DFX Intelligence

RIA Intelligence

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SEC-registered adviser

T••••••••• D•• A••••••

Independent wealth managerCRD 337485SEC 801-133876website IAPD

Legal name T••••••••• I•••

Latest filing Sep 9, 2026

First filing on the tape Jul 8, 2025 · 5 filings

SEC status approved since Jul 14, 2025

RAUM

$5,000

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$5,000 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

5 filings and snapshots on the tape

RAUM$1,000 as of Apr 21, 2026

Jul 8, 2025$0 then

HNW client RAUM$0 as of Apr 21, 2026

Jul 8, 2025$0 then

State-registered IARs (5.B.3)0 as of Apr 21, 2026

Jul 8, 20250 then

Employees (5.A)3 as of Apr 21, 2026

Jul 8, 20253 then

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Sep 9, 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: unknownderivedHNW RAUM over HNW clients
Average account: $714derivedRAUM 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, subscriptionreportedItem 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

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$5,000100%

Individual clients: 7reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 7reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= 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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

J••••• M•••••• N•••••••• · Ceo, Ccocontrol
since 06/2025 · 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

Accounts · 4 to 7
Apr 21, 2026 to Sep 9, 2026
Individual clients · 4 to 7
Apr 21, 2026 to Sep 9, 2026
Financial planning clients · 0 to 0
Apr 21, 2026 to Sep 9, 2026
HQ city · to unset
Apr 21, 2026 to Sep 9, 2026
HQ state · to unset
Apr 21, 2026 to Sep 9, 2026
Discretionary RAUM · $1,000 to $5,000
Apr 21, 2026 to Sep 9, 2026
Individual RAUM · $1,000 to $5,000
Apr 21, 2026 to Sep 9, 2026
RAUM · $1,000 to $5,000
Apr 21, 2026 to Sep 9, 2026
Related adviser · false to unset
Apr 21, 2026 to Sep 9, 2026
Related bank · false to unset
Apr 21, 2026 to Sep 9, 2026
Related broker-dealer · false to unset
Apr 21, 2026 to Sep 9, 2026
Related insurance company · false to unset
Apr 21, 2026 to Sep 9, 2026
Succession · false to unset
Apr 21, 2026 to Sep 9, 2026
Accounts · 0 to 4
Nov 7, 2025 to Feb 3, 2026
Individual clients · 0 to 4
Nov 7, 2025 to Feb 3, 2026
Discretionary RAUM · $0 to $1,000
Nov 7, 2025 to Feb 3, 2026
Individual RAUM · $0 to $1,000
Nov 7, 2025 to Feb 3, 2026
RAUM · $0 to $1,000
Nov 7, 2025 to Feb 3, 2026
Financial planning clients · 0 to 0
Jul 8, 2025 to Nov 7, 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

Business email: s••••••@a••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 914-979-2591reportedpublished by the firm, firm site, Sep 16, 2026
Firm profile: linkedin.com/company/106480808reportedpublic record, Form ADV, Sep 21, 2026
Website: a••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 917-710-1927reportedpublic record, Form ADV, Sep 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: 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