

HNW client RAUM: $34.4M

State-registered IARs (5.B.3): 2

Employees (5.A): 3

Private funds: no history

Practice profile

derived from the filing of Jul 16, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $20.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 17derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.3MderivedHNW RAUM over HNW clients
Average account: $464,961derivedRAUM 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: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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

85% high-net-worth individuals, 15% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$34.4M85%
Individuals$6.0M15%

Individual clients: 19reported
HNW clients: 15reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 87reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

E••• D•••• D•••••••• from S••••••••• R•••••••• I••• O• F••••••
Mar 26, 2024 · Other
H•••• A•••• from A••••••••• F•••••••• S•••••••• L••
Feb 7, 2022 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
H•••• A••••	Plainview, Ny	Feb 7, 2022	17 y	2
E••• D•••• D••••••••	Plainview, Ny	Mar 26, 2024	20 y	3

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A••••• H•••• · President And Managing Membercontrol
since 02/2015 · owns 75% or more
D••••••••• E•••• D•••• · Vice President And Chief Compliance Officercontrol
since 06/2025 · owns less than 5%

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.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Plainview, Ny · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

One filing, no change to show.

Signals

No event on the tape.

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

Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jul 16, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 16, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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: $20.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: RAUM change, 1 year.