DFX Intelligence
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W•••••• W••••• P•••••••• L••
Independent wealth manager, based in New York, New York, reporting $36.9M of regulatory assets across 1 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
- $36.9M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- Not established
- Private clients
- 100% of RAUM, $36.9M
Form ADV
IAPD
IAPD registration history
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 319716 · SEC 801-135877 · 4 filingsShowHide
CRD 319716SEC 801-135877First filing on the tape Apr 7, 2026, latest Sep 16, 2026SEC status approved since Apr 9, 2026IAPD
RAUM
$36.9M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$36.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$36.9M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$36.9M as of Jul 2, 2026
Apr 7, 2026$30.7M then
HNW client RAUM$35.4M as of Jul 2, 2026
Apr 7, 2026$29.3M then
State-registered IARs (5.B.3)1 as of Jul 2, 2026
Apr 7, 20261 then
Employees (5.A)1 as of Jul 2, 2026
Apr 7, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 16, 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
- $36.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%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
- 0.3derived3 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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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$35.4M96%
- Individuals$1.4M3.9%
- Individual clients
- 2reported
- HNW clients
- 19reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 21reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• B•••• R•••••••••Certified Financial Planner | New York, Ny | May 4, 2022 | 19 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
- R••••••••• D••••• B•••• · Director/Chief Compliance Officer/Investment Advisor Representativecontrolsince 03/2022 · 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
- Financial planning clients · 11-25 to 11-25Jul 2, 2026 to Sep 16, 2026
- Other offices · 1 to 2Jul 2, 2026 to Sep 16, 2026
- Related adviser · false to unsetJul 2, 2026 to Sep 16, 2026
- Related bank · false to unsetJul 2, 2026 to Sep 16, 2026
- Related broker-dealer · false to unsetJul 2, 2026 to Sep 16, 2026
- Related insurance company · false to unsetJul 2, 2026 to Sep 16, 2026
- Succession · false to unsetJul 2, 2026 to Sep 16, 2026
- Accounts · 19 to 21Jun 10, 2026 to Jul 2, 2026
- HNW clients · 17 to 19Jun 10, 2026 to Jul 2, 2026
- Discretionary RAUM · $28.8M to $34.8MJun 10, 2026 to Jul 2, 2026
- HNW RAUM · $29.3M to $35.4MJun 10, 2026 to Jul 2, 2026
- Individual RAUM · $1.4M to $1.4MJun 10, 2026 to Jul 2, 2026
- Non-discretionary RAUM · $1.9M to $2.1MJun 10, 2026 to Jul 2, 2026
- RAUM · $30.7M to $36.9MJun 10, 2026 to Jul 2, 2026
Signals
1 dated events
- ••• LockedSep 21, 2026 · New state 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
- Website
- ••• Lockedreportedpublic record, Form ADV, Sep 16, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Sep 16, 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
- $36.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026