DFX Intelligence
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B•• F•••••••• A•••••••• L••
Institutional manager, based in New York, New York, reporting $226M of regulatory assets across 5 registered advisors.
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
- $226M
- Advisors
- 5
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- Not established
- Private clients
- 5.9% of RAUM, $13.4M
Form ADV
IAPD
IAPD registration history
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 333795 · SEC 801-132993 · 5 filingsShowHide
CRD 333795SEC 801-132993First filing on the tape May 23, 2025, latest Mar 9, 2026SEC status approved since Jun 13, 2025IAPD
RAUM
$226M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
5.9%
$13.4M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$45.3M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$226M as of Mar 9, 2026
May 23, 2025$108M then
HNW client RAUM: $12.7M
State-registered IARs (5.B.3)5 as of Mar 9, 2026
May 23, 20251 then
Employees (5.A)7 as of Mar 9, 2026
May 23, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $45.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.7MderivedHNW RAUM over HNW clients
- Average account
- $7.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 94%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 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, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$213M94%
- High-net-worth individuals$12.7M5.6%
- Individuals$650,0000.3%
- Individual clients
- 5reported
- HNW clients
- 1reported
- Pension plan clients
- 23reported
- Charitable clients
- 0reported
- Accounts
- 29reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.06 fund_share=0.0 institutional_share=0.94 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• Q•••• S•••••• | New York, Ny | Jun 13, 2025 | 26 y | 0 |
| C••••••••• W•••••• C•••••Chartered Financial Consultant | New York, Ny | Aug 19, 2025 | 23 y | 0 |
| D•••• J•••• W••••••••• | New York, Ny | Aug 27, 2025 | 11 y | 0 |
| T••• R••• D•••• | New York, Ny | Sep 3, 2025 | 18 y | 1 |
| C••••• J•• R••• | New York, Ny | Feb 6, 2026 | 21 y | 0 |
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
- T••• R••• D•••• from T• R••• P•••• A••••••• S•••••••• I•••Sep 3, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• C••••••••• W•••••• · Managing Partnercontrolsince 09/2025 · owns 25% to 50%
- D••••• T•••• R••• · Managing Partnercontrolsince 09/2025 · owns 25% to 50%
- G••••••••• A•••••••• N•• · Partner, Chief Operating Officer, Chief Compliance Officercontrolsince 09/2025 · owns 10% to 25%
- S••••••• B••••• Q•••• · Managing Partnercontrolsince 10/2024 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 16 to 29Feb 23, 2026 to Mar 9, 2026
- Charity clients · unset to 0.0Feb 23, 2026 to Mar 9, 2026
- Corporate clients · unset to 0.0Feb 23, 2026 to Mar 9, 2026
- HNW clients · unset to 1.0Feb 23, 2026 to Mar 9, 2026
- Individual clients · unset to 5.0Feb 23, 2026 to Mar 9, 2026
- Pension plan clients · 16 to 23Feb 23, 2026 to Mar 9, 2026
- Pooled vehicle clients · unset to 0.0Feb 23, 2026 to Mar 9, 2026
- Discretionary RAUM · $165M to $226MFeb 23, 2026 to Mar 9, 2026
- HNW RAUM · unset to 12707000.0Feb 23, 2026 to Mar 9, 2026
- Individual RAUM · unset to 650000.0Feb 23, 2026 to Mar 9, 2026
- Pension RAUM · $165M to $213MFeb 23, 2026 to Mar 9, 2026
- Pooled vehicle RAUM · unset to 0.0Feb 23, 2026 to Mar 9, 2026
- RAUM · $165M to $226MFeb 23, 2026 to Mar 9, 2026
- Advisory employees · 4 to 5Oct 24, 2025 to Feb 23, 2026
- State-registered IARs · 4 to 5Oct 24, 2025 to Feb 23, 2026
- Accounts · 3 to 16Aug 26, 2025 to Oct 24, 2025
- Advisory employees · 1 to 4Aug 26, 2025 to Oct 24, 2025
- Pension plan clients · unset to 16.0Aug 26, 2025 to Oct 24, 2025
- Employees · 2 to 7Aug 26, 2025 to Oct 24, 2025
- State-registered IARs · 1 to 4Aug 26, 2025 to Oct 24, 2025
- Discretionary RAUM · $108M to $165MAug 26, 2025 to Oct 24, 2025
- Pension RAUM · $108M to $165MAug 26, 2025 to Oct 24, 2025
- RAUM · $108M to $165MAug 26, 2025 to Oct 24, 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
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 9, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 9, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $45.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026