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P••••• C•••••• M••••••••• L•

Independent wealth managerSEC-registered· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $162M of regulatory assets.

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

Regulatory AUM
$162M
Advisors
0
Private clients
100%
of RAUM, $162M
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. New owner
    ownership and control

    H• F•• A••••••••• L• appeared on Schedule A as an owner on 26 Jun 2026, with 1 other new entity owners.

    A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.

    FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
Every filed figure, and the identifiersCRD 336500 · SEC 801-132938 · 4 filingsShow
CRD 336500SEC 801-132938First filing on the tape May 7, 2025, latest Jun 26, 2026SEC status approved since Jun 9, 2025IAPD
RAUM
$162M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$162M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
4
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

Filed figures over time · the tape starts May 7, 2025

Peer group: Independent wealth managers, $100M to $500M, 5,683 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$162M as of Jun 26, 2026
May 7, 2025$0 then
HNW client RAUM$162M as of Jun 26, 2026
Sep 29, 2025$153M then
State-registered IARs (5.B.3)0 as of Jun 26, 2026
May 7, 20250 then
Employees (5.A)4 as of Jun 26, 2026
May 7, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 26, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$9.5MderivedHNW RAUM over HNW clients
Average account
$9.5MderivedRAUM 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 office 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 assetsreportedItem 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% high-net-worth individuals

The breakdown by client type, and the client counts1 client typesShow
  • High-net-worth individuals$162M100%
Individual clients
n/areported
HNW clients
17reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
17reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
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
      • A•••••••• P••••••• S•••• · Chief Investment Officercontrol
        since 10/2024 · owns less than 5%
      • J••••••••• J•••••• C• · Chief Compliance Officercontrol
        since 06/2026 · owns less than 5%
      Entity owners
      • H• F•• A••••••••• L• · Limited Partner
        direct · owns 75% or more
      • P••••• C•••••• M••••••••• G•• · General Partner
        direct · owns less than 5%
      Ownership changes
      Schedule A, between consecutive filings
      No owner or control person joined or left between filings on the tape.
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      13F holdings
      quarter ended Jun 30, 2026, filed Jul 31, 2026
      Reported value
      $168M+16.8% on Mar 31, 2026 ($144M)reportedsec.gov
      Positions
      52 in 51 issuers+4.0% on the quarterreported
      Concentration
      top 10 issuers 72%, largest 21%derivedlargest: Procter & Gamble Co
      Filed as
      P••••• C•••••• M••••••••• L•reportedmatched by the 13F filer reports this CRD
      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
      • Employees · 3 to 4
        Mar 24, 2026 to Jun 26, 2026
      • Employees · 5 to 3
        Sep 29, 2025 to Mar 24, 2026
      • Discretionary RAUM · $153M to $162M
        Sep 29, 2025 to Mar 24, 2026
      • HNW RAUM · $153M to $162M
        Sep 29, 2025 to Mar 24, 2026
      • RAUM · $153M to $162M
        Sep 29, 2025 to Mar 24, 2026
      Full history · 10 changes
      • Accounts · 0 to 17
        May 7, 2025 to Sep 29, 2025
      • HNW clients · unset to 17.0
        May 7, 2025 to Sep 29, 2025
      • Discretionary RAUM · $0 to $153M
        May 7, 2025 to Sep 29, 2025
      • HNW RAUM · unset to 153000000.0
        May 7, 2025 to Sep 29, 2025
      • RAUM · $0 to $153M
        May 7, 2025 to Sep 29, 2025
      Signals
      1 dated events
      • ••• Locked
        May 7, 2025 · First SEC registration · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Web presence
      addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

      Website (1), LinkedIn company page (1) · the addresses open with an account

      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Jun 26, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jun 26, 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, RAUM change, 1 year.