DFX Intelligence
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Latest filing Mar 26, 2026
First filing on the tape Jun 2, 2023 · 7 filings
SEC status approved since Nov 13, 2023
RAUM
$33.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
15%
$4.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$33.4M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$33.4M as of Mar 26, 2026
Apr 4, 2024$27.9M then
HNW client RAUM$4.9M as of Mar 26, 2026
Apr 4, 2024$6.2M then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Apr 4, 20240 then
Employees (5.A)1 as of Mar 26, 2026
Apr 4, 20241 then
Private funds: no history
RAUM +6.5% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $33.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $259,969derivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM 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 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.5%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$4.9M100%
- Individual clients
- n/areported
- HNW clients
- 19reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 20reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.15 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
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• P••••• M•••••••• | New York, Ny | Dec 23, 2024 | 36 y | 1 |
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
- C••••••••• P••••• M•••••••• from M•••••••• B••••••• I••••••••• M•••••••••Dec 23, 2024 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• C••••••••• P••••• · Managing Member / Chief Compliance Officercontrolsince 05/2023 · 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
- Discretionary RAUM · $31.4M to $33.4MMar 31, 2025 to Mar 26, 2026
- HNW RAUM · $7.6M to $4.9MMar 31, 2025 to Mar 26, 2026
- RAUM · $31.4M to $33.4MMar 31, 2025 to Mar 26, 2026
- Accounts · 14 to 20Apr 4, 2024 to Mar 31, 2025
- HNW clients · 13 to 19Apr 4, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Apr 4, 2024 to Mar 31, 2025
- HQ city · unset to Apr 4, 2024 to Mar 31, 2025
- HQ state · unset to Apr 4, 2024 to Mar 31, 2025
- Discretionary RAUM · $27.9M to $31.4MApr 4, 2024 to Mar 31, 2025
- HNW RAUM · $6.2M to $7.6MApr 4, 2024 to Mar 31, 2025
- RAUM · $27.9M to $31.4MApr 4, 2024 to Mar 31, 2025
- Accounts · 10 to 14Nov 8, 2023 to Apr 4, 2024
- HNW clients · 9 to 13Nov 8, 2023 to Apr 4, 2024
- Discretionary RAUM · $26.0M to $27.9MNov 8, 2023 to Apr 4, 2024
- HNW RAUM · $3.8M to $6.2MNov 8, 2023 to Apr 4, 2024
- RAUM · $26.0M to $27.9MNov 8, 2023 to Apr 4, 2024
- Accounts · 0 to 10Jul 13, 2023 to Nov 8, 2023
- HNW clients · unset to 9.0Jul 13, 2023 to Nov 8, 2023
- Discretionary RAUM · $0 to $26.0MJul 13, 2023 to Nov 8, 2023
- HNW RAUM · unset to 3810000.0Jul 13, 2023 to Nov 8, 2023
- RAUM · $0 to $26.0MJul 13, 2023 to Nov 8, 2023
Signals
1 dated events
- ••• LockedJun 2, 2023 · 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
- m•••••••••.comreportedpublic record, Form ADV, Mar 26, 2026
- Principal office phone
- 212-535-0415reportedpublic record, Form ADV, Mar 26, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $33.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026