DFX Intelligence

RIA Intelligence

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SEC-registered adviser

B•••••• H••• W••••• M••••••••• L••

Independent wealth managerCRD 315778SEC 801-135868websiteIAPD
Latest filing Jun 9, 2026
First filing on the tape Mar 16, 2026 · 2 filings
SEC status approved since Apr 16, 2026
RAUM
$48.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$48.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$48.4M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$48.4M as of Jun 9, 2026
Mar 16, 2026$48.4M then
HNW client RAUM$44.7M as of Jun 9, 2026
Mar 16, 2026$44.7M then
State-registered IARs (5.B.3)1 as of Jun 9, 2026
Mar 16, 20261 then
Employees (5.A)1 as of Jun 9, 2026
Mar 16, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 9, 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
$48.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
19derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.5MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM 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
0.5derived2 offices 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 assetsreportedItem 5.E
Advisory activities
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$44.7M92%
  • Individuals$3.7M7.7%
Individual clients
9reported
HNW clients
10reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
35reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
NameBranchHere sinceIn industryPrior firms
S••• J••••• W•••••Katonah, NySep 16, 202140 y0
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • W•••••• S•••• J••••• · Member & Chief Compliance Officercontrol
        since 06/2021 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      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
      Website
      b•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      914-582-0839reportedpublic record, Form ADV, Jun 9, 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
      $48.4Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026