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
P•••••• A•••• M••••••••• I••
Latest filing Jun 12, 2026
First filing on the tape Nov 21, 2011 · 30 filings
SEC status approved since May 25, 1963
RAUM
$554M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$462M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$185M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$554M as of Jun 12, 2026
Feb 10, 2012$133M then
HNW client RAUM$412M as of Jun 12, 2026
Mar 20, 2018$128M then
State-registered IARs (5.B.3)3 as of Jun 12, 2026
Feb 20, 20130 then
Employees (5.A)5 as of Jun 12, 2026
Feb 20, 20135 then
Private funds: no history
RAUM +17% over the last fiscal year+18% a year over threeIARs 3 to 3offices 0 to 1
Practice profile
derived from the filing of Jun 12, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $185MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $692,019derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$412M74%
- Other investment advisers$91.3M16%
- Individuals$49.7M9.0%
- Pension and profit-sharing plans$187,4810.0%
- Individual clients
- 158reported
- HNW clients
- 126reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 800reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.83 fund_share=0.16 institutional_share=0.0 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 |
|---|---|---|---|---|
| R••• D•• B••••Certified Financial Planner | Morristown, Nj | Nov 6, 2018 | 38 y | 2 |
| J••••• L•••• B•••••Chartered Financial Analyst | Morristown, Nj | Mar 27, 2025 | 12 y | 1 |
| J••• M••••• S••••••••• | Miami, Fl | Apr 4, 2025 | 31 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
- R••• D•• B•••• to S••••• • E••••••••• I••••••••• A•••••••• L••Nov 1, 2016 · Other
Joined, latest
- J••• M••••• S••••••••• from S••••• • E••••••••• I••••••••• A•••••••• L••Apr 4, 2025 · RIA to RIA
- J••••• L•••• B••••• from C•••••• S••••• • C••• I•••Mar 27, 2025 · Affiliated broker-dealer or bank to independent RIA
- R••• D•• B•••• from S••••• • E••••••••• I••••••••• A•••••••• L••Nov 6, 2018 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S••••• • E••••••••• I••••••••• A•••••••• L••Dec 31, 2024 · Montebello, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• C•••••••• J•• · Chief Compliance Officer / Senior Vice Presidentcontrolsince 11/2006 · owns less than 5%
- B••••• R•••• D•• · Co-Presidentcontrolsince 03/2005 · owns 50% to 75%
- S••••••••• J•••• M••••• · Co-Presidentcontrolsince 03/2005 · owns 50% to 75%
Related persons
Schedule D 7.A
- P•••••• G••••• L••investment adviseryRAUM $91.3M
- S••••• • E••••••••• I••••••••• A•••••••• L••investment adviseryRAUM $18.9M
Advisers that list P•••••• A•••• M••••••••• I•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Morristown, Nj · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 0 to 1Mar 22, 2026 to Jun 12, 2026
- Accounts · 764 to 800Mar 12, 2025 to Mar 22, 2026
- HNW clients · 110 to 126Mar 12, 2025 to Mar 22, 2026
- Discretionary RAUM · $473M to $554MMar 12, 2025 to Mar 22, 2026
- HNW RAUM · $342M to $412MMar 12, 2025 to Mar 22, 2026
- Individual RAUM · $53.9M to $49.7MMar 12, 2025 to Mar 22, 2026
- Pension RAUM · $194,146 to $187,481Mar 12, 2025 to Mar 22, 2026
- RAUM · $473M to $554MMar 12, 2025 to Mar 22, 2026
- Accounts · 808 to 764Mar 22, 2024 to Mar 12, 2025
- HNW clients · 92 to 110Mar 22, 2024 to Mar 12, 2025
- Individual clients · 161 to 158Mar 22, 2024 to Mar 12, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 12, 2025
- HQ city · MONTEBELLO to MORRISTOWNMar 22, 2024 to Mar 12, 2025
- HQ state · NY to NJMar 22, 2024 to Mar 12, 2025
- Discretionary RAUM · $412M to $473MMar 22, 2024 to Mar 12, 2025
- HNW RAUM · $279M to $342MMar 22, 2024 to Mar 12, 2025
- Individual RAUM · $56.1M to $53.9MMar 22, 2024 to Mar 12, 2025
- Pension RAUM · $91,224 to $194,146Mar 22, 2024 to Mar 12, 2025
- RAUM · $412M to $473MMar 22, 2024 to Mar 12, 2025
- Accounts · 793 to 808Nov 22, 2023 to Mar 21, 2024
- Advisory employees · 2 to 3Nov 22, 2023 to Mar 21, 2024
- HNW clients · 70 to 92Nov 22, 2023 to Mar 21, 2024
- Individual clients · 173 to 161Nov 22, 2023 to Mar 21, 2024
- State-registered IARs · 2 to 3Nov 22, 2023 to Mar 21, 2024
- Discretionary RAUM · $335M to $412MNov 22, 2023 to Mar 21, 2024
- HNW RAUM · $216M to $279MNov 22, 2023 to Mar 21, 2024
- Individual RAUM · $59.1M to $56.1MNov 22, 2023 to Mar 21, 2024
- Pension RAUM · unset to 91224.0Nov 22, 2023 to Mar 21, 2024
- RAUM · $335M to $412MNov 22, 2023 to Mar 21, 2024
- Accounts · 768 to 793Apr 12, 2022 to Feb 8, 2023
- HNW clients · 85 to 70Apr 12, 2022 to Feb 8, 2023
- Individual clients · 149 to 173Apr 12, 2022 to Feb 8, 2023
- Employees · 2 to 5Apr 12, 2022 to Feb 8, 2023
- Discretionary RAUM · $384M to $335MApr 12, 2022 to Feb 8, 2023
- HNW RAUM · $247M to $216MApr 12, 2022 to Feb 8, 2023
- Individual RAUM · $50.7M to $59.1MApr 12, 2022 to Feb 8, 2023
- Pension RAUM · 6298467.0 to unsetApr 12, 2022 to Feb 8, 2023
- RAUM · $384M to $335MApr 12, 2022 to Feb 8, 2023
- Accounts · 730 to 768Mar 19, 2021 to Mar 29, 2022
- HNW clients · 80 to 85Mar 19, 2021 to Mar 29, 2022
Signals
1 dated events
- 2 advisors left S••••• • E••••••••• I••••••••• A•••••••• L•• (Montebello, NY) for P•••••• A•••• M••••••••• I•• on the same dayDec 31, 2024 · Team lift-out · 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
- Business phone
- 845-369-9420reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 845-369-9422reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 845-369-9422reportedpublic record, Form ADV, Jun 12, 2026
- Contact form
- pegasusassetmgt.com/contact-pegasus-asset-managementreportedpublished 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
- $185Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026