DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••••• A••••••• S•••••••• I••
Latest filing Mar 26, 2024
First filing on the tape Mar 1, 2012 · 27 filings
SEC status approved since Nov 16, 1994
RAUM
$108M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$108M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$108M as of Mar 26, 2024
Mar 1, 2012$79.1M then
HNW client RAUM$104M as of Mar 26, 2024
Mar 22, 2018$109M then
State-registered IARs (5.B.3)0 as of Mar 26, 2024
Mar 1, 20120 then
Employees (5.A)1 as of Mar 26, 2024
Feb 6, 20133 then
Private funds: no history
RAUM +5.3% over the last fiscal year-5.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2024; 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
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $826,122derivedRAUM 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
- +5.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$104M96%
- Individuals$4.1M3.7%
- Individual clients
- 7reported
- HNW clients
- 24reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 131reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 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
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
- S••••••• D••••• Z•••••• · Presidentcontrolsince 05/1996 · owns 75% or more
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 · 141 to 131Mar 2, 2023 to Mar 26, 2024
- HNW clients · 27 to 24Mar 2, 2023 to Mar 26, 2024
- Individual clients · 9 to 7Mar 2, 2023 to Mar 26, 2024
- Discretionary RAUM · $103M to $108MMar 2, 2023 to Mar 26, 2024
- HNW RAUM · $98.2M to $104MMar 2, 2023 to Mar 26, 2024
- Individual RAUM · $4.6M to $4.1MMar 2, 2023 to Mar 26, 2024
- RAUM · $103M to $108MMar 2, 2023 to Mar 26, 2024
- Accounts · 155 to 141Feb 9, 2022 to Mar 2, 2023
- HNW clients · 30 to 27Feb 9, 2022 to Mar 2, 2023
- Individual clients · 11 to 9Feb 9, 2022 to Mar 2, 2023
- Discretionary RAUM · $140M to $103MFeb 9, 2022 to Mar 2, 2023
- HNW RAUM · $133M to $98.2MFeb 9, 2022 to Mar 2, 2023
- Individual RAUM · $7.0M to $4.6MFeb 9, 2022 to Mar 2, 2023
- RAUM · $140M to $103MFeb 9, 2022 to Mar 2, 2023
- Accounts · 42 to 155Feb 12, 2021 to Feb 9, 2022
- HNW clients · 33 to 30Feb 12, 2021 to Feb 9, 2022
- Individual clients · 9 to 11Feb 12, 2021 to Feb 9, 2022
- Discretionary RAUM · $129M to $140MFeb 12, 2021 to Feb 9, 2022
- HNW RAUM · $124M to $133MFeb 12, 2021 to Feb 9, 2022
- Individual RAUM · $5.5M to $7.0MFeb 12, 2021 to Feb 9, 2022
- RAUM · $129M to $140MFeb 12, 2021 to Feb 9, 2022
- Accounts · 193 to 42Nov 20, 2020 to Feb 12, 2021
- Individual clients · 10 to 9Nov 20, 2020 to Feb 12, 2021
- Discretionary RAUM · $119M to $129MNov 20, 2020 to Feb 12, 2021
- HNW RAUM · $115M to $124MNov 20, 2020 to Feb 12, 2021
- Individual RAUM · $3.6M to $5.5MNov 20, 2020 to Feb 12, 2021
- RAUM · $119M to $129MNov 20, 2020 to Feb 12, 2021
- HQ city · NEW YORK to unsetApr 23, 2020 to Nov 20, 2020
- HQ state · NY to unsetApr 23, 2020 to Nov 20, 2020
- Accounts · 195 to 193Feb 20, 2019 to Feb 12, 2020
- HNW clients · 29 to 33Feb 20, 2019 to Feb 12, 2020
- Individual clients · 14 to 10Feb 20, 2019 to Feb 12, 2020
- Discretionary RAUM · $106M to $119MFeb 20, 2019 to Feb 12, 2020
- HNW RAUM · $106M to $115MFeb 20, 2019 to Feb 12, 2020
- Individual RAUM · $608,000 to $3.6MFeb 20, 2019 to Feb 12, 2020
- RAUM · $106M to $119MFeb 20, 2019 to Feb 12, 2020
- Accounts · 201 to 195Nov 6, 2018 to Feb 20, 2019
- HNW clients · 33 to 29Nov 6, 2018 to Feb 20, 2019
- Individual clients · 12 to 14Nov 6, 2018 to Feb 20, 2019
- Discretionary RAUM · $116M to $106MNov 6, 2018 to Feb 20, 2019
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
- Business email
- darinschnall@schnalladvisory.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-967-6155reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- S••••••ADVISORY.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-967-6155reportedpublic record, Form ADV, Mar 26, 2024
- Contact form
- SCHNALLADVISORY.COM/contactreportedpublished by the firm, firm site, Sep 17, 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