DFX Intelligence

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R•••••• C•••••• M••••••••• L••

Independent wealth managerSEC-registered2 private fundswebsite

Independent wealth manager, reporting $23.6M of regulatory assets across 1 registered advisors.

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

As of 2026-03-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $23.6M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: -24%
Private clients: 51%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 25 Mar 2026, RAUM $31.3M to $23.6M (-24.5%) on the Form ADV filed 25 Mar 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 317579 · SEC 801-122988 · 7 filingsShow

CRD 317579SEC 801-122988First filing on the tape Dec 3, 2021, latest Mar 25, 2026SEC status approved since Jan 3, 2022IAPD

RAUM

$23.6M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

51%

$12.0M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$23.6M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

7 filings and snapshots on the tape

RAUM -3.5% a year over three years · the tape starts Dec 3, 2021

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

RAUM$23.6M as of Mar 25, 2026

Mar 27, 2023$26.3M then

HNW client RAUM$12.0M as of Mar 25, 2026

Mar 27, 2023$4.2M then

State-registered IARs (5.B.3)1 as of Mar 25, 2026

Mar 27, 20231 then

Employees (5.A)1 as of Mar 25, 2026

Mar 27, 20231 then

Private funds2 as of Mar 25, 2026

Mar 27, 20232 then

RAUM -24% over the last fiscal year-3.5% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 25, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
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: $23.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $6.0MderivedHNW RAUM over HNW clients
Average account: $5.9MderivedRAUM 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: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: -24%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $16.5M, 2 clientsreportedItem 9.A
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

51% high-net-worth individuals, 49% pooled investment vehicles

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

High-net-worth individuals$12.0M51%
Pooled investment vehicles$11.6M49%

Individual clients: n/areported
HNW clients: 2reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $16.5M for 2 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 51% private clients, 49% 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

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
C•••• T••• B•••• C•••	Arverne, Ny	Apr 11, 2022	13 y	0

Private funds

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

Fund	Type	Gross assets	Owners	First reported
R•••••• R••• A•••• O••••••••• F••• I• L•no longer reported	Hedge Fund	$8.8M	9	Mar 31, 2022
R•••••• P•••••••• L•••	Hedge Fund	$6.8M	19	Mar 31, 2022
R•••••• H••• A•••• O••••••••• F••• L•	Hedge Fund	$4.8M	11	Mar 25, 2024

Owners and control persons

Schedule A and B, latest filing

C•••• C•••• T••• · Member And Ccocontrol
since 11/2021 · owns 75% or more

Who runs the funds

related persons named most often on the Form D filings of the firm's funds; 9 fund-person rows in all

Name	Where	Funds	Filings	Named
C•••• T••• B••• C•••executive officer	Corona, NY	3	19	Nov 13, 2020 to Apr 10, 2026
R•••••• H•••••••• L••entitydirector	New York, NY	3	19	Nov 13, 2020 to Apr 10, 2026
R•••••• M••••••••• L•entitydirector	New York, NY	3	19	Nov 13, 2020 to Apr 10, 2026

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 (1 of 3 here); every other name is as filed and is not joined to anyone.

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

Accounts · 5 to 4
Mar 26, 2025 to Mar 25, 2026
Pooled vehicle clients · 3 to 2
Mar 26, 2025 to Mar 25, 2026
Private funds · 3 to 2
Mar 26, 2025 to Mar 25, 2026
Discretionary RAUM · $31.3M to $23.6M
Mar 26, 2025 to Mar 25, 2026
HNW RAUM · $20.1M to $12.0M
Mar 26, 2025 to Mar 25, 2026

Full history · 43 changes

Pooled vehicle RAUM · $11.2M to $11.6M
Mar 26, 2025 to Mar 25, 2026
RAUM · $31.3M to $23.6M
Mar 26, 2025 to Mar 25, 2026
Financial planning clients · unset to
Mar 25, 2024 to Mar 26, 2025
HQ city · unset to
Mar 25, 2024 to Mar 26, 2025
HQ state · unset to
Mar 25, 2024 to Mar 26, 2025
Discretionary RAUM · $33.1M to $31.3M
Mar 25, 2024 to Mar 26, 2025
HNW RAUM · $16.6M to $20.1M
Mar 25, 2024 to Mar 26, 2025
Pooled vehicle RAUM · $16.5M to $11.2M
Mar 25, 2024 to Mar 26, 2025
RAUM · $33.1M to $31.3M
Mar 25, 2024 to Mar 26, 2025
Accounts · 4 to 5
Sep 15, 2023 to Mar 25, 2024
Pooled vehicle clients · 2 to 3
Sep 15, 2023 to Mar 25, 2024
Assets in custody · $13.7M to $16.5M
Sep 15, 2023 to Mar 25, 2024
Private funds · 2 to 3
Sep 15, 2023 to Mar 25, 2024
Discretionary RAUM · $29.0M to $33.1M
Sep 15, 2023 to Mar 25, 2024
HNW RAUM · $15.3M to $16.6M
Sep 15, 2023 to Mar 25, 2024
Pooled vehicle RAUM · $13.7M to $16.5M
Sep 15, 2023 to Mar 25, 2024
RAUM · $29.0M to $33.1M
Sep 15, 2023 to Mar 25, 2024
Accounts · 3 to 4
Mar 27, 2023 to Sep 15, 2023
HNW clients · 17 to 2
Mar 27, 2023 to Sep 15, 2023
Pooled vehicle clients · 9 to 2
Mar 27, 2023 to Sep 15, 2023
Assets in custody · unset to 13712124.0
Mar 27, 2023 to Sep 15, 2023
Custody of client assets · false to true
Mar 27, 2023 to Sep 15, 2023
Discretionary RAUM · $26.3M to $29.0M
Mar 27, 2023 to Sep 15, 2023
HNW RAUM · $4.2M to $15.3M
Mar 27, 2023 to Sep 15, 2023
Pooled vehicle RAUM · $22.1M to $13.7M
Mar 27, 2023 to Sep 15, 2023
RAUM · $26.3M to $29.0M
Mar 27, 2023 to Sep 15, 2023
HNW clients · unset to 17.0
Mar 31, 2022 to Mar 27, 2023
Pooled vehicle clients · 2 to 9
Mar 31, 2022 to Mar 27, 2023
Discretionary RAUM · $30.1M to $26.3M
Mar 31, 2022 to Mar 27, 2023
HNW RAUM · unset to 4222791.0
Mar 31, 2022 to Mar 27, 2023
Pooled vehicle RAUM · $13.9M to $22.1M
Mar 31, 2022 to Mar 27, 2023
RAUM · $30.1M to $26.3M
Mar 31, 2022 to Mar 27, 2023
Accounts · 0 to 3
Dec 3, 2021 to Mar 31, 2022
Pooled vehicle clients · unset to 2.0
Dec 3, 2021 to Mar 31, 2022
Private funds · unset to 2
Dec 3, 2021 to Mar 31, 2022
Discretionary RAUM · $0 to $30.1M
Dec 3, 2021 to Mar 31, 2022
Pooled vehicle RAUM · unset to 13871013.0
Dec 3, 2021 to Mar 31, 2022
RAUM · $0 to $30.1M
Dec 3, 2021 to Mar 31, 2022

Signals

2 dated events

••• Locked
Mar 25, 2026 · private fund no longer reported · inference
••• Locked
Dec 3, 2021 · 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

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, Mar 25, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 25, 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: $23.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026