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
G••••••••• A••••••••• I••
Latest filing Feb 10, 2026
First filing on the tape Mar 21, 2012 · 21 filings
SEC status approved since Mar 18, 1988
RAUM
$12B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
72%
$8.4B individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$12B
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$12B as of Feb 10, 2026
Mar 21, 2012$3.2B then
HNW client RAUM$8.4B as of Feb 10, 2026
Jan 22, 2018$4.5B then
State-registered IARs (5.B.3)0 as of Feb 10, 2026
Mar 21, 20120 then
Employees (5.A)7 as of Feb 10, 2026
Jan 8, 20136 then
Private funds: no history
RAUM +6.8% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 10, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $12BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $84.2MderivedHNW RAUM over HNW clients
- Average account
- $51.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$8.4B72%
- Charitable organizations$2.5B21%
- Corporations and businesses$563M4.8%
- Pension and profit-sharing plans$221M1.9%
- Individual clients
- 0reported
- HNW clients
- 100reported
- Pension plan clients
- 3reported
- Charitable clients
- 27reported
- Accounts
- 225reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.72 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• B•••••• S•••••••• | Purchase, Ny | Jan 12, 2026 | 20 y | 0 |
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••••• E•••• · Chairman, Chief Financial Officer & Chief Compliance Officercontrolsince 01/1988 · owns 50% to 75%
- D•••••••• E•••• · Vice Presidentsince 03/2004 · owns less than 5%
- M••••••••• A••• W••••••••• · Shareholdersince 01/1988 · owns 10% to 25%
- S••••••••• J•••••• B•••••• · Chief Investment Officersince 01/2017 · owns less than 5%
- W••••••••• C••••• A••••• · Presidentsince 01/2017 · owns 10% to 25%
- W••••••••• L••••• R••••• · Shareholdersince 01/1988 · owns 10% to 25%
- W•••••• K••• W••••••••• · Shareholdersince 01/1988 · 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 · 234 to 225Jan 3, 2025 to Jan 9, 2026
- HNW clients · 102 to 100Jan 3, 2025 to Jan 9, 2026
- Discretionary RAUM · $11B to $12BJan 3, 2025 to Jan 9, 2026
- HNW RAUM · $8.0B to $8.4BJan 3, 2025 to Jan 9, 2026
- Pension RAUM · $207M to $221MJan 3, 2025 to Jan 9, 2026
- RAUM · $11B to $12BJan 3, 2025 to Jan 9, 2026
- Accounts · 228 to 234Jan 4, 2024 to Jan 3, 2025
- HNW clients · 98 to 102Jan 4, 2024 to Jan 3, 2025
- Individual clients · 1 to 0Jan 4, 2024 to Jan 3, 2025
- Financial planning clients · 0 to 0Jan 4, 2024 to Jan 3, 2025
- Discretionary RAUM · $9.6B to $11BJan 4, 2024 to Jan 3, 2025
- HNW RAUM · $7.0B to $8.0BJan 4, 2024 to Jan 3, 2025
- Individual RAUM · $77,470 to $0Jan 4, 2024 to Jan 3, 2025
- Pension RAUM · $197M to $207MJan 4, 2024 to Jan 3, 2025
- RAUM · $9.6B to $11BJan 4, 2024 to Jan 3, 2025
- Accounts · 229 to 228Jan 6, 2023 to Jan 4, 2024
- Charity clients · 29 to 27Jan 6, 2023 to Jan 4, 2024
- HNW clients · 88 to 98Jan 6, 2023 to Jan 4, 2024
- Individual clients · 3 to 1Jan 6, 2023 to Jan 4, 2024
- Pooled vehicle clients · 15 to 0Jan 6, 2023 to Jan 4, 2024
- Discretionary RAUM · $7.2B to $9.6BJan 6, 2023 to Jan 4, 2024
- HNW RAUM · $4.5B to $7.0BJan 6, 2023 to Jan 4, 2024
- Individual RAUM · $1.5M to $77,470Jan 6, 2023 to Jan 4, 2024
- Pension RAUM · $148M to $197MJan 6, 2023 to Jan 4, 2024
- Pooled vehicle RAUM · 715790809.0 to unsetJan 6, 2023 to Jan 4, 2024
- RAUM · $7.2B to $9.6BJan 6, 2023 to Jan 4, 2024
- Accounts · 233 to 229Jan 10, 2022 to Jan 6, 2023
- Advisory employees · 3 to 4Jan 10, 2022 to Jan 6, 2023
- Charity clients · 30 to 29Jan 10, 2022 to Jan 6, 2023
- Corporate clients · 1 to 2Jan 10, 2022 to Jan 6, 2023
- HNW clients · 87 to 88Jan 10, 2022 to Jan 6, 2023
- Pooled vehicle clients · 17 to 15Jan 10, 2022 to Jan 6, 2023
- Employees · 6 to 7Jan 10, 2022 to Jan 6, 2023
- Discretionary RAUM · $8.6B to $7.2BJan 10, 2022 to Jan 6, 2023
- HNW RAUM · $5.5B to $4.5BJan 10, 2022 to Jan 6, 2023
- Individual RAUM · $1.5M to $1.5MJan 10, 2022 to Jan 6, 2023
- Pension RAUM · $187M to $148MJan 10, 2022 to Jan 6, 2023
- Pooled vehicle RAUM · $843M to $716MJan 10, 2022 to Jan 6, 2023
- RAUM · $8.6B to $7.2BJan 10, 2022 to Jan 6, 2023
- Accounts · 228 to 233Jan 8, 2021 to Jan 10, 2022
Signals
3 dated events
- G••••••••• A••••••••• I•• reported RAUM $9.6B, up 32% from $7.2B (2023-01-06 to 2024-01-04)Jan 4, 2024 · RAUM change · derived
- G••••••••• A••••••••• I•• reported RAUM $5.4B, down 29% from $7.6B (2018-10-24 to 2019-01-10)Jan 10, 2019 · RAUM change · derived
- G••••••••• A••••••••• I•• reported RAUM $7.6B, up 26% from $6.1B (2017-01-20 to 2018-01-22)Jan 22, 2018 · RAUM change · derived
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
- 914-253-9350reportedpublic record, Form ADV, Feb 10, 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
- $12Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026