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.
SEC-registered adviser
Avity Investment Management Inc.
Latest filing Jun 25, 2026
First filing on the tape Nov 15, 2011 · 36 filings
SEC status approved since Mar 26, 1970
RAUM
$2.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$1.7B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$676M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$2.0B as of Jun 25, 2026
Mar 13, 2012$831M then
HNW client RAUM$1.7B as of Jun 25, 2026
Mar 14, 2018$1.0B then
State-registered IARs (5.B.3)3 as of Jun 25, 2026
Mar 13, 20120 then
Employees (5.A)8 as of Jun 25, 2026
Mar 21, 20139 then
Private funds: no history
RAUM +8.8% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $676MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.0MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $359M, 94 clientsreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.7B84%
- Charitable organizations$178M8.8%
- Corporations and businesses$89.3M4.4%
- Pension and profit-sharing plans$54.2M2.7%
- Individuals$11.7M0.6%
- Individual clients
- 33reported
- HNW clients
- 241reported
- Pension plan clients
- n/areported
- Charitable clients
- 20reported
- Accounts
- 826reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $359M for 94 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Howard Park Duncan | Greenwich, Ct | Mar 14, 2000 | 26 y | 0 |
| Edward Charles LongChartered Financial Analyst | Greenwich, Ct | Jan 10, 2006 | 31 y | 0 |
| Christopher D WardChartered Financial Analyst | Greenwich, Ct | Aug 17, 2022 | 15 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Peter Jonathan Secrist to Crestone Asset Management LLCDec 14, 2005 · Other
Joined, latest
- Christopher D Ward from Morgan StanleyAug 17, 2022 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Park Howard Duncan · President & Treasurercontrolsince 07/2023 · owns 25% to 50%
- Charles Edward Long · Executive Vice President Officercontrolsince 12/2005 · owns 25% to 50%
- D Christopher Ward · Vice Presidentcontrolsince 08/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenwich, Ct · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 25, 2026WARD, CHRISTOPHER, D (VICE PRESIDENT) left Schedule A between the filings of 2022-08-23 and 2026-06-25peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 796 to 826Nov 3, 2025 to Mar 31, 2026
- Advisory activities · 2 to 3Nov 3, 2025 to Mar 31, 2026
- Corporate clients · 10 to 9Nov 3, 2025 to Mar 31, 2026
- HNW clients · 225 to 241Nov 3, 2025 to Mar 31, 2026
- Individual clients · 23 to 33Nov 3, 2025 to Mar 31, 2026
- Assets in custody · $244M to $359MNov 3, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.9B to $2.0BNov 3, 2025 to Mar 31, 2026
- HNW RAUM · $1.6B to $1.7BNov 3, 2025 to Mar 31, 2026
- Individual RAUM · $6.3M to $11.7MNov 3, 2025 to Mar 31, 2026
- Pension RAUM · $44.4M to $54.2MNov 3, 2025 to Mar 31, 2026
- RAUM · $1.9B to $2.0BNov 3, 2025 to Mar 31, 2026
- Accounts · 763 to 796Feb 23, 2024 to Mar 21, 2025
- Charity clients · 19 to 20Feb 23, 2024 to Mar 21, 2025
- HNW clients · 229 to 225Feb 23, 2024 to Mar 21, 2025
- Individual clients · 21 to 23Feb 23, 2024 to Mar 21, 2025
- Pension plan clients · 5.0 to unsetFeb 23, 2024 to Mar 21, 2025
- Pooled vehicle clients · 0.0 to unsetFeb 23, 2024 to Mar 21, 2025
- Assets in custody · $222M to $244MFeb 23, 2024 to Mar 21, 2025
- Financial planning clients · unset to Feb 23, 2024 to Mar 21, 2025
- Discretionary RAUM · $1.7B to $1.9BFeb 23, 2024 to Mar 21, 2025
- HNW RAUM · $1.4B to $1.6BFeb 23, 2024 to Mar 21, 2025
- Individual RAUM · $5.7M to $6.3MFeb 23, 2024 to Mar 21, 2025
- Pension RAUM · $40.7M to $44.4MFeb 23, 2024 to Mar 21, 2025
- RAUM · $1.7B to $1.9BFeb 23, 2024 to Mar 21, 2025
- Accounts · 761 to 763Oct 30, 2023 to Feb 23, 2024
- Advisory employees · 4 to 3Oct 30, 2023 to Feb 23, 2024
- Corporate clients · 7 to 10Oct 30, 2023 to Feb 23, 2024
- HNW clients · 222 to 229Oct 30, 2023 to Feb 23, 2024
- Individual clients · 20 to 21Oct 30, 2023 to Feb 23, 2024
- Assets in custody · $165M to $222MOct 30, 2023 to Feb 23, 2024
- Employees · 9 to 8Oct 30, 2023 to Feb 23, 2024
- State-registered IARs · 4 to 3Oct 30, 2023 to Feb 23, 2024
- Discretionary RAUM · $1.5B to $1.7BOct 30, 2023 to Feb 23, 2024
- HNW RAUM · $1.2B to $1.4BOct 30, 2023 to Feb 23, 2024
- Individual RAUM · $6.7M to $5.7MOct 30, 2023 to Feb 23, 2024
- Pension RAUM · $40.6M to $40.7MOct 30, 2023 to Feb 23, 2024
- RAUM · $1.5B to $1.7BOct 30, 2023 to Feb 23, 2024
- Accounts · 741 to 761Aug 23, 2022 to Mar 8, 2023
- Corporate clients · 9 to 7Aug 23, 2022 to Mar 8, 2023
- HNW clients · 217 to 222Aug 23, 2022 to Mar 8, 2023
Signals
3 dated events
- Kirkman Stephen Grimm (President & Treasurer) no longer on Schedule A of Avity Investment Management Inc. (listed 2023-03-08, absent 2023-07-12)Jul 12, 2023 · Control person left · inference
- D Christopher Ward (Vice President) appeared on Schedule A of Avity Investment Management Inc.Aug 23, 2022 · Control person joined · fact
- Howard Thomas Gillespie (Director) no longer on Schedule A of Avity Investment Management Inc. (listed 2020-08-28, absent 2021-02-01)Feb 1, 2021 · Control person left · inference
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
- info@avityim.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-629-2800reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-629-3762reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/avity-investment-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- AVITYIM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 203-629-2800reportedpublic record, Form ADV, Jun 25, 2026
- Contact form
- avityim.com/contactreportedpublished 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
- $676Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026