DFX 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.

M•• C•••••• M••••••••• L••

Other adviserSEC-registered· New York, New York

Other adviser, based in New York, New York, reporting $95.0M of regulatory assets across 1 registered advisors.

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

As of 2026-04-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $95.0M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: -12%
Private clients: 20%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-04-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

-11.6%
RAUM, one year
RAUM $107M to $95M (-11.6%) on the Form ADV filed 15 Apr 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 333785 · SEC 801-131584 · 9 filingsShow

CRD 333785SEC 801-131584First filing on the tape Nov 7, 2024, latest Apr 15, 2026SEC status approved since Dec 9, 2024IAPD

RAUM

$95.0M

reported, Item 5.F

Discretionary

87%

of RAUM

Private clients

20%

$18.6M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$95.0M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM -12% over the last fiscal year · the tape starts Nov 7, 2024

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

RAUM$95.0M as of Apr 15, 2026

Apr 8, 2025$107M then

HNW client RAUM$18.6M as of Apr 15, 2026

Apr 8, 2025$89.7M then

State-registered IARs (5.B.3)1 as of Apr 15, 2026

Apr 8, 20250 then

Employees (5.A)2 as of Apr 15, 2026

Apr 8, 20251 then

Private funds: no history

RAUM -12% over the last fiscal yearIARs 0 to 1

Practice profile

derived from the filing of Apr 15, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $95.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $9.3MderivedHNW RAUM over HNW clients
Average account: $23.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 87%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: -12%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, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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

80% corporations and businesses, 20% high-net-worth individuals

The breakdown by client type, and the client counts2 client typesShow

Corporations and businesses$76.4M80%
High-net-worth individuals$18.6M20%

Individual clients: n/areported
HNW clients: 2reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 20% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

C••••• J• P••••• from I•• P•••••• W••••• M••••••••• L••
Jun 26, 2025 · Other

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
C••••• J• P•••••	New York, Ny	Jun 26, 2025	30 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P•••••• C•••••• J• · Membercontrol
since 09/2024 · owns 75% or more
R•• D• S•• C••••••• · Chief Compliance Officer
since 11/2024 · owns less than 5%

Related persons

Schedule D 7.A

S• C•••••• I••••••••• S•••
investment advisery

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

4 against comparable advisers; where to look, not conclusions

wealth to institutional shiftCombination · filing Apr 15, 2026
peers: other advisers, under $100M (660)
institutional asset share shiftChange between filings · filing Apr 15, 2026
institutional share of RAUM moved from 16.0% to 80.0% between the annual amendments of 2025-04-08 and 2026-04-15
peers: other advisers, under $100M (660)
client mix shiftChange between filings · filing Apr 15, 2026
private-client share of RAUM moved from 84.0% to 20.0% between the annual amendments of 2025-04-08 and 2026-04-15
peers: other advisers, under $100M (660)
HNW share shiftChange between filings · filing Apr 15, 2026
HNW share of RAUM moved from 84.0% to 20.0% between the annual amendments of 2025-04-08 and 2026-04-15
peers: other advisers, under $100M (660)

How anomalies are measured

What changed

consecutive filings, newest first

Corporate clients · unset to 2.0
Jun 10, 2025 to Mar 30, 2026
HNW clients · unset to 2.0
Jun 10, 2025 to Mar 30, 2026
Employees · 1 to 2
Jun 10, 2025 to Mar 30, 2026
State-registered IARs · 0 to 1
Jun 10, 2025 to Mar 30, 2026
Discretionary RAUM · $107M to $82.8M
Jun 10, 2025 to Mar 30, 2026

Full history · 15 changes

HNW RAUM · $89.7M to $18.6M
Jun 10, 2025 to Mar 30, 2026
Non-discretionary RAUM · $0 to $12.1M
Jun 10, 2025 to Mar 30, 2026
RAUM · $107M to $95.0M
Jun 10, 2025 to Mar 30, 2026
Financial planning clients · 0 to 0
May 5, 2025 to Jun 10, 2025
Accounts · 0 to 4
Nov 22, 2024 to Apr 8, 2025
Discretionary RAUM · $0 to $107M
Nov 22, 2024 to Apr 8, 2025
HNW RAUM · unset to 89740162.0
Nov 22, 2024 to Apr 8, 2025
RAUM · $0 to $107M
Nov 22, 2024 to Apr 8, 2025
Business name · C•••••• M••••••••• L•• to M•• C•••••• M••••••••• L••
Nov 7, 2024 to Nov 7, 2024
Legal name · C•••••• M••••••••• L•• to M•• C•••••• M••••••••• L••
Nov 7, 2024 to Nov 7, 2024

Signals

1 dated events

••• Locked
Nov 7, 2024 · 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Apr 15, 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: Other adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $95.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026