DFX Intelligence

RIA Intelligence

ADV anomalies

What stands out against comparable advisers

Data quality rows (values that are likely filing errors) are kept apart and hidden unless asked for.

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8,320 anomalies
  • RETIREMENT PLANNING SPECIALISTS, INC.independent RIARAUM $371Maccount count surgeChange between filings
    accounts (Item 5.F.2.f) moved from 1,053.0 to 1,651.0 (+57.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +5.0% (3683 comparable advisers, 96.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (3,683)96% percentile5.9 robust deviationsconfidence 0.85
  • ZEPHYR WEALTH MANAGEMENTindependent RIARAUM $243Mdiscretionary share shiftChange between filings
    discretionary share of RAUM moved from 31.0% to 64.0% between the annual amendments of 2025-04-09 and 2026-03-31
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (5,683)confidence 0.85
  • HIGHVISTA STRATEGIES LLCasset managerRAUM $9.1BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $5,365,608,939 to $9,102,091,254 (+70.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +13.0% (632 comparable advisers, 90.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $5B to $20B (632)90% percentile2.7 robust deviationsconfidence 0.85
  • G•• S••••••••independent RIARAUM $307Maccount count collapseChange between filings
    accounts (Item 5.F.2.f) moved from 666.0 to 315.0 (-53.0%) between the annual amendments of 2025-04-22 and 2026-03-31; the peer median change was +5.0% (3683 comparable advisers, 3.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (3,683)2.8% percentile6.5 robust deviationsconfidence 0.85
  • F•••••••• A••••••••• L••mixed wealthRAUM $679Mclients down average size upCombination
    private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $572,988,609 to $678,965,757, advisors 4 to 4, private clients 198 to 119, offices 0 to 0 (2025-03-31 to 2026-03-31)
    filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (1,481)confidence 0.75
  • P••••••• I••••••••• M•••••••••asset managerRAUM $725Mdiscretionary share shiftChange between filings
    discretionary share of RAUM moved from 73.0% to 100.0% between the annual amendments of 2025-04-02 and 2026-03-31
    filing Mar 31, 2026peers: asset managers, $500M to $1B (784)confidence 0.85
  • B••••• H••••• U• I••••••••• M••••••••• L•asset managerRAUM $34BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $20,916,195,233 to $34,393,420,451 (+64.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +15.0% (470 comparable advisers, 93.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $20B and over (470)93% percentile3.2 robust deviationsconfidence 0.85
  • M•••• A•••• M••••••••• I•••independent RIARAUM $651MRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $386,314,126 to $650,868,175 (+68.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +16.0% (1382 comparable advisers, 96.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (1,382)96% percentile5.6 robust deviationsconfidence 0.85
  • C••••••••• C••••••••• I•••••••••independent RIARAUM $46Bdiscretionary share shiftChange between filings
    discretionary share of RAUM moved from 42.0% to 9.0% between the annual amendments of 2025-04-02 and 2026-03-31
    filing Mar 31, 2026peers: independent wealth managers, $20B and over (84)confidence 0.85
  • C••••• I••••••••• U• L•asset managerRAUM $137BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $78,356,981,797 to $137,437,353,519 (+75.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +15.0% (470 comparable advisers, 95.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $20B and over (470)95% percentile3.9 robust deviationsconfidence 0.85
  • I••••••• A••••••• S•••••••• L••mixed wealthRAUM $5.2Bdiscretionary share shiftChange between filings
    discretionary share of RAUM moved from 72.0% to 40.0% between the annual amendments of 2025-03-24 and 2026-03-31
    filing Mar 31, 2026peers: independent wealth managers, $5B to $20B (289)confidence 0.85
  • A•••• C•••••• M••••••••• U• L••asset managerRAUM $28BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $15,255,833,561 to $27,990,857,842 (+83.0%) between the annual amendments of 2025-04-04 and 2026-03-31; the peer median change was +15.0% (470 comparable advisers, 95.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $20B and over (470)95% percentile4.4 robust deviationsconfidence 0.85
  • G•••• B•••• C•••••• P••••••• L••asset managerRAUM $4.0BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $2,127,536,675 to $3,955,027,609 (+86.0%) between the annual amendments of 2025-04-24 and 2026-03-31; the peer median change was +11.0% (1364 comparable advisers, 92.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $1B to $5B (1,364)92% percentile3.2 robust deviationsconfidence 0.85
  • O••• A••••••• L•otherRAUM $2.2Bdiscretionary share shiftChange between filings
    discretionary share of RAUM moved from 100.0% to 74.0% between the annual amendments of 2025-03-31 and 2026-03-31
    filing Mar 31, 2026peers: other advisers, $1B to $5B (248)confidence 0.85
  • A••• G••••• A•••••••• L••independent RIARAUM $231Mclient count surgeChange between filings
    individual and HNW clients (Item 5.D) moved from 215.0 to 402.0 (+87.0%) between the annual amendments of 2025-03-21 and 2026-03-31; the peer median change was +3.0% (3308 comparable advisers, 99.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (3,308)99% percentile9.9 robust deviationsconfidence 0.85
  • A•••••••• C•••••• P•••••••asset managerRAUM $18BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $9,725,486,668 to $18,194,604,408 (+87.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +13.0% (632 comparable advisers, 94.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $5B to $20B (632)94% percentile3.5 robust deviationsconfidence 0.85
  • J••• G••••• L••asset managerRAUM $32BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $19,421,123,878 to $32,392,342,398 (+67.0%) between the annual amendments of 2025-04-14 and 2026-03-31; the peer median change was +15.0% (470 comparable advisers, 93.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $20B and over (470)93% percentile3.3 robust deviationsconfidence 0.85
  • G•• P••••••• L•asset managerRAUM $65BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $41,274,141,435 to $64,510,098,657 (+56.0%) between the annual amendments of 2025-04-09 and 2026-03-31; the peer median change was +15.0% (470 comparable advisers, 91.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $20B and over (470)91% percentile2.7 robust deviationsconfidence 0.85
  • W••••••••• A••••••••• I•••••••••asset managerRAUM $92BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $58,678,591,935 to $92,174,562,107 (+57.0%) between the annual amendments of 2025-04-23 and 2026-03-31; the peer median change was +15.0% (470 comparable advisers, 91.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $20B and over (470)91% percentile2.7 robust deviationsconfidence 0.85
  • C••••••• W••••• A•••••••• L••independent RIARAUM $102Mclient count collapseChange between filings
    individual and HNW clients (Item 5.D) moved from 1,402.0 to 125.0 (-91.0%) between the annual amendments of 2025-02-11 and 2026-03-31; the peer median change was +3.0% (3308 comparable advisers, 0.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (3,308)0.1% percentile11.1 robust deviationsconfidence 0.85
  • T•••• L••• P•••••••• L••otherRAUM $6.0Bdiscretionary share shiftChange between filings
    discretionary share of RAUM moved from 83.0% to 49.0% between the annual amendments of 2025-03-31 and 2026-03-31
    filing Mar 31, 2026peers: other advisers, $5B to $20B (133)confidence 0.85
  • P••••••• W••••• A•••••••independent RIARAUM $550Madvisor count surgeChange between filings
    advisory representatives (Item 5.B.3) moved from 9.0 to 14.0 (+56.0%) between the annual amendments of 2025-04-17 and 2026-03-31; the peer median change was 0.0% (792 comparable advisers, 98.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (792)98% percentile4.5 robust deviationsconfidence 0.85
  • G••••••• C•••••• A•••••••• L••mixed wealthRAUM $249Maccount count collapseChange between filings
    accounts (Item 5.F.2.f) moved from 304.0 to 113.0 (-63.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +5.0% (3683 comparable advisers, 2.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (3,683)1.8% percentile7.6 robust deviationsconfidence 0.85
  • T•••••••• P••••••• M••••••••• L••asset managerRAUM $2.6Bemployee count surgeChange between filings
    employees (Item 5.A) moved from 15.0 to 23.0 (+53.0%) between the annual amendments of 2025-04-30 and 2026-03-31; the peer median change was 0.0% (1105 comparable advisers, 99.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $1B to $5B (1,105)99% percentile4.7 robust deviationsconfidence 0.85
  • A••••••• I••••••••• S••••••••• G••••• L••independent RIARAUM $986Mgrowth on all axesCombination
    RAUM, offices and advisors all grew 25 percent or more in one year: a platform in expansion or an acquisition. RAUM $604,888,609 to $986,332,007, advisors 34 to 48, private clients 2966 to 4339, offices 28 to 36 (2025-03-25 to 2026-03-31)
    filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (1,481)confidence 0.75
  • I••••••••• D••••• A•••••••• L••independent RIARAUM $882Mclients down average size upCombination
    private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $828,210,292 to $881,932,987, advisors 15 to 14, private clients 868 to 649, offices 2 to 1 (2025-03-28 to 2026-03-31)
    filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (1,481)confidence 0.75
  • M•• A••••••• L••institutionalRAUM $2.6BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $1,497,268,874 to $2,556,217,487 (+71.0%) between the annual amendments of 2025-03-27 and 2026-03-31; the peer median change was +15.0% (105 comparable advisers, 96.0th percentile of changes)
    filing Mar 31, 2026peers: institutional managers, $1B to $5B (105)96% percentile3.0 robust deviationsconfidence 0.85
  • N•••••••• P•••••••• L••independent RIARAUM $12BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $6,596,242,797 to $12,185,185,517 (+85.0%) between the annual amendments of 2025-02-28 and 2026-03-31; the peer median change was +18.0% (271 comparable advisers, 96.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $5B to $20B (271)96% percentile4.4 robust deviationsconfidence 0.85
  • N••••••• I••••••••• A•••••••independent RIARAUM $273MRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $142,027,838 to $273,353,092 (+92.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +15.0% (4546 comparable advisers, 99.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (4,546)99% percentile7.6 robust deviationsconfidence 0.85
  • S•• V••••• W••••• M••••••••• C••••independent RIARAUM $101MRAUM down 50 %Change between filings
    RAUM (Item 5.F) moved from $105,972,255 to $52,827,000 (-50.0%) between the annual amendments of 2025-03-30 and 2026-03-31; the peer median change was +15.0% (4546 comparable advisers, 1.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (4,546)0.5% percentile6.4 robust deviationsconfidence 0.85
  • A••••••• I••••••••• M••••••••• U• I•••asset managerRAUM $607MRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $356,693,198 to $674,551,261 (+89.0%) between the annual amendments of 2024-09-18 and 2026-03-31; the peer median change was +8.0% (671 comparable advisers, 93.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $500M to $1B (671)93% percentile3.4 robust deviationsconfidence 0.85
  • A••• C•••••• M••••••••• L•mixed wealthRAUM $335MHNW share shiftChange between filings
    HNW share of RAUM moved from 15.0% to 41.0% between the annual amendments of 2025-03-31 and 2026-03-31
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (5,683)confidence 0.85
  • A••••••• C•••••• M••••••••• L•asset managerRAUM $191Mprivate fund count surgeChange between filings
    private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-26 and 2026-03-31; the peer median change was 0.0% (731 comparable advisers, 95.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $100M to $500M (731)95% percentileconfidence 0.85
  • K••••••• G••••• I••••••••• L••asset managerRAUM $10BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $5,515,697,989 to $10,176,761,958 (+85.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +13.0% (632 comparable advisers, 94.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $5B to $20B (632)94% percentile3.4 robust deviationsconfidence 0.85
  • E••••••• A••• P•••••••• L•asset managerRAUM $1.2Bdiscretionary share shiftChange between filings
    discretionary share of RAUM moved from 27.0% to 53.0% between the annual amendments of 2025-03-31 and 2026-03-31
    filing Mar 31, 2026peers: asset managers, $1B to $5B (1,506)confidence 0.85
  • L••••• W••••• M••••••••• L••independent RIARAUM $133MRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $83,058,912 to $132,820,358 (+60.0%) between the annual amendments of 2025-02-28 and 2026-03-31; the peer median change was +15.0% (4546 comparable advisers, 97.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (4,546)97% percentile4.4 robust deviationsconfidence 0.85
  • T•••••••• P•••••••• L••independent RIARAUM $569MRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $310,710,759 to $569,438,290 (+83.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +16.0% (1382 comparable advisers, 97.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (1,382)97% percentile7.2 robust deviationsconfidence 0.85
  • B••••• F••••••••independent RIARAUM $577Memployee count surgeChange between filings
    employees (Item 5.A) moved from 20.0 to 31.0 (+55.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (593 comparable advisers, 98.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (593)98% percentile4.8 robust deviationsconfidence 0.85
  • C••••••• I••••••••• G••••independent RIARAUM $209Maccount count surgeChange between filings
    accounts (Item 5.F.2.f) moved from 213.0 to 386.0 (+81.0%) between the annual amendments of 2025-04-18 and 2026-03-31; the peer median change was +5.0% (3683 comparable advisers, 97.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (3,683)97% percentile8.7 robust deviationsconfidence 0.85
  • F•••• T•••• G••••• P••••••••• L•••asset managerRAUM $339MRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $211,161,520 to $338,803,966 (+60.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +4.0% (1140 comparable advisers, 93.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $100M to $500M (1,140)93% percentile2.4 robust deviationsconfidence 0.85
  • G•• I••••••••• A•••••• L••asset managerRAUM $198MRAUM down 50 %Change between filings
    RAUM (Item 5.F) moved from $445,087,574 to $198,045,570 (-56.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +4.0% (1140 comparable advisers, 2.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $100M to $500M (1,140)2.3% percentile2.5 robust deviationsconfidence 0.85
  • I••••••• C•••••• G••••• L•••asset managerRAUM $1.3BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $710,283,303 to $1,252,696,280 (+76.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1364 comparable advisers, 91.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $1B to $5B (1,364)91% percentile2.8 robust deviationsconfidence 0.85
  • N••••• I••••••••• M••••••••• L••asset managerRAUM $42Bemployee count dropChange between filings
    employees (Item 5.A) moved from 238.0 to 63.0 (-74.0%) between the annual amendments of 2025-04-23 and 2026-03-31; the peer median change was +3.0% (461 comparable advisers, 0.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $20B and over (461)0.2% percentile7.7 robust deviationsconfidence 0.85
  • I•• W••••• M••••••••• L••BD affiliatedRAUM $9.8BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $6,376,084,483 to $9,801,751,527 (+54.0%) between the annual amendments of 2025-04-10 and 2026-03-31; the peer median change was +21.0% (52 comparable advisers, 90.0th percentile of changes)
    filing Mar 31, 2026peers: affiliated wealth managers, $5B to $20B (52)90% percentile2.9 robust deviationsconfidence 0.85
  • P••••••• A••••••• S•••••••• I•••independent RIARAUM $271Maccount count surgeChange between filings
    accounts (Item 5.F.2.f) moved from 609.0 to 1,079.0 (+77.0%) between the annual amendments of 2025-03-30 and 2026-03-31; the peer median change was +5.0% (3683 comparable advisers, 97.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (3,683)97% percentile8.2 robust deviationsconfidence 0.85
  • S••••••••• A•••••••• L••independent RIARAUM $9.8BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $5,979,259,343 to $9,834,015,630 (+64.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +18.0% (271 comparable advisers, 94.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $5B to $20B (271)94% percentile3.1 robust deviationsconfidence 0.85
  • M•••• R••• C•••••• P••••••• I•••asset managerRAUM $6.3BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $3,491,460,203 to $6,340,993,380 (+82.0%) between the annual amendments of 2025-03-05 and 2026-03-31; the peer median change was +13.0% (632 comparable advisers, 93.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $5B to $20B (632)93% percentile3.2 robust deviationsconfidence 0.85
  • T••• C•••••• M••••••••• L••asset managerRAUM $140MRAUM down 50 %Change between filings
    RAUM (Item 5.F) moved from $752,523,000 to $139,526,000 (-81.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +4.0% (1140 comparable advisers, 1.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $100M to $500M (1,140)0.8% percentile3.6 robust deviationsconfidence 0.85
  • K•••• R•••••• L•asset managerRAUM $275MRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $159,635,008 to $275,028,763 (+72.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +4.0% (1140 comparable advisers, 94.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $100M to $500M (1,140)94% percentile2.9 robust deviationsconfidence 0.85
  • P•••••••• F••• A•••••••• L••asset managerRAUM $780Memployee count dropChange between filings
    employees (Item 5.A) moved from 61.0 to 8.0 (-87.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (393 comparable advisers, 0.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $500M to $1B (393)0.3% percentile7.0 robust deviationsconfidence 0.85
  • M••• M••••••••• F••• A•••••••• L••asset managerRAUM $1.0BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $582,146,050 to $1,011,255,965 (+74.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1364 comparable advisers, 91.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $1B to $5B (1,364)91% percentile2.7 robust deviationsconfidence 0.85
  • R• M••••••••• L••asset managerRAUM $2.1Bemployee count dropChange between filings
    employees (Item 5.A) moved from 90.0 to 2.0 (-98.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (1105 comparable advisers, 0.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $1B to $5B (1,105)0.1% percentile8.6 robust deviationsconfidence 0.85
  • H•••••••• M••••••••• L•••independent RIARAUM $254Minstitutional asset share shiftChange between filings
    institutional share of RAUM moved from 25.0% to 0.0% between the annual amendments of 2025-03-31 and 2026-03-31
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (5,683)confidence 0.85
  • S•••••• C•••••• M••••••••• L•asset managerRAUM $298Memployee count dropChange between filings
    employees (Item 5.A) moved from 10.0 to 4.0 (-60.0%) between the annual amendments of 2025-04-21 and 2026-03-31; the peer median change was 0.0% (391 comparable advisers, 1.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $100M to $500M (391)1.3% percentile4.9 robust deviationsconfidence 0.85
  • R•••• P••••••• C•••••• M••••••••• L•independent RIARAUM $1.3Bwealth RIA private fund surgeCombination
    a wealth manager (private-client share at least 50 percent) whose private fund count grew by three or more and 50 percent or more. RAUM $1,218,263,689 to $1,319,282,408, advisors 0 to 0, private clients 181 to 181, offices 0 to 0 (2025-03-31 to 2026-03-31)
    filing Mar 31, 2026peers: independent wealth managers, $1B to $5B (1,363)confidence 0.75
  • F•••••••• F•••• M••••••••• L••asset managerRAUM $5.8BRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $3,168,724,000 to $5,799,058,000 (+83.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +13.0% (632 comparable advisers, 93.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $5B to $20B (632)93% percentile3.3 robust deviationsconfidence 0.85
  • E•••••••independent RIARAUM $1.1Bemployee count dropChange between filings
    employees (Item 5.A) moved from 59.0 to 19.0 (-68.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +4.0% (1050 comparable advisers, 0.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $1B to $5B (1,050)0.2% percentile7.2 robust deviationsconfidence 0.85
  • S•••••• M••••• L••independent RIARAUM $576MRAUM down advisors stableCombination
    RAUM fell 25 percent or more while the advisor count stayed within 5 percent: assets left without people leaving (a large client or institutional mandate, a fee change, or a reporting change). RAUM $991,714,376 to $576,142,421, advisors 12 to 12, private clients 613 to 127, offices 1 to 1 (2025-03-24 to 2026-03-31)
    filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (1,481)confidence 0.75
  • B••••••• F• E•••••• W••••• M••••••••• L••independent RIARAUM $705Mclients down average size upCombination
    private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $894,040,381 to $705,354,800, advisors 14 to 6, private clients 1812 to 1099, offices 5 to 4 (2025-03-31 to 2026-03-31)
    filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (1,481)confidence 0.75
  • N•••• W••••• A••••••• L••independent RIARAUM $902MRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $540,686,352 to $902,226,266 (+67.0%) between the annual amendments of 2025-04-22 and 2026-03-31; the peer median change was +16.0% (1382 comparable advisers, 96.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (1,382)96% percentile5.4 robust deviationsconfidence 0.85
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