DFX Intelligence
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P•••••• M••••••••• L••
Independent wealth managerSEC-registered· New York, New York
Independent wealth manager, based in New York, New York, reporting $22.3M of regulatory assets across 2 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
- $22.3M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- -29%
- Private clients
- 87% of RAUM, $19.4M
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 $31.4MRAUM now $22.3M
- Contact points 1
Every filed figure, and the identifiersCRD 314627 · SEC 801-129974 · 10 filingsShowHide
CRD 314627SEC 801-129974First filing on the tape Mar 22, 2024, latest Sep 18, 2026SEC status approved since Apr 18, 2024IAPD
RAUM
$22.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$19.4M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$11.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$22.6M as of Aug 24, 2026
Mar 20, 2025$31.4M then
HNW client RAUM$10.2M as of Aug 24, 2026
Mar 20, 2025$9.1M then
State-registered IARs (5.B.3)2 as of Aug 24, 2026
Mar 20, 20252 then
Employees (5.A)2 as of Aug 24, 2026
Mar 20, 20252 then
Private funds: no history
RAUM -29% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Sep 18, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $11.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $192,663derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 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
- Individuals$12.8M57%
- High-net-worth individuals$6.6M30%
- Corporations and businesses$1.5M6.7%
- Pension and profit-sharing plans$1.5M6.6%
- Individual clients
- 105reported
- HNW clients
- 4reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 116reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.07 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• J•••••• | New York, Ny | Jun 5, 2021 | 15 y | 0 |
| D••••• B••• | New York, Ny | Jan 8, 2025 | 11 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• A•••• · Principal And Chief Compliance Officercontrolsince 03/2021 · owns 75% or more
- C••••••••• C•••••••• · Ownersince 04/2021 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 361 to 116Aug 24, 2026 to Sep 18, 2026
- Corporate clients · 5 to 6Aug 24, 2026 to Sep 18, 2026
- HNW clients · 13 to 4Aug 24, 2026 to Sep 18, 2026
- Individual clients · 153 to 105Aug 24, 2026 to Sep 18, 2026
- Pension plan clients · unset to 1.0Aug 24, 2026 to Sep 18, 2026
- Financial planning clients · to unsetAug 24, 2026 to Sep 18, 2026
- Discretionary RAUM · $22.6M to $22.3MAug 24, 2026 to Sep 18, 2026
- HNW RAUM · $10.2M to $6.6MAug 24, 2026 to Sep 18, 2026
- Individual RAUM · $10.6M to $12.8MAug 24, 2026 to Sep 18, 2026
- Pension RAUM · unset to 1473557.0Aug 24, 2026 to Sep 18, 2026
- RAUM · $22.6M to $22.3MAug 24, 2026 to Sep 18, 2026
- Related adviser · false to unsetAug 24, 2026 to Sep 18, 2026
- Related bank · false to unsetAug 24, 2026 to Sep 18, 2026
- Related broker-dealer · false to unsetAug 24, 2026 to Sep 18, 2026
- Related insurance company · false to unsetAug 24, 2026 to Sep 18, 2026
- Succession · false to unsetAug 24, 2026 to Sep 18, 2026
- Advisory activities · 1 to 2Jun 26, 2026 to Jul 22, 2026
- Assets in custody · 22565992.0 to unsetJun 26, 2026 to Jul 22, 2026
- Custody of client assets · true to falseJun 26, 2026 to Jul 22, 2026
- Assets in custody · unset to 22565992.0Mar 31, 2026 to Jun 26, 2026
- Custody of client assets · false to trueMar 31, 2026 to Jun 26, 2026
- Accounts · 174 to 361Mar 20, 2025 to Mar 31, 2026
- Corporate clients · 7 to 5Mar 20, 2025 to Mar 31, 2026
- HNW clients · 6 to 13Mar 20, 2025 to Mar 31, 2026
- Individual clients · 160 to 153Mar 20, 2025 to Mar 31, 2026
- Discretionary RAUM · $31.4M to $22.6MMar 20, 2025 to Mar 31, 2026
- HNW RAUM · $9.1M to $10.2MMar 20, 2025 to Mar 31, 2026
- Individual RAUM · $16.6M to $10.6MMar 20, 2025 to Mar 31, 2026
- Pension RAUM · 1511120.0 to unsetMar 20, 2025 to Mar 31, 2026
- RAUM · $31.4M to $22.6MMar 20, 2025 to Mar 31, 2026
- Accounts · 133 to 174Oct 9, 2024 to Mar 20, 2025
- Advisory employees · 1 to 2Oct 9, 2024 to Mar 20, 2025
- Corporate clients · 8 to 7Oct 9, 2024 to Mar 20, 2025
- HNW clients · 120 to 6Oct 9, 2024 to Mar 20, 2025
- Individual clients · 5 to 160Oct 9, 2024 to Mar 20, 2025
- Financial planning clients · unset to Oct 9, 2024 to Mar 20, 2025
- State-registered IARs · 1 to 2Oct 9, 2024 to Mar 20, 2025
- Discretionary RAUM · $25.7M to $31.4MOct 9, 2024 to Mar 20, 2025
- HNW RAUM · $11.7M to $9.1MOct 9, 2024 to Mar 20, 2025
- Individual RAUM · $8.8M to $16.6MOct 9, 2024 to Mar 20, 2025
Signals
1 dated events
- ••• LockedMar 22, 2024 · 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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Sep 18, 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
- $11.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026