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R••••••• W••••• M•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

R••••••• W••••• M•••••••••

CRD 168652

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:da7379a7-5a02-46c0-38dc-2734b739d6cf

Data as of Aug 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 90
Dated events: 13
On other graphs: 0
Observed: Aug 16, 2013 to Aug 10, 2026
73 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.94 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $9.4BItem 5.F on the latest filing (2026-08-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $8.5B
Private client RAUM: $8.9BderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 57
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 57

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
G••• A••• P••••••	n/a	NEW YORK, NY \| Newport, CA	8	43	2	no
B•••• A••• R••••	n/a	Northbrook, IL	8

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• M••••••• H••••	MANAGING MEMBER	B	yes	10/2013	Aug 10, 2026	Aug 10, 2026
B••••• J•••••• M•••••	MANAGING MEMBER	C	yes	08/2013	Aug 10, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•• I•••••••• S•••••••• L••	n/a	n/a	n/a	Y	yes	n/a
R•• T•• L••	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Charlotte	Nc	United States	4	no
Chicago	IL	United States	3	no
Northbrook	IL	United States	3	no
NORTH BELLMORE	NY	United States	3	no
MANHATTAN BEACH	CA

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 13 of 15

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
10	2	8	3.5%	5	0	0	20	4

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$9.4B	$5.7B	66.1%	$2.9B	47.4%	83	71	14	14

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I••••••••• F•••••••• P•••••••	2	Jan 26, 2018	Dec 4, 2017	NORTHBROOK, IL	Team lift out	Other	0.5%

Relationships

showing 80 of 90

Registered with (59)

← William Carroll VaughanAdvisorregistration: current employment
Sep 3, 2026 to presentfactForm ADV
← Andrew Mason MasonAdvisorregistration: current employment
Aug 18, 2026 to presentfactForm ADV
← Eric A SmithAdvisorregistration: current employment
Aug 17, 2026 to presentfactForm ADV
← J••• C•••• F••••••

Dated events

Occurred
Feb 17, 2026
Advisor changed firm
Steven Ross Schiff left R••••••• W••••• M••••••••• for Raymond James Financial Services Advisors, Inc (registered 2026-03-16)
Form ADVobserved 7 days ago
Occurred
Feb 10, 2026
Advisor changed firm
Dominic Anthony Bova left R••••••• W••••• M••••••••• for Edelman Financial Engines (registered 2026-03-02)
Form ADVobserved 7 days ago
Occurred
May 8, 2024
Advisor changed firm
Emily Anna J•••son left R••••••• W••••• M••••••••• for Lazari Capital Management, Inc. (registered 2024-05-09)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:da7379a7-5a02-46c0-38dc-2734b739d6cf
First observed: Aug 16, 2013
Last observed: Aug 10, 2026 43 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Owns (17)

← P••••••• G•••• A•••OwnerMANAGING MEMBER, ownership code NA, individual
Mar 10, 2022 to Aug 1, 2024factForm ADV
← I••••• D••••••••• R•••OwnerMANAGING MEMBER, ownership code NA, individual
May 3, 2019 to Aug 1, 2024factForm ADV
← M••••• E••••• C••••••••OwnerMANAGING MEMBER, ownership code NA, individual
May 3, 2019 to Aug 1, 2024factForm ADV
← F••••••• P•••••••• M••••OwnerCHIEF COMPLIANCE OFFICER & MANAGING MEMBER, ownership code NA, individual
Mar 30, 2020 to Aug 1, 2024factForm ADV
← T•••• J••• D••••••OwnerMANAGING MEMBER, ownership code NA, individual
Mar 16, 2023 to Aug 1, 2024factForm ADV
← D••••••••• M•••••••• B••••OwnerMANAGING MEMBER, ownership code NA, individual
Mar 10, 2022 to Aug 1, 2024factForm ADV
← R••••• B••••• A•••OwnerMANAGING MEMBER, ownership code NA, individual
Mar 11, 2021 to Aug 1, 2024factForm ADV
← Y••••• K••••• M••••••OwnerMANAGING MEMBER, ownership code NA, individual
Mar 7, 2024 to Aug 1, 2024factForm ADV
← N•••• J•••••••• S•••••OwnerMANAGING MEMBER, ownership code NA, individual
Mar 11, 2021 to Aug 1, 2024factForm ADV
← S••••• W••••••• A•••OwnerMANAGING MEMBER, ownership code NA, individual
May 3, 2019 to Aug 1, 2024factForm ADV
← K•••••• M•••••••• N•••••OwnerMANAGING MEMBER, ownership code NA, individual
Mar 7, 2024 to Aug 1, 2024factForm ADV
← F••••••• J•••• C••••OwnerMANAGING MEMBER, ownership code NA, individual
May 3, 2019 to Aug 1, 2024factForm ADV
← L•••••• D•••••• R•••••OwnerMANAGING MEMBER, ownership code NA, individual
Mar 16, 2023 to Aug 1, 2024factForm ADV
← C••••••• A•••• G•OwnerMANAGING MEMBER, ownership code NA, individual
Mar 16, 2023 to Aug 1, 2024factForm ADV
← Z••••••• P•••• S•••••OwnerMANAGING MEMBER, ownership code NA, individual
Mar 16, 2023 to Aug 1, 2024factForm ADV
← C••••••••• B•••••••• E••••••OwnerMANAGING MEMBER, ownership code NA, individual
Mar 7, 2024 to Aug 1, 2024factForm ADV
← L••••••• M••••••• J••••OwnerMANAGING MEMBER, ownership code NA, individual
Mar 7, 2024 to Aug 1, 2024factForm ADV

2025	Mar 2, 2026	$7.7B	$7.0B	83	48	14	n/a	n/a
2024	Mar 20, 2025	$5.7B	$5.3B	71	45	14	n/a	n/a
2023	Mar 7, 2024	$4.3B	$4.0B	60	38	13	n/a	n/a
2022	Mar 16, 2023	$2.9B	$2.6B	47	26	15	n/a	n/a
2021	Mar 10, 2022	$2.7B	$2.4B	47	26	14	n/a	n/a
2020	Mar 11, 2021	$1.8B	$1.6B	33	16	9	n/a	n/a
2019	Mar 10, 2020	$1.3B	$1.1B	30	20	11	n/a	n/a
2018	Mar 11, 2019	$841M	$841M	24	18	7	n/a	n/a
2017	Feb 26, 2018	$708M	$708M	19	13	6	n/a	n/a
2016	Jan 30, 2017	$440M	$440M	14	12	n/a	n/a	n/a
2015	Feb 3, 2016	$227M	$227M	11	9	n/a	n/a	n/a
2014	Feb 2, 2015	$160M	$160M	7	5	n/a	n/a	n/a
2013	Jan 9, 2014	$136M	$136M	6	4	n/a	n/a	n/a