DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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SEC-registered adviser

A••••• W••••• A••••••• G••••• L••

Independent wealth managerNew York, New YorkCRD 338618SEC 801-134595IAPD
Latest filing Mar 31, 2026
First filing on the tape Sep 19, 2025 · 2 filings
SEC status approved since Nov 19, 2025
RAUM
$6.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$6.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$6.2M
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
2 filings and snapshots on the tape
RAUM$6.2M as of Mar 31, 2026
Sep 19, 2025$0 then
HNW client RAUM: $5.8M
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Sep 19, 20251 then
Employees (5.A)1 as of Mar 31, 2026
Sep 19, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$6.2MderivedRAUM 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
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$5.8M95%
  • Individuals$336,1335.5%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
E••••• S• K••••Certified Financial PlannerNew York, NyNov 25, 202526 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K••••• E•••••• S• · Chief Compliance Officer And Managing Membercontrol
      since 09/2025 · owns less than 5%
    Entity owners
    • A••• I•• L•• · Member
      direct · owns 75% or more
    • C••••••••• E••••••••• L•• · Member
      direct · owns 10% to 25%
    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 · 0 to 3
      Sep 19, 2025 to Mar 31, 2026
    • Discretionary RAUM · $0 to $6.2M
      Sep 19, 2025 to Mar 31, 2026
    • HNW RAUM · unset to 5829074.0
      Sep 19, 2025 to Mar 31, 2026
    • Individual RAUM · unset to 336133.0
      Sep 19, 2025 to Mar 31, 2026
    • RAUM · $0 to $6.2M
      Sep 19, 2025 to Mar 31, 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
    Principal office phone
    212-540-9490reportedpublic record, Form ADV, Mar 31, 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
    $6.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026