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
C•••••• P•••• • C••••••• L•••••
Latest filing Jun 1, 2026
First filing on the tape Mar 30, 2012 · 32 filings
SEC status approved since Feb 14, 1984
RAUM
$916M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
73%
$671M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$916M
derived; firm RAUM over IAPD count
Employees
9
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$916M as of Jun 1, 2026
Mar 30, 2012$388M then
HNW client RAUM$66.6M as of Jun 1, 2026
Mar 15, 2018$92.3M then
State-registered IARs (5.B.3)0 as of Jun 1, 2026
Mar 30, 20120 then
Employees (5.A)9 as of Jun 1, 2026
Mar 27, 201310 then
Private funds1 as of Jun 1, 2026
Mar 25, 20191 then
RAUM n/a over the last fiscal year+10% a year over three
Practice profile
derived from the filing of Jun 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $916MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 308derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 9.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $916M, 308 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$604M66%
- Pooled investment vehicles$245M27%
- High-net-worth individuals$66.6M7.3%
- Individual clients
- 294reported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 544reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $916M for 308 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.73 fund_share=0.27 institutional_share=0.0 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 |
|---|---|---|---|---|
| E•••• M•••• L•••••• | New York, Ny | Aug 26, 2021 | 29 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C• I••••••••• P•••••••• L• | Other Private Fund | $23.8M | 63 | Mar 25, 2019 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• R••••••• J••••• · Officer - President And Ceocontrolsince 08/2024 · owns less than 5%
- C•••••• M••••••• · Officer - Vice Presidentcontrolsince 04/2019 · owns less than 5%
- H•••••••• D•••••• P•••• · Managing Member; Directorcontrolsince 01/1995 · owns less than 5%
- H•••• D••••• P•••• · Managing Member; Chairmancontrolsince 01/1995 · owns less than 5%
- L••• S•••• · Officer, Vice President - Taxcontrolsince 05/2022 · owns less than 5%
- L••••• C•••••• · Officer - Vice Presidentcontrolsince 12/2016 · owns less than 5%
- P••••• D••••• O••••• · Managing Member; Directorcontrolsince 10/2003 · owns less than 5%
- P••••• H•••••• I••••• · Managing Member; Directorcontrolsince 01/1995 · owns 5% to 10%
- P••••• M•••••••• C•••••• · Managing Member; Directorcontrolsince 01/1995 · owns less than 5%
- V•• I••••• A•••• H••••••••• · Managing Member; Directorcontrolsince 01/1995 · owns less than 5%
- P••••• M•••• O••••• · Membersince 07/2002 · owns 10% to 25%
- Y•••••••• S•••••• A•••• · Chief Compliance Officersince 12/2021 · owns less than 5%
Related persons
Schedule D 7.A
- D•••••• T•••• C••••••y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 567 to 544May 1, 2025 to Mar 9, 2026
- HNW clients · 15 to 14May 1, 2025 to Mar 9, 2026
- Individual clients · 309 to 294May 1, 2025 to Mar 9, 2026
- Pooled vehicle clients · 8 to 7May 1, 2025 to Mar 9, 2026
- Assets in custody · $877M to $916MMay 1, 2025 to Mar 9, 2026
- Discretionary RAUM · $844M to $887MMay 1, 2025 to Mar 9, 2026
- HNW RAUM · $63.9M to $66.6MMay 1, 2025 to Mar 9, 2026
- Individual RAUM · $566M to $604MMay 1, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $32.5M to $29.4MMay 1, 2025 to Mar 9, 2026
- Pooled vehicle RAUM · $246M to $245MMay 1, 2025 to Mar 9, 2026
- RAUM · $877M to $916MMay 1, 2025 to Mar 9, 2026
- Accounts · 573 to 567Aug 8, 2024 to May 1, 2025
- HNW clients · 18 to 15Aug 8, 2024 to May 1, 2025
- Individual clients · 300 to 309Aug 8, 2024 to May 1, 2025
- Assets in custody · $688M to $877MAug 8, 2024 to May 1, 2025
- Financial planning clients · 1-10 to 1-10Aug 8, 2024 to May 1, 2025
- Discretionary RAUM · $747M to $844MAug 8, 2024 to May 1, 2025
- HNW RAUM · $66.4M to $63.9MAug 8, 2024 to May 1, 2025
- Individual RAUM · $466M to $566MAug 8, 2024 to May 1, 2025
- Non-discretionary RAUM · $31.2M to $32.5MAug 8, 2024 to May 1, 2025
- Pooled vehicle RAUM · $245M to $246MAug 8, 2024 to May 1, 2025
- RAUM · $778M to $877MAug 8, 2024 to May 1, 2025
- Accounts · 633 to 573Apr 30, 2023 to Mar 27, 2024
- HNW clients · 21 to 18Apr 30, 2023 to Mar 27, 2024
- Individual clients · 321 to 300Apr 30, 2023 to Mar 27, 2024
- Pooled vehicle clients · 9 to 8Apr 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $593M to $747MApr 30, 2023 to Mar 27, 2024
- HNW RAUM · $64.2M to $66.4MApr 30, 2023 to Mar 27, 2024
- Individual RAUM · $415M to $466MApr 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $94.3M to $31.2MApr 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $209M to $245MApr 30, 2023 to Mar 27, 2024
- RAUM · $688M to $778MApr 30, 2023 to Mar 27, 2024
- Accounts · 651 to 633Sep 16, 2022 to Mar 23, 2023
- Individual clients · 325 to 321Sep 16, 2022 to Mar 23, 2023
- Assets in custody · $895M to $688MSep 16, 2022 to Mar 23, 2023
- Discretionary RAUM · $778M to $593MSep 16, 2022 to Mar 23, 2023
- HNW RAUM · $77.3M to $64.2MSep 16, 2022 to Mar 23, 2023
- Individual RAUM · $502M to $415MSep 16, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $117M to $94.3MSep 16, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $315M to $209MSep 16, 2022 to Mar 23, 2023
Signals
8 dated events
- Joseph Richard Coster (Officer - President And Ceo) appeared on Schedule A of C•••••• P•••• • C••••••• L•••••Aug 8, 2024 · Control person joined · fact
- Marie Ellen Lazarus (Officer - President & Ceo) no longer on Schedule A of C•••••• P•••• • C••••••• L••••• (listed 2024-03-27, absent 2024-08-08)Aug 8, 2024 · Control person left · inference
- Paul Peter Nitze (Managing Member; Director) no longer on Schedule A of C•••••• P•••• • C••••••• L••••• (listed 2022-09-16, absent 2023-03-23)Mar 23, 2023 · Control person left · inference
- Ralph Panfilo Almonte (Officer - Vice President - Tax) no longer on Schedule A of C•••••• P•••• • C••••••• L••••• (listed 2022-09-16, absent 2023-03-23)Mar 23, 2023 · Control person left · inference
- S•••• Lee (Officer, Vice President - Tax) appeared on Schedule A of C•••••• P•••• • C••••••• L•••••Mar 23, 2023 · Control person joined · fact
- M••••••• C••••• (Officer - Vice President) appeared on Schedule A of C•••••• P•••• • C••••••• L•••••May 11, 2020 · Control person joined · fact
- Ann Panoli (Officer - Vice President, Chief Compliance Officer) no longer on Schedule A of C•••••• P•••• • C••••••• L••••• (listed 2019-03-25, absent 2020-05-11)May 11, 2020 · Control person left · inference
- C•••••• P•••• • C••••••• L••••• reported RAUM $661.5M, up 63% from $406.3M (2017-03-10 to 2018-03-15)Mar 15, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- C•••••• P•••• • C••••••• L••••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business phone
- 212-867-0028reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-867-4444reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 307-635-5554reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- C••••••P••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-867-4444reportedpublic record, Form ADV, Jun 1, 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
- $916Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026