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••••••• P•••••••• S••••••••• I••
Latest filing Mar 19, 2026
First filing on the tape Mar 1, 2012 · 36 filings
SEC status approved since Feb 5, 1996
RAUM
$133M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
68%
$91.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 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$133M as of Mar 19, 2026
Mar 1, 2012$128M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 28, 20130 then
Employees (5.A)4 as of Mar 19, 2026
Mar 28, 20135 then
Private funds: no history
RAUM +9.0% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $443,333derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%derivedbetween 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
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$91.0M68%
- Investment companies$42.0M32%
- Individual clients
- 299reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 300reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.68 fund_share=0.32 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- B•••••• J••••• W••• to A••••• P•••••••••Jan 10, 2006 · Other
Joined, latest
- B•••••• J••••• W••• from J• C••• F•••••••• A•••••••• I•••Aug 1, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• M•••• A•••••• · Presidentcontrolsince 03/1996 · owns 50% to 75%
- V•••••••• J•••••• V•••••• · Vice Presidentcontrolsince 03/1996 · owns 25% to 50%
- P•••• S•••••• E•••• · Chief Compliance Officersince 10/2018 · owns less than 5%
Related persons
Schedule D 7.A
- T•• P••••••• O••••••••• I•••real estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $122M to $133MMar 13, 2025 to Mar 19, 2026
- Individual RAUM · $84.0M to $91.0MMar 13, 2025 to Mar 19, 2026
- RAUM · $122M to $133MMar 13, 2025 to Mar 19, 2026
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 13, 2025
- Discretionary RAUM · $107M to $122MMar 26, 2024 to Mar 13, 2025
- Individual RAUM · $74.0M to $84.0MMar 26, 2024 to Mar 13, 2025
- RAUM · $107M to $122MMar 26, 2024 to Mar 13, 2025
- Employees · 5 to 4Mar 23, 2023 to Feb 2, 2024
- Discretionary RAUM · $95.0M to $107MMar 23, 2023 to Feb 2, 2024
- Individual RAUM · $66.0M to $74.0MMar 23, 2023 to Feb 2, 2024
- RAUM · $95.0M to $107MMar 23, 2023 to Feb 2, 2024
- Discretionary RAUM · $106M to $95.0MMar 25, 2022 to Mar 23, 2023
- Individual RAUM · $72.5M to $66.0MMar 25, 2022 to Mar 23, 2023
- RAUM · $106M to $95.0MMar 25, 2022 to Mar 23, 2023
- Advisory employees · 5 to 2Mar 23, 2021 to Mar 25, 2022
- Discretionary RAUM · $90.0M to $106MMar 23, 2021 to Mar 25, 2022
- Individual RAUM · $61.0M to $72.5MMar 23, 2021 to Mar 25, 2022
- RAUM · $90.0M to $106MMar 23, 2021 to Mar 25, 2022
- Discretionary RAUM · $84.0M to $90.0MAug 24, 2020 to Mar 23, 2021
- Individual RAUM · $52.0M to $61.0MAug 24, 2020 to Mar 23, 2021
- Pension RAUM · 4000000.0 to unsetAug 24, 2020 to Mar 23, 2021
- RAUM · $84.0M to $90.0MAug 24, 2020 to Mar 23, 2021
- Individual RAUM · $57.0M to $52.0MJun 26, 2020 to Aug 24, 2020
- Pension RAUM · unset to 4000000.0Jun 26, 2020 to Aug 24, 2020
- Accounts · 500 to 300Mar 20, 2019 to Mar 9, 2020
- Discretionary RAUM · $83.0M to $84.0MMar 20, 2019 to Mar 9, 2020
- RAUM · $83.0M to $84.0MMar 20, 2019 to Mar 9, 2020
- Advisory employees · 2 to 5Dec 10, 2018 to Mar 20, 2019
- Discretionary RAUM · $80.0M to $83.0MDec 10, 2018 to Mar 20, 2019
- Individual RAUM · $55.0M to $57.0MDec 10, 2018 to Mar 20, 2019
- RAUM · $80.0M to $83.0MDec 10, 2018 to Mar 20, 2019
- Advisory employees · 3 to 2Mar 23, 2017 to Mar 19, 2018
- Individual clients · unset to 299.0Mar 23, 2017 to Mar 19, 2018
- Other offices · unset to 0.0Mar 23, 2017 to Mar 19, 2018
- Discretionary RAUM · $82.0M to $80.0MMar 23, 2017 to Mar 19, 2018
- Individual RAUM · unset to 55000000.0Mar 23, 2017 to Mar 19, 2018
- RAUM · $82.0M to $80.0MMar 23, 2017 to Mar 19, 2018
- Discretionary RAUM · $91.0M to $82.0MJan 4, 2017 to Mar 23, 2017
- RAUM · $91.0M to $82.0MJan 4, 2017 to Mar 23, 2017
- Advisory activities · 2 to 3Sep 16, 2016 to Jan 4, 2017
Signals
No event on the tape.
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
- 845-297-3500reportedpublic record, Form ADV, Mar 19, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026