DFX Intelligence
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D•••••••• W•••••
Independent wealth manager, based in West Sayville, New York, reporting $25.8M of regulatory assets across 1 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
- $25.8M
- Advisors
- 1
- Net advisor flow, 12 months
- +1 (1 in, 0 out)
- RAUM change, last fiscal year
- Not established
- Private clients
- 93% of RAUM, $24.1M
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
- selection of other advisers (Item 5.G.7) 0
- Contact points 7
Every filed figure, and the identifiersCRD 338575 · SEC 801-134487 · 3 filingsShowHide
CRD 338575SEC 801-134487Legal name D•••••••• W••••• M••••••••• L••First filing on the tape Nov 17, 2025, latest Aug 19, 2026SEC status approved since Nov 17, 2025IAPD
RAUM
$25.8M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
93%
$24.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$25.8M
derived; firm RAUM over IAPD count
Employees
1
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
RAUM$25.8M as of Aug 19, 2026
Nov 17, 2025$0 then
HNW client RAUM$20.7M as of Aug 19, 2026
Mar 16, 2026$20.7M then
State-registered IARs (5.B.3)1 as of Aug 19, 2026
Nov 17, 20251 then
Employees (5.A)1 as of Aug 19, 2026
Nov 17, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 19, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $25.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $358,889derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 6.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 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
- High-net-worth individuals$20.7M80%
- Individuals$3.4M13%
- Pension and profit-sharing plans$1.7M6.8%
- Individual clients
- 18reported
- HNW clients
- 12reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 72reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• F•••••• C••••••• | West Sayville, Ny | Nov 18, 2025 | 27 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J•••• F•••••• C••••••• from W•••• F•••• A•••••••Nov 18, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 19, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2026-03-16, no on the filing of 2026-08-19peers: independent wealth managers, under $100M (706)
What changed
consecutive filings, newest first
- Advisory activities · 6 to 5Mar 16, 2026 to Aug 19, 2026
- Accounts · 0 to 72Nov 17, 2025 to Mar 16, 2026
- Advisory activities · 5 to 6Nov 17, 2025 to Mar 16, 2026
- Charity clients · unset to 0.0Nov 17, 2025 to Mar 16, 2026
- Corporate clients · unset to 0.0Nov 17, 2025 to Mar 16, 2026
- HNW clients · unset to 12.0Nov 17, 2025 to Mar 16, 2026
- Individual clients · unset to 18.0Nov 17, 2025 to Mar 16, 2026
- Pension plan clients · unset to 1.0Nov 17, 2025 to Mar 16, 2026
- Pooled vehicle clients · unset to 0.0Nov 17, 2025 to Mar 16, 2026
- Financial planning clients · 0 to 11-25Nov 17, 2025 to Mar 16, 2026
- HQ city · to WEST SAYVILLENov 17, 2025 to Mar 16, 2026
- HQ state · to NYNov 17, 2025 to Mar 16, 2026
- Discretionary RAUM · $0 to $24.1MNov 17, 2025 to Mar 16, 2026
- HNW RAUM · unset to 20691718.0Nov 17, 2025 to Mar 16, 2026
- Individual RAUM · unset to 3402530.0Nov 17, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $0 to $1.7MNov 17, 2025 to Mar 16, 2026
- Pension RAUM · unset to 1745754.0Nov 17, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · unset to 0.0Nov 17, 2025 to Mar 16, 2026
- RAUM · $0 to $25.8MNov 17, 2025 to Mar 16, 2026
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
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Aug 19, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Aug 19, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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
- $25.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026