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
N••••••• R•••• • S••• I••
Latest filing Sep 2, 2026
First filing on the tape Dec 2, 2011 · 35 filings
SEC status approved since Dec 2, 1966
RAUM
$2.0B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
90%
$1.8B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$401M
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$2.0B as of Jan 7, 2026
Dec 2, 2011$1.2B then
HNW client RAUM$1.8B as of Jan 7, 2026
Jan 26, 2018$1.1B then
State-registered IARs (5.B.3)6 as of Jan 7, 2026
Jan 10, 20130 then
Employees (5.A)13 as of Jan 7, 2026
Jan 10, 201320 then
Private funds: no history
RAUM +4.3% over the last fiscal year+8.0% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Sep 2, 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
- RAUM per advisor
- $401MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.9MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 7.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $453M, 63 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.8B88%
- Charitable organizations$140M7.0%
- Individuals$45.8M2.3%
- Corporations and businesses$40.6M2.0%
- Pension and profit-sharing plans$14.7M0.7%
- Individual clients
- 98reported
- HNW clients
- 222reported
- Pension plan clients
- 8reported
- Charitable clients
- 17reported
- Accounts
- 811reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $453M for 63 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.08 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• A••••• T•••••Chartered Financial Analyst | New York, Ny | Jan 18, 2013 | 25 y | 0 |
| S••••• N•••••• S•••• | New York, Ny | Jan 15, 2020 | 34 y | 0 |
| R••• W••••••• C••••• | New York, Ny | Feb 9, 2021 | 15 y | 0 |
| J•••••• N•••••• C•• | New York, Ny | Feb 9, 2021 | 34 y | 1 |
| N••• P•••••• N••••• | New York, Ny | Mar 11, 2021 | 33 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
- B•••• E••••• L•••• to S••••••• C•••••• M••••••••• L••Jun 24, 2013 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• F••••• J••••• · Chief Compliance Officer / Vice President/ Secretarycontrolsince 06/2004 · owns 5% to 10%
- C•••••• R•••• W••••••• · Vice Presidentcontrolsince 08/2015 · owns 5% to 10%
- C••• J••••••• N•••••• · Vice Presidentcontrolsince 03/2013 · owns 10% to 25%
- N•••••• N•••• P•••••• · Treasurer, Vice Presidentcontrolsince 03/2008 · owns 10% to 25%
- S••••• S•••••• N•••••• · President Secretarycontrolsince 11/2015 · owns 25% to 50%
- T•••••• M•••• A••••• · Vice Presidentcontrolsince 01/2007 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 2, 2026A•••••••• F••••• J••••• (CHIEF COMPLIANCE OFFICER / VICE PRESIDENT/ SECRETARY) left Schedule A between the filings of 2016-01-05 and 2026-09-02peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Sep 2, 2026N•••••• N•••• P•••••• (TREASURER, VICE PRESIDENT) left Schedule A between the filings of 2016-01-05 and 2026-09-02peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJan 7, 2026 to Sep 2, 2026
- Related adviser · false to unsetJan 7, 2026 to Sep 2, 2026
- Related bank · false to unsetJan 7, 2026 to Sep 2, 2026
- Related broker-dealer · false to unsetJan 7, 2026 to Sep 2, 2026
- Related insurance company · false to unsetJan 7, 2026 to Sep 2, 2026
- Succession · false to unsetJan 7, 2026 to Sep 2, 2026
- Accounts · 813 to 811Jan 21, 2025 to Jan 7, 2026
- Charity clients · 16 to 17Jan 21, 2025 to Jan 7, 2026
- HNW clients · 230 to 222Jan 21, 2025 to Jan 7, 2026
- Individual clients · 103 to 98Jan 21, 2025 to Jan 7, 2026
- Assets in custody · $441M to $453MJan 21, 2025 to Jan 7, 2026
- Discretionary RAUM · $1.9B to $2.0BJan 21, 2025 to Jan 7, 2026
- HNW RAUM · $1.7B to $1.8BJan 21, 2025 to Jan 7, 2026
- Individual RAUM · $42.3M to $45.8MJan 21, 2025 to Jan 7, 2026
- Non-discretionary RAUM · $46.7M to $41.5MJan 21, 2025 to Jan 7, 2026
- Pension RAUM · $12.6M to $14.7MJan 21, 2025 to Jan 7, 2026
- RAUM · $1.9B to $2.0BJan 21, 2025 to Jan 7, 2026
- Accounts · 816 to 813Jan 25, 2024 to Jan 21, 2025
- Charity clients · 17 to 16Jan 25, 2024 to Jan 21, 2025
- HNW clients · 244 to 230Jan 25, 2024 to Jan 21, 2025
- Individual clients · 123 to 103Jan 25, 2024 to Jan 21, 2025
- Pension plan clients · 9 to 8Jan 25, 2024 to Jan 21, 2025
- Assets in custody · $392M to $441MJan 25, 2024 to Jan 21, 2025
- Financial planning clients · unset to Jan 25, 2024 to Jan 21, 2025
- Discretionary RAUM · $1.6B to $1.9BJan 25, 2024 to Jan 21, 2025
- HNW RAUM · $1.4B to $1.7BJan 25, 2024 to Jan 21, 2025
- Individual RAUM · $46.6M to $42.3MJan 25, 2024 to Jan 21, 2025
- Non-discretionary RAUM · $36.7M to $46.7MJan 25, 2024 to Jan 21, 2025
- Pension RAUM · $11.4M to $12.6MJan 25, 2024 to Jan 21, 2025
- RAUM · $1.6B to $1.9BJan 25, 2024 to Jan 21, 2025
- Accounts · 839 to 816Jan 17, 2023 to Jan 25, 2024
- Corporate clients · 11 to 10Jan 17, 2023 to Jan 25, 2024
- HNW clients · 219 to 244Jan 17, 2023 to Jan 25, 2024
- Individual clients · 115 to 123Jan 17, 2023 to Jan 25, 2024
- Pension plan clients · 4 to 9Jan 17, 2023 to Jan 25, 2024
- Assets in custody · $435M to $392MJan 17, 2023 to Jan 25, 2024
- Discretionary RAUM · $1.5B to $1.6BJan 17, 2023 to Jan 25, 2024
- HNW RAUM · $1.4B to $1.4BJan 17, 2023 to Jan 25, 2024
- Individual RAUM · $41.9M to $46.6MJan 17, 2023 to Jan 25, 2024
- Non-discretionary RAUM · $134M to $36.7MJan 17, 2023 to Jan 25, 2024
Signals
4 dated events
- Fewell Edwin Legard (Vice President) no longer on Schedule A of N••••••• R•••• • S••• I•• (listed 2022-08-25, absent 2022-09-26)Sep 26, 2022 · Control person left · inference
- Patrick Matthew Devine (Vice President) no longer on Schedule A of N••••••• R•••• • S••• I•• (listed 2021-01-20, absent 2021-05-28)May 28, 2021 · Control person left · inference
- Patrick Matthew Devine (Vice President) appeared on Schedule A of N••••••• R•••• • S••• I••Jan 17, 2020 · Control person joined · fact
- Elizabeth Joan Mcgreevy (Vice President) no longer on Schedule A of N••••••• R•••• • S••• I•• (listed 2018-07-19, absent 2019-01-28)Jan 28, 2019 · 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 phone
- 212-725-1440reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-689-8746reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- NEVR••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-725-1440reportedpublic record, Form ADV, Sep 2, 2026
- Contact form
- n•••••••.comreportedpublished 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
- $401Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026