DFX Intelligence
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H•••••• F•••• C•••••• L••
Independent wealth managerSEC-registered· H•••••• F••••, New York
Independent wealth manager, based in H•••••• F••••, New York, reporting $67.0M of regulatory assets.
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
- $67.0M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- Not established
- Private clients
- 99% of RAUM, $66.0M
Form ADV
IAPD
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 1
Every filed figure, and the identifiersCRD 333306 · SEC 801-131990 · 4 filingsShowHide
CRD 333306SEC 801-131990First filing on the tape Feb 3, 2025, latest May 18, 2026SEC status approved since Feb 14, 2025IAPD
RAUM
$67.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$66.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
4 filings and snapshots on the tape
RAUM$67.0M as of May 18, 2026
Feb 3, 2025$0 then
HNW client RAUM$4.0M as of May 18, 2026
Jun 11, 2025$25.0M then
State-registered IARs (5.B.3)0 as of May 18, 2026
Feb 3, 20250 then
Employees (5.A)2 as of May 18, 2026
Feb 3, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- 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
- $444,444derivedHNW RAUM over HNW clients
- Average account
- $2.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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 fees, performance-basedreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$62.0M93%
- High-net-worth individuals$4.0M6.0%
- Corporations and businesses$1.0M1.5%
- Individual clients
- 5reported
- HNW clients
- 9reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 25reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
- S•••••• R•••• L••••• · Membercontrolsince 09/2024 · owns 75% or more
- W•••••••• T•••••• P••••• · Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
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 · 7 to 25Jun 11, 2025 to Mar 27, 2026
- Corporate clients · 2 to 3Jun 11, 2025 to Mar 27, 2026
- HNW clients · 3 to 9Jun 11, 2025 to Mar 27, 2026
- Individual clients · 2 to 5Jun 11, 2025 to Mar 27, 2026
- Discretionary RAUM · $30.0M to $67.0MJun 11, 2025 to Mar 27, 2026
- HNW RAUM · $25.0M to $4.0MJun 11, 2025 to Mar 27, 2026
- Individual RAUM · $2.0M to $62.0MJun 11, 2025 to Mar 27, 2026
- RAUM · $30.0M to $67.0MJun 11, 2025 to Mar 27, 2026
- Accounts · 0 to 7Feb 3, 2025 to Jun 11, 2025
- Advisory activities · 3 to 2Feb 3, 2025 to Jun 11, 2025
- Corporate clients · unset to 2.0Feb 3, 2025 to Jun 11, 2025
- HNW clients · unset to 3.0Feb 3, 2025 to Jun 11, 2025
- Individual clients · unset to 2.0Feb 3, 2025 to Jun 11, 2025
- Financial planning clients · 0 to 0Feb 3, 2025 to Jun 11, 2025
- Discretionary RAUM · $0 to $30.0MFeb 3, 2025 to Jun 11, 2025
- HNW RAUM · unset to 25000000.0Feb 3, 2025 to Jun 11, 2025
- Individual RAUM · unset to 2000000.0Feb 3, 2025 to Jun 11, 2025
- RAUM · $0 to $30.0MFeb 3, 2025 to Jun 11, 2025
Signals
No event on the tape.
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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, May 18, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026