DFX Intelligence

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R•••••• W••••• I•••

Independent wealth managerSEC-registered· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $5.5M of regulatory assets.

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

As of 2026-02-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $5.5M
Advisors: 0
RAUM change, 1 year: +226%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-02-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 24 Feb 2026, 1 control person joined and 1 left Schedule A in the last 12 months.

Every filed figure, and the identifiersCRD 322894 · SEC 801-127056 · 18 filingsShow

CRD 322894SEC 801-127056First filing on the tape Nov 17, 2022, latest Feb 24, 2026SEC status approved since Feb 13, 2023IAPD

RAUM

$5.5M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$5.5M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM +226% over the last fiscal year · the tape starts Nov 17, 2022

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

RAUM$5.5M as of Feb 24, 2026

Mar 20, 2024$496,673 then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Feb 24, 2026

Mar 20, 20240 then

Employees (5.A)5 as of Feb 24, 2026

Mar 20, 20247 then

Private funds: no history

RAUM +226% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Feb 24, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $654derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +226%derivedbetween 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
Wrap fee program: $5.5MreportedItem 5.I
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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% individuals

The breakdown by client type, and the client counts1 client typesShow

Individuals$5.5M100%

Individual clients: 8,441reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 8,441reported
Financial planning clients: reported
Wrap fee programs: $0 sponsored, $0 managedreported
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=true related_bank=false bd_reps=5.0derived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••••••• J•••• W•••••• · Chief Executive Officercontrol
since 08/2022 · owns less than 5%
L••••••••• M•••• A••• · Chief Compliance Officercontrol
since 08/2022 · owns less than 5%
S••••••••• N•••••• · Ceocontrol
since 07/2015 · owns 25% to 50% of R•••••• G•••• H••••••• L•••

Entity owners

R•••••• H••••••• U• I•• · Managing Member
direct · owns 75% or more
R•••••• G•••• H••••••• L••• · Sole Stockholder
indirect · owns 75% or more of R•••••• H••••••• U• I••

Related persons

Schedule D 7.A

R•••••• B••• U••
n
R•••••• D• M••••• S••• D• C•••
n
R•••••• L••
n
R•••••• N•••• U• L••
n
R•••••• P••••••• A•••••••• P•• L••
broker-dealern

All 9 related persons

R•••••• S••••••••• I•••
broker-dealern
R•••••• S••••••••• S••••••••
broker-dealern
R•••••• S••••••••• U••
broker-dealern
R•••••• T•••••• L•• •••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 5,911 to 8,441
Jul 1, 2025 to Feb 24, 2026
Advisory employees · 6 to 5
Jul 1, 2025 to Feb 24, 2026
BD registered reps · 6 to 5
Jul 1, 2025 to Feb 24, 2026
Individual clients · 5,911 to 8,441
Jul 1, 2025 to Feb 24, 2026
Employees · 6 to 5
Jul 1, 2025 to Feb 24, 2026

Full history · 28 changes

Discretionary RAUM · $1.7M to $5.5M
Jul 1, 2025 to Feb 24, 2026
Individual RAUM · $1.7M to $5.5M
Jul 1, 2025 to Feb 24, 2026
RAUM · $1.7M to $5.5M
Jul 1, 2025 to Feb 24, 2026
Financial planning clients · unset to
Mar 21, 2025 to Jul 1, 2025
Accounts · 1,408 to 5,911
Jan 9, 2025 to Feb 16, 2025
Individual clients · 1,408 to 5,911
Jan 9, 2025 to Feb 16, 2025
Employees · 7 to 6
Jan 9, 2025 to Feb 16, 2025
Discretionary RAUM · $496,673 to $1.7M
Jan 9, 2025 to Feb 16, 2025
Individual RAUM · $496,673 to $1.7M
Jan 9, 2025 to Feb 16, 2025
RAUM · $496,673 to $1.7M
Jan 9, 2025 to Feb 16, 2025
Accounts · 0 to 1,408
Oct 5, 2023 to Mar 20, 2024
Advisory employees · 2 to 6
Oct 5, 2023 to Mar 20, 2024
BD registered reps · 8 to 6
Oct 5, 2023 to Mar 20, 2024
Individual clients · unset to 1408.0
Oct 5, 2023 to Mar 20, 2024
Employees · 8 to 7
Oct 5, 2023 to Mar 20, 2024
Discretionary RAUM · $0 to $496,673
Oct 5, 2023 to Mar 20, 2024
Individual RAUM · unset to 496673.0
Oct 5, 2023 to Mar 20, 2024
RAUM · $0 to $496,673
Oct 5, 2023 to Mar 20, 2024
Related bank · true to false
Jan 23, 2023 to Feb 3, 2023
Related broker-dealer · false to true
Jan 23, 2023 to Feb 3, 2023
Advisory activities · 3 to 1
Dec 9, 2022 to Jan 23, 2023
Related bank · false to true
Dec 9, 2022 to Jan 23, 2023
Related broker-dealer · true to false
Dec 9, 2022 to Jan 23, 2023

Signals

5 dated events

••• Locked
Feb 24, 2026 · ria principal change · fact
••• Locked
Feb 24, 2026 · ria principal change · derived
••• Locked
Feb 24, 2026 · Control person left · inference
••• Locked
Feb 24, 2026 · Control person joined · fact
••• Locked
Nov 17, 2022 · 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

Website: ••• Lockedreportedpublic record, Form ADV, Feb 24, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 24, 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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.