DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

C•••• A••••••• L••

Independent wealth managerSEC-registered· Brooklyn, New Yorkwebsite

Independent wealth manager, based in Brooklyn, New York, reporting $181M of regulatory assets.

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

Regulatory AUM
$181M
Form ADV
Advisors
0
IAPD
RAUM change, 1 year
+143%
Form ADV, consecutive annual filings
Private clients
100%
of RAUM, $181M
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. +142.8%
    RAUM, one year

    RAUM $74.5M to $181M (+142.8%) on the Form ADV filed 23 Sep 2026.

    The one filed measure of whether clients are staying.

    FactForm ADV Item 5History →
Every filed figure, and the identifiersCRD 323620 · SEC 801-126799 · 28 filingsShow
CRD 323620SEC 801-126799First filing on the tape Sep 29, 2022, latest Sep 23, 2026SEC status approved since Oct 28, 2022IAPD
RAUM
$181M
reported, Item 5.F
Discretionary
21%
of RAUM
Private clients
100%
$181M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
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
28 filings and snapshots on the tape

RAUM +143% over the last fiscal year · the tape starts Sep 29, 2022

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$181M as of Jul 27, 2026
Feb 28, 2023$0 then
HNW client RAUM$126M as of Jul 27, 2026
Feb 28, 2023$0 then
State-registered IARs (5.B.3)0 as of Jul 27, 2026
Feb 28, 20230 then
Employees (5.A)2 as of Jul 27, 2026
Feb 28, 20231 then
Private funds: no history
RAUM +143% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 23, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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
$71,147derivedHNW RAUM over HNW clients
Average account
$20,252derivedRAUM over accounts (5.F.2.f)
Discretionary
21%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 office incl. principal (1.F.5)
RAUM growth, one year
+143%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+154%derived
Compensation
percentage of assets, fixed feesreportedItem 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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing

70% high-net-worth individuals, 30% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$126M70%
  • Individuals$54.9M30%
Individual clients
1,604reported
HNW clients
1,771reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8,933reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; a related broker-dealer; no related bank; 200% of advisors also broker-dealer representativesderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery 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
      • N•••••• A•••• · Chief Executive Officercontrol
        since 09/2022 · owns less than 5%
      • N•••••• A•••• · Ownercontrol
        since 10/2022 · owns 50% to 75% of T•• V•••• C•••••• I•••
      • C••••• E•••• A••••• · Chief Compliance Officer
        since 03/2024 · owns less than 5%
      Entity owners
      • T•• V•••• C•••••• I••• · Sole Member
        direct · 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.
      ADV anomalies
      3 against comparable advisers; where to look, not conclusions
      • account count surgeChange between filings · filing Mar 31, 2026
        accounts (Item 5.F.2.f) moved from 1,381.0 to 8,933.0 (+547.0%) between the annual amendments of 2025-03-10 and 2026-03-31; the peer median change was +5.0% (3683 comparable advisers, 100.0th percentile of changes)
        peers: independent wealth managers, $100M to $500M (3,683) · 100% percentile
      • client count surgeChange between filings · filing Mar 31, 2026
        individual and HNW clients (Item 5.D) moved from 1,329.0 to 3,375.0 (+154.0%) between the annual amendments of 2025-03-10 and 2026-03-31; the peer median change was +3.0% (3308 comparable advisers, 100.0th percentile of changes)
        peers: independent wealth managers, $100M to $500M (3,308) · 100% percentile
      • RAUM up 50 %Change between filings · filing Mar 31, 2026
        RAUM (Item 5.F) moved from $74,520,048 to $180,909,997 (+143.0%) between the annual amendments of 2025-03-10 and 2026-03-31; the peer median change was +15.0% (4546 comparable advisers, 99.0th percentile of changes)
        peers: independent wealth managers, $100M to $500M (4,546) · 99% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Financial planning clients · to unset
        Jul 27, 2026 to Sep 23, 2026
      • Succession · false to unset
        Jul 27, 2026 to Sep 23, 2026
      • Accounts · 4,080 to 8,933
        May 15, 2025 to Mar 31, 2026
      • BD registered reps · 3 to 2
        May 15, 2025 to Mar 31, 2026
      • HNW clients · 913 to 1,771
        May 15, 2025 to Mar 31, 2026
      Full history · 56 changes
      • Individual clients · 882 to 1,604
        May 15, 2025 to Mar 31, 2026
      • Employees · 3 to 2
        May 15, 2025 to Mar 31, 2026
      • Discretionary RAUM · $14.8M to $37.6M
        May 15, 2025 to Mar 31, 2026
      • HNW RAUM · $66.5M to $126M
        May 15, 2025 to Mar 31, 2026
      • Individual RAUM · $33.2M to $54.9M
        May 15, 2025 to Mar 31, 2026
      • Non-discretionary RAUM · $84.9M to $143M
        May 15, 2025 to Mar 31, 2026
      • RAUM · $99.7M to $181M
        May 15, 2025 to Mar 31, 2026
      • Related insurance company · true to false
        May 15, 2025 to Mar 31, 2026
      • Accounts · 1,381 to 4,080
        Mar 10, 2025 to May 15, 2025
      • BD registered reps · 2 to 3
        Mar 10, 2025 to May 15, 2025
      • HNW clients · 681 to 913
        Mar 10, 2025 to May 15, 2025
      • Individual clients · 648 to 882
        Mar 10, 2025 to May 15, 2025
      • Financial planning clients · unset to
        Mar 10, 2025 to May 15, 2025
      • Discretionary RAUM · $11.5M to $14.8M
        Mar 10, 2025 to May 15, 2025
      • HNW RAUM · $48.5M to $66.5M
        Mar 10, 2025 to May 15, 2025
      • Individual RAUM · $26.0M to $33.2M
        Mar 10, 2025 to May 15, 2025
      • Non-discretionary RAUM · $63.0M to $84.9M
        Mar 10, 2025 to May 15, 2025
      • RAUM · $74.5M to $99.7M
        Mar 10, 2025 to May 15, 2025
      • Accounts · 581 to 1,381
        Jun 12, 2024 to Mar 10, 2025
      • Advisory employees · 3 to 2
        Jun 12, 2024 to Mar 10, 2025
      • BD registered reps · 0 to 2
        Jun 12, 2024 to Mar 10, 2025
      • HNW clients · 69 to 681
        Jun 12, 2024 to Mar 10, 2025
      • Individual clients · 313 to 648
        Jun 12, 2024 to Mar 10, 2025
      • Discretionary RAUM · $3.1M to $11.5M
        Jun 12, 2024 to Mar 10, 2025
      • HNW RAUM · $4.6M to $48.5M
        Jun 12, 2024 to Mar 10, 2025
      • Individual RAUM · $11.8M to $26.0M
        Jun 12, 2024 to Mar 10, 2025
      • Non-discretionary RAUM · $13.4M to $63.0M
        Jun 12, 2024 to Mar 10, 2025
      • RAUM · $16.5M to $74.5M
        Jun 12, 2024 to Mar 10, 2025
      • Related broker-dealer · false to true
        Jun 12, 2024 to Mar 10, 2025
      • Business name · O••• I••••••••• A•••••••• L•• to C•••• A••••••• L••
        Jun 5, 2024 to Jun 12, 2024
      • Legal name · O••• I••••••••• A•••••••• L•• to C•••• A••••••• L••
        Jun 5, 2024 to Jun 12, 2024
      • Accounts · 0 to 581
        Dec 1, 2023 to Mar 21, 2024
      • Advisory employees · 1 to 3
        Dec 1, 2023 to Mar 21, 2024
      • HNW clients · unset to 69.0
        Dec 1, 2023 to Mar 21, 2024
      • Individual clients · unset to 313.0
        Dec 1, 2023 to Mar 21, 2024
      • Employees · 2 to 3
        Dec 1, 2023 to Mar 21, 2024
      • Discretionary RAUM · $0 to $3.1M
        Dec 1, 2023 to Mar 21, 2024
      • HNW RAUM · $0 to $4.6M
        Dec 1, 2023 to Mar 21, 2024
      • Individual RAUM · $0 to $11.8M
        Dec 1, 2023 to Mar 21, 2024
      • Non-discretionary RAUM · $0 to $13.4M
        Dec 1, 2023 to Mar 21, 2024
      • RAUM · $0 to $16.5M
        Dec 1, 2023 to Mar 21, 2024
      • Related insurance company · false to true
        Dec 1, 2023 to Mar 21, 2024
      • Insurance-licensed employees · 1 to 0
        Oct 16, 2023 to Dec 1, 2023
      • Other offices · 1 to 0
        Jun 6, 2023 to Jul 21, 2023
      • Employees · 1 to 2
        Apr 14, 2023 to Jun 6, 2023
      • Accounts · unset to 0.0
        Dec 15, 2022 to Feb 28, 2023
      • Advisory activities · 2 to 1
        Dec 15, 2022 to Feb 28, 2023
      • Financial planning clients · 0 to unset
        Dec 15, 2022 to Feb 28, 2023
      • Discretionary RAUM · unset to 0.0
        Dec 15, 2022 to Feb 28, 2023
      • Non-discretionary RAUM · unset to 0.0
        Dec 15, 2022 to Feb 28, 2023
      • RAUM · unset to 0.0
        Dec 15, 2022 to Feb 28, 2023
      Signals
      15 dated events
      • ••• Locked
        Jul 27, 2026 · Control person left · inference
      • ••• Locked
        Jul 27, 2026 · ria indirect owner change · fact
      • ••• Locked
        Jul 27, 2026 · ria indirect owner change · fact
      • ••• Locked
        Jul 27, 2026 · ria majority owner change · derived
      • ••• Locked
        Jul 27, 2026 · ria majority owner change · fact
      Full timeline · 15 events
      • ••• Locked
        Jul 27, 2026 · ria principal change · fact
      • ••• Locked
        Jul 27, 2026 · ria principal change · derived
      • ••• Locked
        Jul 27, 2026 · ria indirect owner change · derived
      • ••• Locked
        Jul 27, 2026 · ria indirect owner change · fact
      • ••• Locked
        Oct 13, 2023 · Control person left · inference
      • ••• Locked
        Jun 6, 2023 · Control person joined · fact
      • ••• Locked
        Dec 15, 2022 · Control person joined · fact
      • ••• Locked
        Oct 12, 2022 · Control person joined · fact
      • ••• Locked
        Oct 12, 2022 · Control person left · inference
      • ••• Locked
        Sep 29, 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, Sep 23, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Sep 23, 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.