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O••• A•••••••• L••

Independent wealth managerSEC-registered· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $36,000 of regulatory assets.

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

Regulatory AUM
$36,000
Advisors
0
Private clients
100%
of RAUM, $36,000
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

Nothing material in the last 180 days. Last change: 23 Mar 2026, O••• H••••••• L•• appeared on Schedule A as an owner on 23 Mar 2026.

Every filed figure, and the identifiersCRD 337532 · SEC 801-134254 · 3 filingsShow
CRD 337532SEC 801-134254First filing on the tape Dec 3, 2025, latest Mar 23, 2026SEC status approved since Dec 5, 2025IAPD
RAUM
$36,000
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$36,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape

Filed figures over time · the tape starts Dec 3, 2025

Peer group: Independent wealth managers, under $100M, 707 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$36,000 as of Mar 23, 2026
Dec 3, 2025$36,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Dec 3, 20250 then
Employees (5.A)2 as of Mar 23, 2026
Dec 3, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 23, 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
unknownderivedHNW RAUM over HNW clients
Average account
$383derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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 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
  • 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

100% individuals

The breakdown by client type, and the client counts1 client typesShow
  • Individuals$36,000100%
Individual clients
94reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
94reported
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
      • J••••• D••••• · Ceo, Ccocontrol
        since 02/2025 · owns less than 5%
      • M•• K•••• · Chief Technology Officercontrol
        since 06/2025 · owns less than 5%
      Entity owners
      • O••• H••••••• L•• · Sole Shareholder
        direct · owns 75% or more
      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.
      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
      • HQ city · to NEW YORK
        Dec 3, 2025 to Feb 2, 2026
      • HQ state · to NY
        Dec 3, 2025 to Feb 2, 2026
      Signals
      1 dated events
      • ••• Locked
        Dec 3, 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), Instagram (4), TikTok (34) among 101 current addresses · the addresses open with an account

      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 23, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 23, 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.