DFX Intelligence

RIA Intelligence

ADV anomalies

What stands out against comparable advisers

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8,320 anomalies
  • J. SAFRA ASSET MANAGEMENT CORPORATIONindependent RIARAUM $6.3Badvisor count surgeChange between filings
    advisory representatives (Item 5.B.3) moved from 6.0 to 9.0 (+50.0%) between the annual amendments of 2025-04-03 and 2026-03-31; the peer median change was +6.0% (220 comparable advisers, 92.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $5B to $20B (220)92% percentile3.6 robust deviationsconfidence 0.85
  • MERIT FINANCIAL ADVISORSBD affiliatedRAUM $24Badvisor count surgeChange between filings
    advisory representatives (Item 5.B.3) moved from 145.0 to 236.0 (+63.0%) between the annual amendments of 2025-04-28 and 2026-03-31; the peer median change was +7.0% (49 comparable advisers, 100.0th percentile of changes)
    filing Mar 31, 2026peers: affiliated wealth managers, $20B and over (49)100% percentile4.7 robust deviationsconfidence 0.85
  • FORTHRIGHT CAPITALindependent RIARAUM $108MRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $64,985,533 to $107,686,977 (+66.0%) between the annual amendments of 2025-01-30 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% percentile4.9 robust deviationsconfidence 0.85
  • G•• W••••• M••••••••• I•••independent RIARAUM $346Madvisor count surgeChange between filings
    advisory representatives (Item 5.B.3) moved from 5.0 to 8.0 (+60.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was 0.0% (965 comparable advisers, 98.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (965)98% percentile3.6 robust deviationsconfidence 0.85
  • A••••• T••••• P•••••• W•••••independent RIARAUM $6.0Badvisor count surgeChange between filings
    advisory representatives (Item 5.B.3) moved from 35.0 to 63.0 (+80.0%) between the annual amendments of 2025-04-28 and 2026-03-31; the peer median change was +6.0% (220 comparable advisers, 95.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $5B to $20B (220)95% percentile6.1 robust deviationsconfidence 0.85
  • A•• W••••• M•••••••••independent RIARAUM $216Mclients 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 $191,000,000 to $216,000,000, advisors 4 to 2, private clients 277 to 153, offices 0 to 0 (2025-03-31 to 2026-03-31)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (5,683)confidence 0.75
  • R•••••••• I••••••••• M•••••••••independent RIARAUM $534MRAUM up 50 %Change between filings
    RAUM (Item 5.F) moved from $273,053,474 to $534,120,550 (+96.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +16.0% (1382 comparable advisers, 98.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (1,382)98% percentile8.5 robust deviationsconfidence 0.85
  • N•••••••• P•••••••• L••independent RIARAUM $12Badvisor count surgeChange between filings
    advisory representatives (Item 5.B.3) moved from 44.0 to 75.0 (+70.0%) between the annual amendments of 2025-02-28 and 2026-03-31; the peer median change was +6.0% (220 comparable advisers, 94.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $5B to $20B (220)94% percentile5.3 robust deviationsconfidence 0.85
  • F•••••• W••••• A•••••••independent RIARAUM $210Mclients 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 $253,237,003 to $210,405,970, advisors 6 to 5, private clients 310 to 191, offices 2 to 1 (2025-03-26 to 2026-03-31)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (5,683)confidence 0.75
  • A•••••• P•••••••• A••••••• L••otherRAUM $978Madvisor count surgeChange between filings
    advisory representatives (Item 5.B.3) moved from 6.0 to 9.0 (+50.0%) between the annual amendments of 2025-04-30 and 2026-03-31; the peer median change was 0.0% (9 comparable advisers, 100.0th percentile of changes)
    filing Mar 31, 2026peers: other advisers, $500M to $1B (9)100% percentileconfidence 0.85
  • A••• G••••• A•••••••• L••independent RIARAUM $231Madvisor count surgeChange between filings
    advisory representatives (Item 5.B.3) moved from 5.0 to 8.0 (+60.0%) between the annual amendments of 2025-03-21 and 2026-03-31; the peer median change was 0.0% (965 comparable advisers, 98.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (965)98% percentile3.6 robust deviationsconfidence 0.85
  • J••• A•••••• L••independent RIARAUM $183Madvisor count surgeChange between filings
    advisory representatives (Item 5.B.3) moved from 6.0 to 10.0 (+67.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (965 comparable advisers, 99.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (965)99% percentile4.0 robust deviationsconfidence 0.85
  • L••independent RIARAUM $12Bnew owner headcount expandsCombination
    LAIRD NORTON WETHERBY TRUST joined Schedule A on the filing of 2026-03-31; advisors 34.0 to 58.0 between the annual amendments of 2025-04-01 and 2026-03-31
    filing Mar 31, 2026peers: independent wealth managers, $5B to $20B (289)confidence 0.75
  • A•••••• P•••••••• A••••••• L••otherRAUM $978Mclients 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 $698,759,657 to $977,614,793, advisors 6 to 9, private clients 1064 to 90, offices 0 to 3 (2025-04-30 to 2026-03-31)
    filing Mar 31, 2026peers: other advisers, $500M to $1B (95)confidence 0.75
  • V•••••• A•••••••• L••independent RIARAUM $6.7Badvisor count surgeChange between filings
    advisory representatives (Item 5.B.3) moved from 30.0 to 50.0 (+67.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +6.0% (220 comparable advisers, 94.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $5B to $20B (220)94% percentile5.0 robust deviationsconfidence 0.85
  • G• W••••• M••••••••• R••• L••independent RIARAUM $5.8Badvisor count surgeChange between filings
    advisory representatives (Item 5.B.3) moved from 18.0 to 34.0 (+89.0%) between the annual amendments of 2025-03-27 and 2026-03-31; the peer median change was +6.0% (220 comparable advisers, 97.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $5B to $20B (220)97% percentile6.9 robust deviationsconfidence 0.85
  • B••• G••••• W••••• A•••••••• I•••independent RIARAUM $1.4Badvisor count surgeChange between filings
    advisory representatives (Item 5.B.3) moved from 25.0 to 41.0 (+64.0%) between the annual amendments of 2025-03-21 and 2026-03-31; the peer median change was 0.0% (999 comparable advisers, 97.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $1B to $5B (999)97% percentile5.2 robust deviationsconfidence 0.85
  • L•• E••••••••• L••BD affiliatedRAUM $25Badvisor count surgeChange between filings
    advisory representatives (Item 5.B.3) moved from 2,096.0 to 3,209.0 (+53.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +7.0% (49 comparable advisers, 98.0th percentile of changes)
    filing Mar 31, 2026peers: affiliated wealth managers, $20B and over (49)98% percentile3.9 robust deviationsconfidence 0.85
  • W••••••••• C••••••• L••otherRAUM $1.3Bclient count collapseChange between filings
    individual and HNW clients (Item 5.D) moved from 154.0 to 63.0 (-59.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (37 comparable advisers, 6.0th percentile of changes)
    filing Mar 31, 2026peers: other advisers, $1B to $5B (37)5.6% percentile4.4 robust deviationsconfidence 0.85
  • D••••• E•••• A•••• M••••••••• L••independent RIARAUM $27.1Mclient count collapseChange between filings
    individual and HNW clients (Item 5.D) moved from 219.0 to 40.0 (-82.0%) between the annual amendments of 2025-01-31 and 2026-03-31; the peer median change was 0.0% (117 comparable advisers, 2.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, under $100M (117)1.7% percentile7.3 robust deviationsconfidence 0.85
  • N••••••• R••• E••••• A••••••• V••• L•••asset managerRAUM $1.9BRAUM down 50 %Change between filings
    RAUM (Item 5.F) moved from $5,720,668,000 to $1,930,816,000 (-66.0%) between the annual amendments of 2025-03-26 and 2026-03-31; the peer median change was +11.0% (1364 comparable advisers, 0.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $1B to $5B (1,364)0.4% percentile3.3 robust deviationsconfidence 0.85
  • S•••• A••••••• S•••••• ••• L••asset managerRAUM $1.7BRAUM down 50 %Change between filings
    RAUM (Item 5.F) moved from $3,848,584,000 to $1,714,566,000 (-55.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1364 comparable advisers, 1.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $1B to $5B (1,364)0.9% percentile2.9 robust deviationsconfidence 0.85
  • C••••••• P••••••• I••••••••• A•••••••• L••institutionalRAUM $38Bclient count collapseChange between filings
    individual and HNW clients (Item 5.D) moved from 4,757.0 to 219.0 (-95.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +14.0% (16 comparable advisers, 7.0th percentile of changes)
    filing Mar 31, 2026peers: I•••••••••, $20B and over (16)6.7% percentile4.3 robust deviationsconfidence 0.85
  • M• F•••••••• A•••• M••••••••• I•••independent RIARAUM $1.2Bclient count collapseChange between filings
    individual and HNW clients (Item 5.D) moved from 2,258.0 to 995.0 (-56.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +5.0% (1132 comparable advisers, 1.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $1B to $5B (1,132)0.9% percentile8.4 robust deviationsconfidence 0.85
  • C•••••••• C•••••• P•••••••• L••otherRAUM $1.7Bclient count collapseChange between filings
    individual and HNW clients (Item 5.D) moved from 801.0 to 123.0 (-85.0%) between the annual amendments of 2025-04-25 and 2026-03-31; the peer median change was 0.0% (37 comparable advisers, 3.0th percentile of changes)
    filing Mar 31, 2026peers: other advisers, $1B to $5B (37)2.8% percentile6.3 robust deviationsconfidence 0.85
  • M•••• W••••• L••independent RIARAUM $560Mclient count collapseChange between filings
    individual and HNW clients (Item 5.D) moved from 2,350.0 to 1,163.0 (-51.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +5.0% (1214 comparable advisers, 1.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (1,214)1.5% percentile7.4 robust deviationsconfidence 0.85
  • T••••• C••••••• L••asset managerRAUM $241MRAUM down 50 %Change between filings
    RAUM (Item 5.F) moved from $512,370,000 to $241,141,000 (-53.0%) between the annual amendments of 2025-03-18 and 2026-03-31; the peer median change was +4.0% (1140 comparable advisers, 3.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $100M to $500M (1,140)2.7% percentile2.4 robust deviationsconfidence 0.85
  • T•••••• C••••••• L••mixed wealthRAUM $97.5Mclient count collapseChange between filings
    individual and HNW clients (Item 5.D) moved from 371.0 to 117.0 (-68.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (117 comparable advisers, 4.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, under $100M (117)4.3% percentile6.1 robust deviationsconfidence 0.85
  • E•••••••independent RIARAUM $1.1Bclient count collapseChange between filings
    individual and HNW clients (Item 5.D) moved from 79,639.0 to 471.0 (-99.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +5.0% (1132 comparable advisers, 0.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $1B to $5B (1,132)0.0% percentile14.5 robust deviationsconfidence 0.85
  • S•••••• M••••• L••independent RIARAUM $576Mclient count collapseChange between filings
    individual and HNW clients (Item 5.D) moved from 613.0 to 127.0 (-79.0%) between the annual amendments of 2025-03-24 and 2026-03-31; the peer median change was +5.0% (1214 comparable advisers, 0.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (1,214)0.2% percentile11.3 robust deviationsconfidence 0.85
  • A••• C•••••• M••••••••• L•mixed wealthRAUM $335MRAUM down 50 %Change between filings
    RAUM (Item 5.F) moved from $700,641,708 to $334,730,631 (-52.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +15.0% (4546 comparable advisers, 0.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (4,546)0.4% percentile6.6 robust deviationsconfidence 0.85
  • A•••••• P•••••••• A••••••• L••otherRAUM $978Mclient count collapseChange between filings
    individual and HNW clients (Item 5.D) moved from 1,064.0 to 90.0 (-92.0%) between the annual amendments of 2025-04-30 and 2026-03-31; the peer median change was +2.0% (13 comparable advisers, 0.0th percentile of changes)
    filing Mar 31, 2026peers: other advisers, $500M to $1B (13)0.0% percentile4.1 robust deviationsconfidence 0.85
  • V••••• I••••••••• G•••• L••independent RIARAUM $53.1MRAUM down 50 %Change between filings
    RAUM (Item 5.F) moved from $183,484,494 to $53,087,330 (-71.0%) between the annual amendments of 2025-03-25 and 2026-03-31; the peer median change was +9.0% (215 comparable advisers, 5.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, under $100M (215)4.7% percentile4.9 robust deviationsconfidence 0.85
  • C••••• A•••• M•••••••••independent RIARAUM $1.5Bclient count surgeChange between filings
    individual and HNW clients (Item 5.D) moved from 1,063.0 to 1,734.0 (+63.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +5.0% (1132 comparable advisers, 97.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $1B to $5B (1,132)97% percentile8.1 robust deviationsconfidence 0.85
  • N•• A••••••• S••••••• I••independent RIARAUM $6.4Bclient count surgeChange between filings
    individual and HNW clients (Item 5.D) moved from 6,652.0 to 11,433.0 (+72.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +6.0% (224 comparable advisers, 94.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $5B to $20B (224)94% percentile5.7 robust deviationsconfidence 0.85
  • W••••••••• R••••••••• A•••••••institutionalRAUM $39Bclient count surgeChange between filings
    individual and HNW clients (Item 5.D) moved from 4,042.0 to 6,137.0 (+52.0%) between the annual amendments of 2025-04-16 and 2026-03-31; the peer median change was +14.0% (16 comparable advisers, 93.0th percentile of changes)
    filing Mar 31, 2026peers: institutional managers, $20B and over (16)93% percentile1.5 robust deviationsconfidence 0.85
  • M•••••••• W••••• A•••••••• L••independent RIARAUM $517Mclient count surgeChange between filings
    individual and HNW clients (Item 5.D) moved from 1,476.0 to 2,467.0 (+67.0%) between the annual amendments of 2025-03-07 and 2026-03-31; the peer median change was +5.0% (1214 comparable advisers, 98.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (1,214)98% percentile8.5 robust deviationsconfidence 0.85
  • N•••••••• P•••••••• L••independent RIARAUM $12Bclient count surgeChange between filings
    individual and HNW clients (Item 5.D) moved from 2,656.0 to 4,778.0 (+80.0%) between the annual amendments of 2025-02-28 and 2026-03-31; the peer median change was +6.0% (224 comparable advisers, 95.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $5B to $20B (224)95% percentile6.4 robust deviationsconfidence 0.85
  • L••• I••••••••• M•••••••••mixed wealthRAUM $1.2Bclient count surgeChange between filings
    individual and HNW clients (Item 5.D) moved from 157.0 to 285.0 (+82.0%) between the annual amendments of 2025-04-28 and 2026-03-31; the peer median change was +5.0% (1132 comparable advisers, 98.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $1B to $5B (1,132)98% percentile10.7 robust deviationsconfidence 0.85
  • W•••••• J••••• C•••••• M••••••••• I•••independent RIARAUM $694Mclient count surgeChange between filings
    individual and HNW clients (Item 5.D) moved from 1,153.0 to 1,879.0 (+63.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +5.0% (1214 comparable advisers, 98.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (1,214)98% percentile7.9 robust deviationsconfidence 0.85
  • C••••••• W••••• A•••••••• L••independent RIARAUM $102Mclients 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 $720,909,582 to $102,375,746, advisors 2 to 2, private clients 1402 to 125, offices 1 to 1 (2025-02-11 to 2026-03-31)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (5,683)confidence 0.75
  • C• A•••••••• L••independent RIARAUM $15Bclient count surgeChange between filings
    individual and HNW clients (Item 5.D) moved from 3,233.0 to 6,426.0 (+99.0%) between the annual amendments of 2025-04-03 and 2026-03-31; the peer median change was +6.0% (224 comparable advisers, 96.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $5B to $20B (224)96% percentile8.0 robust deviationsconfidence 0.85
  • P•• F•••••••• G••••independent RIARAUM $747Mclients 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 $728,473,115 to $747,082,147, advisors 17 to 14, private clients 2479 to 1350, offices 1 to 2 (2025-03-11 to 2026-03-31)
    filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (1,481)confidence 0.75
  • I••••• P••••••••• W•••••• L••independent RIARAUM $3.0Bclient count surgeChange between filings
    individual and HNW clients (Item 5.D) moved from 5,075.0 to 7,988.0 (+57.0%) between the annual amendments of 2025-04-21 and 2026-03-31; the peer median change was +5.0% (1132 comparable advisers, 96.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $1B to $5B (1,132)96% percentile7.3 robust deviationsconfidence 0.85
  • E•••••••independent RIARAUM $1.1Bclients 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 $2,128,783,447 to $1,131,232,881, advisors 30 to 13, private clients 79639 to 471, offices 0 to 12 (2025-03-31 to 2026-03-31)
    filing Mar 31, 2026peers: independent wealth managers, $1B to $5B (1,363)confidence 0.75
  • G•••••••• C•••••• P•••••••asset managerRAUM $3.2Bprivate fund count surgeChange between filings
    private funds (Schedule D 7.B.1) moved from 6.0 to 10.0 (+67.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (1019 comparable advisers, 97.0th percentile of changes)
    filing Mar 31, 2026peers: asset managers, $1B to $5B (1,019)97% percentile10.3 robust deviationsconfidence 0.85
  • P•••• • B•••• F••••••••independent RIARAUM $412Mclients 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 $364,000,000 to $411,940,000, advisors 4 to 4, private clients 743 to 473, offices 0 to 0 (2025-03-27 to 2026-03-31)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (5,683)confidence 0.75
  • S••• A•••••••• L••no RAUMclient count surgeChange between filings
    individual and HNW clients (Item 5.D) moved from 44,724.0 to 80,707.0 (+80.0%) between the annual amendments of 2025-03-12 and 2026-03-31; the peer median change was +7.0% (11 comparable advisers, 100.0th percentile of changes)
    filing Mar 31, 2026peers: other advisers, under $100M (11)100% percentile1.6 robust deviationsconfidence 0.85
  • F••••••••• C••••••independent RIARAUM $108Mclient count surgeChange between filings
    individual and HNW clients (Item 5.D) moved from 636.0 to 978.0 (+54.0%) between the annual amendments of 2025-01-30 and 2026-03-31; the peer median change was +3.0% (3308 comparable advisers, 97.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (3,308)97% percentile6.0 robust deviationsconfidence 0.85
  • G• W••••• M••••••••• R••• L••independent RIARAUM $5.8Bclient count surgeChange between filings
    individual and HNW clients (Item 5.D) moved from 144.0 to 247.0 (+72.0%) between the annual amendments of 2025-03-27 and 2026-03-31; the peer median change was +6.0% (224 comparable advisers, 94.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $5B to $20B (224)94% percentile5.7 robust deviationsconfidence 0.85
  • B••• G••••• W••••• A•••••••• I•••independent RIARAUM $1.4Bclient count surgeChange between filings
    individual and HNW clients (Item 5.D) moved from 370.0 to 660.0 (+78.0%) between the annual amendments of 2025-03-21 and 2026-03-31; the peer median change was +5.0% (1132 comparable advisers, 98.0th percentile of changes)
    filing Mar 31, 2026peers: independent wealth managers, $1B to $5B (1,132)98% percentile10.2 robust deviationsconfidence 0.85
  • B•••••••• L••independent RIARAUM $2.0Bclients 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 $1,236,940,085 to $1,988,796,480, advisors 36 to 0, private clients 2414 to 1757, offices 9 to 8 (2025-04-01 to 2026-03-31)
    filing Mar 31, 2026peers: independent wealth managers, $1B to $5B (1,363)confidence 0.75
  • W••••••• S••••••••• I•••BD affiliatedRAUM $286Mclient count surgeChange between filings
    individual and HNW clients (Item 5.D) moved from 842.0 to 1,627.0 (+93.0%) between the annual amendments of 2025-03-21 and 2026-03-31; the peer median change was +9.0% (19 comparable advisers, 94.0th percentile of changes)
    filing Mar 31, 2026peers: affiliated wealth managers (19)94% percentile3.0 robust deviationsconfidence 0.85
  • D••••• R••••• • S••••• W••••• M•••••••••independent RIARAUM $162Mclients 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 $141,908,118 to $162,298,479, advisors 3 to 3, private clients 276 to 140, offices 0 to 1 (2025-04-01 to 2026-03-31)
    filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (5,683)confidence 0.75
  • Z•••••• W••••• P•••••••independent RIARAUM $158Mclient mix shiftChange between filings
    private-client share of RAUM moved from 71.0% to 97.0% 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•••••••••independent RIARAUM $2.5Bclients 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 $1,841,154,148 to $2,496,202,761, advisors 107 to 128, private clients 11529 to 8466, offices 66 to 86 (2025-03-31 to 2026-03-31)
    filing Mar 31, 2026peers: independent wealth managers, $1B to $5B (1,363)confidence 0.75
  • M•• C•••••• M••••••••• L••independent RIARAUM $52Bclient mix shiftChange between filings
    private-client share of RAUM moved from 91.0% to 66.0% between the annual amendments of 2025-03-31 and 2026-03-31
    filing Mar 31, 2026peers: independent wealth managers, $20B and over (84)confidence 0.85
  • T•••• • C•otherRAUM $474Mclient mix shiftChange between filings
    private-client share of RAUM moved from 39.0% to 11.0% between the annual amendments of 2025-03-31 and 2026-03-31
    filing Mar 31, 2026peers: other advisers, $100M to $500M (212)confidence 0.85
  • L••••••• I••••••••• P•••••••• L•••otherRAUM $125MRAUM down 50 %Change between filings
    RAUM (Item 5.F) moved from $511,026,764 to $124,854,836 (-76.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +8.0% (161 comparable advisers, 2.0th percentile of changes)
    filing Mar 31, 2026peers: other advisers, $100M to $500M (161)1.9% percentile5.0 robust deviationsconfidence 0.85
  • S•••••••• E••••• P•••••••• L•••independent RIARAUM $891Mclients 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 $785,307,417 to $891,474,518, advisors 22 to 22, private clients 2696 to 1766, offices 16 to 17 (2025-03-27 to 2026-03-31)
    filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (1,481)confidence 0.75
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