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
F•••••••• A•••• M••••••••• C•••
Latest filing Mar 18, 2026
First filing on the tape Mar 7, 2012 · 26 filings
SEC status approved since Aug 22, 1986
RAUM
$436M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
99%
$433M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$145M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$436M as of Mar 18, 2026
Mar 7, 2012$125M then
HNW client RAUM$382M as of Mar 18, 2026
Mar 16, 2018$194M then
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Mar 7, 20120 then
Employees (5.A)3 as of Mar 18, 2026
Feb 28, 20134 then
Private funds: no history
RAUM +11% over the last fiscal year+11% a year over threeIARs 3 to 2offices 2 to 1
Practice profile
derived from the filing of Mar 18, 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
- $145MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $515,550derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$382M88%
- Individuals$51.2M12%
- Pension and profit-sharing plans$2.8M0.6%
- Individual clients
- 99reported
- HNW clients
- 105reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 846reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| V••••••• K••••Certified Financial Planner | Chappaqua, Ny | Aug 31, 2021 | 21 y | 0 |
| E••••• S•••• H••••Certified Financial Planner | Chappaqua, Ny | Aug 31, 2021 | 12 y | 0 |
| S•••• M•••••• K••••Certified Financial Planner | Chappaqua, Ny | Aug 31, 2021 | 40 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
- V•••••• J••••• L••••••••• to W•••••• H••••• • C•• F•••••••• A•••••••• I•••Jun 30, 2023 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• S••••• M•••••• · President & Chief Compliance Officercontrolsince 01/1986 · owns 75% or more
- K••••• V••••••• · Vice President/Principalsince 01/2010 · 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 |
|---|---|---|---|---|---|
| Chappaqua, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 18, 2026RAUM per registered advisor of $145,385,139 against a peer median of $55,731,856 (3254 comparable advisers, 98.0th percentile, 3.1 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 828 to 846Mar 24, 2025 to Mar 18, 2026
- Advisory employees · 4 to 3Mar 24, 2025 to Mar 18, 2026
- HNW clients · 106 to 105Mar 24, 2025 to Mar 18, 2026
- Individual clients · 97 to 99Mar 24, 2025 to Mar 18, 2026
- Employees · 4 to 3Mar 24, 2025 to Mar 18, 2026
- State-registered IARs · 3 to 2Mar 24, 2025 to Mar 18, 2026
- Other offices · 2 to 1Mar 24, 2025 to Mar 18, 2026
- Discretionary RAUM · $349M to $388MMar 24, 2025 to Mar 18, 2026
- HNW RAUM · $346M to $382MMar 24, 2025 to Mar 18, 2026
- Individual RAUM · $44.3M to $51.2MMar 24, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $43.8M to $48.5MMar 24, 2025 to Mar 18, 2026
- Pension RAUM · $2.5M to $2.8MMar 24, 2025 to Mar 18, 2026
- RAUM · $393M to $436MMar 24, 2025 to Mar 18, 2026
- Accounts · 777 to 828Sep 24, 2024 to Mar 24, 2025
- Advisory employees · 3 to 4Sep 24, 2024 to Mar 24, 2025
- Advisory activities · 3 to 4Sep 24, 2024 to Mar 24, 2025
- HNW clients · 103 to 106Sep 24, 2024 to Mar 24, 2025
- Individual clients · 91 to 97Sep 24, 2024 to Mar 24, 2025
- Employees · 3 to 4Sep 24, 2024 to Mar 24, 2025
- Financial planning clients · 101-250 to 101-250Sep 24, 2024 to Mar 24, 2025
- Other offices · 1 to 2Sep 24, 2024 to Mar 24, 2025
- Discretionary RAUM · $303M to $349MSep 24, 2024 to Mar 24, 2025
- HNW RAUM · $303M to $346MSep 24, 2024 to Mar 24, 2025
- Individual RAUM · $35.7M to $44.3MSep 24, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $38.0M to $43.8MSep 24, 2024 to Mar 24, 2025
- Pension RAUM · $2.2M to $2.5MSep 24, 2024 to Mar 24, 2025
- RAUM · $341M to $393MSep 24, 2024 to Mar 24, 2025
- Accounts · 783 to 777Sep 21, 2023 to Mar 14, 2024
- Advisory employees · 4 to 3Sep 21, 2023 to Mar 14, 2024
- HNW clients · 110 to 103Sep 21, 2023 to Mar 14, 2024
- Individual clients · 84 to 91Sep 21, 2023 to Mar 14, 2024
- Pension plan clients · 1.0 to unsetSep 21, 2023 to Mar 14, 2024
- Assets in custody · $15.0M to $0Sep 21, 2023 to Mar 14, 2024
- Employees · 4 to 3Sep 21, 2023 to Mar 14, 2024
- State-registered IARs · 4 to 3Sep 21, 2023 to Mar 14, 2024
- Discretionary RAUM · $274M to $303MSep 21, 2023 to Mar 14, 2024
- HNW RAUM · $284M to $303MSep 21, 2023 to Mar 14, 2024
- Individual RAUM · $30.1M to $35.7MSep 21, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $42.3M to $38.0MSep 21, 2023 to Mar 14, 2024
- Pension RAUM · $1.9M to $2.2MSep 21, 2023 to Mar 14, 2024
Signals
1 dated events
- V•••••• J••••• L••••••••• left F•••••••• A•••• M••••••••• C••• for W•••••• H••••• • C•• F•••••••• A•••••••• I••• (registered 2023-07-19)Jun 30, 2023 · Advisor changed firm · fact
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
- i•••@f•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 914-238-8900reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-239-7777reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/FINANCIAL-ASSET-MANAGEMENT-CORPreportedpublic record, Form ADV, Sep 18, 2026
- Website
- w••.f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 914-238-8900reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- f•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- f•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $145Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026