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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••••••• P•••••• W•••••
Legal name C••••••• P•••••• W•••••• L••
Latest filing Jul 8, 2026
First filing on the tape Dec 1, 2011 · 93 filings
SEC status approved since Feb 20, 1992
RAUM
$17B
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
94%
$16B individuals and HNW
Advisors
92
registered through the firm on IAPD
RAUM per advisor
$181M
derived; firm RAUM over IAPD count
Employees
214
214 advisory (5.B.1)
Offices
25
beyond the principal office
Private funds
0
reported on Schedule D
History
93 filings and snapshots on the tape
RAUM$17B as of Jul 8, 2026
Mar 1, 2012$3.7B then
HNW client RAUM$16B as of Jul 8, 2026
Mar 26, 2018$5.9B then
State-registered IARs (5.B.3)68 as of Jul 8, 2026
Mar 12, 20130 then
Employees (5.A)214 as of Jul 8, 2026
Mar 12, 201380 then
Private funds: no history
RAUM +37% over the last fiscal year+33% a year over threeIARs 59 to 68offices 28 to 25
Practice profile
derived from the filing of Jul 8, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $181MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.4MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.5derived26 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- -1.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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
- Wrap fee program
- $3.4BreportedItem 5.I
- Custody
- $365M, 141 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- 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$16B94%
- Corporations and businesses$784M4.7%
- Charitable organizations$146M0.9%
- Individual clients
- n/areported
- HNW clients
- 2,465reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 12,118reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $365M for 141 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=84.0derived
Advisors registered through the firm
92 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• K•••••••• | Westwood, Ma | Dec 15, 2017 | 33 y | 3 |
| J•••• A•••• M••••Certified Financial Planner | Pittsburgh, Pa | Aug 15, 2019 | 20 y | 3 |
| S••••• E••• B••••••Certified Financial Planner | Pittsburgh, Pa | Aug 15, 2019 | 26 y | 6 |
| J•••••• K••••• H••••Certified Financial Planner, Chartered Financial Analyst | Providence, Ri | Aug 20, 2019 | 11 y | 1 |
| P••• L• H•••• | Marlton, Nj | Aug 30, 2019 | 15 y | 2 |
| K•••• L••• J••••••• | Syracuse, Ny | Sep 12, 2019 | 23 y | 4 |
| L••••• S•••••Certified Financial Planner, Chartered Financial Analyst | Medf•••, Ma | Oct 2, 2019 | 22 y | 4 |
| W•••••• J••••• F••• | Providence, Ri | Oct 18, 2019 | 21 y | 1 |
| C••••••••• M• F•••••• | Providence, Ri | Oct 25, 2019 | 10 y | 1 |
| T••••• M• T••••• | Tarrytown, Ny | Jan 9, 2020 | 13 y | 1 |
| M•••••• J• S••••Chartered Financial Analyst | Syracuse, Ny | Nov 13, 2020 | 19 y | 0 |
| D•••••• S•••• M•••••Certified Financial Planner | Syracuse, Ny | Mar 12, 2021 | 25 y | 2 |
| R••••• A• V•••••••Certified Financial Planner | Tarrytown, Ny | Mar 30, 2021 | 36 y | 1 |
| P••• A•••••Certified Financial Planner | Tarrytown, Ny | Apr 21, 2021 | 27 y | 0 |
| B•••• F••••••••Certified Financial Planner | Tarrytown, Ny | Apr 28, 2021 | 11 y | 1 |
| G••••• P••••• G•••Certified Financial Planner, Chartered Financial Analyst | Tarrytown, Ny | May 7, 2021 | 29 y | 1 |
| D••••• G•••••••Certified Financial Planner | Syracuse, Ny | May 7, 2021 | 23 y | 0 |
| M•••••• B••••••Certified Financial Planner, Chartered Financial Consultant | Syracuse, Ny | May 13, 2021 | 22 y | 0 |
| N••••••• R•••• P•••••••Certified Financial Planner | Tarrytown, Ny | May 14, 2021 | 21 y | 0 |
| G••••• D••••••••Certified Financial Planner | Syracuse, Ny | May 17, 2021 | 14 y | 0 |
| M•••••• D• H•••Chartered Financial Analyst | Tarrytown, Ny | Jun 22, 2021 | 17 y | 2 |
| M•••••• R••••••Certified Financial Planner, Chartered Financial Analyst | Tarrytown, Ny | Jun 30, 2021 | 17 y | 2 |
| C•••• A••• B••••••Chartered Financial Analyst | Syracuse, Ny | Dec 17, 2021 | 12 y | 0 |
| J••••• M• B••••• | Syracuse, Ny | Mar 9, 2022 | 13 y | 5 |
| N••••••• H•••• B•••• | Tarrytown, Ny | May 23, 2022 | 29 y | 2 |
| J•••••• J•••• E••••Chartered Financial Analyst | Portsmouth, Nh | Oct 3, 2022 | 18 y | 2 |
| W•••••• E••••• B••••••• | Syracuse, Ny | Jun 29, 2023 | 14 y | 3 |
| R••••• J••••• O••• | Westwood, Ma | Nov 13, 2023 | 16 y | 1 |
| T••••• B••••••• M•••••• | J•••••••, Ri | Jan 10, 2024 | 19 y | 5 |
| S•••••• A••••• D••••••Chartered Financial Analyst | Tarrytown, Ny | Jan 29, 2024 | 15 y | 1 |
| T••••• E• B••••Certified Financial Planner | San Francisco, Ca | Jan 30, 2024 | 28 y | 4 |
| C••••••••• H••••• A••••Chartered Financial Analyst | Syracuse, Ny | Jan 30, 2024 | 17 y | 1 |
| M•••••• C••••• | Tarrytown, Ny | Feb 28, 2024 | 25 y | 2 |
| J••••• M•••••• D•••••••Certified Financial Planner | New York, Ny | Mar 9, 2024 | 24 y | 1 |
| M•••• R• M••••••Certified Financial Planner | Syracuse, Ny | Mar 12, 2024 | 10 y | 1 |
| D••••• T••••• H•••••••• | Tarrytown, Ny | Mar 20, 2024 | 12 y | 2 |
| R•••••• I• G••••• | San Francisco, Ca | Apr 19, 2024 | 18 y | 4 |
| M••••••• W••••Chartered Financial Analyst | San Francisco, Ca | Apr 19, 2024 | 17 y | 2 |
| D•••• E••••Certified Financial Planner, Personal Financial Specialist | Tarrytown, Ny | Apr 19, 2024 | 12 y | 2 |
| K• L•• N• | San Francisco, Ca | Apr 19, 2024 | 14 y | 2 |
Advisor movement
8 left, 5 joined in 12 months
net -3 in 12 months3 left in 90 days0 joined in 90 daysdeparture rate 8.7% of current headcount28 left over 36 months
Left, latest
- J••••• A• D•••••• to C••••••• S••••••••• I•••Aug 10, 2026 · Affiliated broker-dealer or bank to another
- R•••••• T••• S••••• to M••••••• P•••••• W•••••• L••Jul 14, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- A•• C••••••• to L•• F•••••••• L••Jul 9, 2026 · Affiliated broker-dealer or bank to another
- S••• M• O••••••• to C••••• I••••••••• A••••••• L••May 8, 2026 · Affiliated broker-dealer or bank to another
- J••••• J••••• to W••••• E••••••••• A••••••• S•••••••• L••Feb 11, 2026 · Affiliated broker-dealer or bank to another
- F•••• A••••• S•••• to C••••••• S••••••••• I•••Feb 6, 2026 · Affiliated broker-dealer or bank to another
- J••••••• K•••••• V••••• to R•• W••••• P•••••••Sep 30, 2025 · Affiliated broker-dealer or bank to independent RIA
- E••••• P••• to C••••••• S••••••••• I•••Sep 30, 2025 · Affiliated broker-dealer or bank to another
- S••• M•••••• M••••••• to W•••• I••••••••• A•••••••• L••Aug 15, 2025 · Other
- D••••• K•••• G•••••• to C••••••• S••••••••• I•••Aug 15, 2025 · Affiliated broker-dealer or bank to another
- T••••• J••••• M••••••• to C••••••• S••••••••• I•••Jun 30, 2025 · Affiliated broker-dealer or bank to another
- R••••• A• C••• to C•••••• S••••• • C••• I•••Jun 12, 2025 · Affiliated broker-dealer or bank to another
- A•••••• F•••••••• to C••••••• S••••••••• I•••Jun 11, 2025 · Affiliated broker-dealer or bank to another
- E•••• A• F•••• to S•••• C••• A•••••••• L••Jun 4, 2025 · Affiliated broker-dealer or bank to independent RIA
- S•••••• K• M•••••• to C••••••• S••••••••• I•••May 9, 2025 · Affiliated broker-dealer or bank to another
Joined, latest
- T••••• A• W••• from M••••• S••••••Jun 17, 2026 · Wirehouse to affiliated broker-dealer or bank
- J••••• J• H•••••••• from L••• S••••• A•••••••• L••May 14, 2026 · Affiliated broker-dealer or bank to another
- J••• W••••••• from T•• A•••••••• I•••May 11, 2026 · Affiliated broker-dealer or bank to another
- S•••• L••• from L••• S••••• A•••••••• L••May 11, 2026 · Affiliated broker-dealer or bank to another
- S••• M• O••••••• from C••••••• S••••••••• I•••Feb 9, 2026 · Affiliated broker-dealer or bank to another
- K••••• J• L•••• from J••• M••••• S••••••••• L••Apr 16, 2025 · Wirehouse to affiliated broker-dealer or bank
- K•••••••• R••• R••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 11, 2025 · Wirehouse to independent RIA
- J••••• A• D•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 11, 2025 · Wirehouse to independent RIA
- A•• C••••••• from C••••••• S••••••••• I•••Nov 13, 2024 · Affiliated broker-dealer or bank to independent RIA
- E••• B•••• from J••• M••••• S••••••••• L••Oct 17, 2024 · Wirehouse to independent RIA
- L•••• M•••••• Y••• from J••• M••••• S••••••••• L••Oct 11, 2024 · Wirehouse to independent RIA
- R•• C••• from F•••••• C••••••• L•••Oct 10, 2024 · Other
- E•••• A• F•••• from C••••••• S••••••••• I•••Jun 11, 2024 · Affiliated broker-dealer or bank to independent RIA
- H••• W• B•••••• from J••• M••••• S••••••••• L••Apr 19, 2024 · Wirehouse to independent RIA
- K• L•• N• from J••• M••••• S••••••••• L••Apr 19, 2024 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from J••• M••••• S••••••••• L••Apr 20, 2024 · San Francisco, Ca
- 2 joined from J••• M••••• P•••••• W••••• A••••••• L••Feb 7, 2024 · San Francisco, Ca
- 2 joined from P•••••• A•••••••• L••Oct 3, 2022 · Kensington, Nh
- 2 joined from A••••• A•• P••••••• S•••••••Aug 12, 2020 · Radnor, Pa
- 2 joined from C••••••• S••••••••• I•••Jul 15, 2020 · J•••••••, Ri
- 9 joined from C••••••• S••••••••• I•••Jan 8, 2020 · Boston, Ma
- 6 joined from C••••••• S••••••••• I•••Jan 6, 2020 · Washington, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••• J••••• A•• · Head Of Wealth Operationscontrolsince 05/2025 · owns less than 5%
- A•••••• C••• · Chief Operating Officercontrolsince 05/2025 · owns less than 5%
- C•••••••• K••••• J••• · Controllercontrolsince 01/2026 · owns less than 5%
- C••••• P•••• W• · Chief Executive Officercontrolsince 05/2025 · owns less than 5%
- C•••••• D••••• M•••• · Chief Financial Officercontrolsince 03/1999 · owns less than 5%
- H•••• M••••••• D• · Chief I•••••Ment Officercontrolsince 01/2019 · owns less than 5%
- M••••••• T•••••• B••••••• · Presidentcontrolsince 05/2025 · owns less than 5%
- S•••••••• A••••••• L•••••• · Director Of I•••••Ment Operationscontrolsince 01/2006 · owns less than 5%
- S•••••• R••••••• T••• · Chief Executive Officercontrolsince 01/2019 · owns less than 5%
- V•••••••• R•••••• A•••••• · Chief Operating Officercontrolsince 03/1999 · owns less than 5%
- S••••• D••••• H••••• · Chief Compliance Officersince 06/2023 · owns less than 5%
Entity owners
- C••••••• B•••• N••• · Direct Ownershipdirect · owns 75% or more
- C••••••• F•••••••• G••••• I••• · Direct Shareholderindirect · owns 75% or more of C••••••• B•••• N•••
Related persons
Schedule D 7.A
- C••••••• B••• N•••y
- C••••••• I••••••••• A•••••••investment advisern
- C••••••• S••••••••• I•••broker-dealerinvestment advisernRAUM $13B
- E••••• P••••••••• S••••••• L••real estatey
Advisers that list C••••••• P•••••• W••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tarrytown, Ny · principal | 88 | 17 | 5 | ||
| San Francisco, Ca | 11 | 0 | 0 | ||
| New York, Ny | 9 | 2 | 0 | ||
| Boston, Ma | 8 | 1 | 2 | ||
| Los Angeles, Ca | 8 | 5 | 0 | ||
| Woodcliff Lake, Nj | 4 | 0 | 0 | ||
| Naples, Fl | 4 | 0 | 0 | ||
| Boca Raton, Fl | 3 | 0 | 0 | ||
| Providence, Ri | 3 | 0 | 0 | ||
| Newport Beach, Ca | 3 | 2 | 0 | ||
| Pittsburgh, Pa | 3 | 0 | 0 | ||
| Palm Beach, Fl | 2 | 0 | 0 | ||
| Marlton, Nj | 2 | 0 | 0 | ||
| Beverly Hills, Ca | 2 | 0 | 0 | ||
| Westwood, Ma | 2 | 0 | 0 | ||
| J•••••••, Ri | 1 | 0 | 0 | ||
| Portsmouth, Nh | 1 | 0 | 1 | ||
| Dearborn Heights, Mi | 0 | 0 | 0 | ||
| Newtown, Pa | 0 | 0 | 0 | ||
| Fort Washington, Pa | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA12 employees
- Providence, RI5 employees
- Pittsburgh, PA4 employees
- New York, NY3 employees
- San Francisco, CA3 employees
- Portsmouth, NH3 employees
- Fort Washington, PA3 employees
- Palm Beach, FL3 employees
- Westwood, MA2 employees
- Boston, MA2 employees
- Manchester, NH2 employees
- Southfield, MI2 employees
- Marlton, NJ1 employees
- New York, NY1 employees
- Newport, RI1 employees
- Independence, OH1 employees
- Philadelphia, PA1 employees
- Phoenixville, PA1 employees
- Pittsburgh, PA1 employees
- Glen Mills, PA1 employees
- Fort Lauderdale, FL1 employees
- Princeton, NJ1 employees
- Exton, PA1 employees
- Rochester, NY1 employees
- Chestnut Hill, MA1 employees
ADV anomalies
10 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 8, 2026S•••••••• A••••••• L•••••• (DIRECTOR OF I•••••MENT OPERATIONS) left Schedule A between the filings of 2023-07-27 and 2026-07-08peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jul 8, 2026A••• J••••• A•• (HEAD OF WEALTH OPERATIONS) appeared on Schedule A between the filings of 2023-07-27 and 2026-07-08peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jul 8, 2026A•••••• C••• (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2023-07-27 and 2026-07-08peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jul 8, 2026C••••• P•••• W• (CHIEF EXECUTIVE OFFICER) appeared on Schedule A between the filings of 2023-07-27 and 2026-07-08peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jul 8, 2026M••••••• T•••••• B••••••• (PRESIDENT) appeared on Schedule A between the filings of 2023-07-27 and 2026-07-08peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jul 8, 2026C•••••••• K••••• J••• (CONTROLLER) appeared on Schedule A between the filings of 2023-07-27 and 2026-07-08peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jul 8, 2026V•••••••• R•••••• A•••••• (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2023-07-27 and 2026-07-08peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jul 8, 2026S•••••• R••••••• T••• (CHIEF EXECUTIVE OFFICER) left Schedule A between the filings of 2023-07-27 and 2026-07-08peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jul 8, 2026C•••••• D••••• M•••• (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2023-07-27 and 2026-07-08peers: affiliated wealth managers, $5B to $20B (53)
- account count surgeChange between filings · filing Apr 1, 2026accounts (Item 5.F.2.f) moved from 7,846.0 to 12,813.0 (+63.0%) between the annual amendments of 2025-03-31 and 2026-04-01; the peer median change was +9.0% (52 comparable advisers, 100.0th percentile of changes)peers: affiliated wealth managers, $5B to $20B (52) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 12,813 to 12,118Apr 1, 2026 to Jul 8, 2026
- Advisory employees · 204 to 214Apr 1, 2026 to Jul 8, 2026
- BD registered reps · 74 to 84Apr 1, 2026 to Jul 8, 2026
- Charity clients · 61 to 7Apr 1, 2026 to Jul 8, 2026
- Corporate clients · 112 to 95Apr 1, 2026 to Jul 8, 2026
- HNW clients · 2,502 to 2,465Apr 1, 2026 to Jul 8, 2026
- Employees · 204 to 214Apr 1, 2026 to Jul 8, 2026
- State-registered IARs · 58 to 68Apr 1, 2026 to Jul 8, 2026
- Legal name · C••••••• F•••••••• A•••••••• L•• to C••••••• P•••••• W•••••• L••Apr 1, 2026 to Jul 8, 2026
- Discretionary RAUM · $13B to $14BApr 1, 2026 to Jul 8, 2026
- HNW RAUM · $14B to $16BApr 1, 2026 to Jul 8, 2026
- Non-discretionary RAUM · $2.8B to $2.3BApr 1, 2026 to Jul 8, 2026
- RAUM · $16B to $17BApr 1, 2026 to Jul 8, 2026
- Accounts · 7,846 to 12,813May 9, 2025 to Mar 31, 2026
- Advisory employees · 200 to 204May 9, 2025 to Mar 31, 2026
- BD registered reps · 59 to 74May 9, 2025 to Mar 31, 2026
- Charity clients · 34 to 61May 9, 2025 to Mar 31, 2026
- Corporate clients · 59 to 112May 9, 2025 to Mar 31, 2026
- HNW clients · 1,980 to 2,502May 9, 2025 to Mar 31, 2026
- Assets in custody · $349M to $365MMay 9, 2025 to Mar 31, 2026
- Employees · 200 to 204May 9, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 101-250May 9, 2025 to Mar 31, 2026
- State-registered IARs · 59 to 58May 9, 2025 to Mar 31, 2026
- Other offices · 28 to 25May 9, 2025 to Mar 31, 2026
- Discretionary RAUM · $9.9B to $13BMay 9, 2025 to Mar 31, 2026
- HNW RAUM · $11B to $14BMay 9, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $2.3B to $2.8BMay 9, 2025 to Mar 31, 2026
- RAUM · $12B to $16BMay 9, 2025 to Mar 31, 2026
- Wrap assets (manager) · unset to 0.0May 9, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · unset to 0.0May 9, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to May 9, 2025
- Accounts · 7,305 to 7,846Jan 30, 2025 to Mar 31, 2025
- Advisory employees · 160 to 200Jan 30, 2025 to Mar 31, 2025
- Advisory activities · 3 to 4Jan 30, 2025 to Mar 31, 2025
- BD registered reps · 20 to 59Jan 30, 2025 to Mar 31, 2025
- Business name · C••••••• to C••••••• P•••••• W•••••Jan 30, 2025 to Mar 31, 2025
- Charity clients · 38 to 34Jan 30, 2025 to Mar 31, 2025
- Corporate clients · 56 to 59Jan 30, 2025 to Mar 31, 2025
- HNW clients · 1,757 to 1,980Jan 30, 2025 to Mar 31, 2025
- Assets in custody · $322M to $349MJan 30, 2025 to Mar 31, 2025
Signals
60 dated events
- J••••• A• D•••••• left C••••••• P•••••• W••••• for C••••••• S••••••••• I••• (registered 2025-03-11)Aug 10, 2026 · Advisor changed firm · fact
- R•••••• T••• S••••• left C••••••• P•••••• W••••• for M••••••• P•••••• W•••••• L•• (registered 2026-07-17)Jul 14, 2026 · Advisor changed firm · fact
- A•• C••••••• left C••••••• P•••••• W••••• for L•• F•••••••• L•• (registered 2026-08-25)Jul 9, 2026 · Advisor changed firm · fact
- S••• M• O••••••• left C••••••• P•••••• W••••• for C••••• I••••••••• A••••••• L•• (registered 2026-07-30)May 8, 2026 · Advisor changed firm · fact
- C••••••• P•••••• W••••• reported RAUM $15.5B, up 28% from $12.2B (2025-05-09 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- J••••• J••••• left C••••••• P•••••• W••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2026-02-17)Feb 11, 2026 · Advisor changed firm · fact
- F•••• A••••• S•••• left C••••••• P•••••• W••••• for C••••••• S••••••••• I••• (registered 2025-02-13)Feb 6, 2026 · Advisor changed firm · fact
- E••••• P••• left C••••••• P•••••• W••••• for C••••••• S••••••••• I••• (registered 2025-07-28)Sep 30, 2025 · Advisor changed firm · fact
- J••••••• K•••••• V••••• left C••••••• P•••••• W••••• for R•• W••••• P••••••• (registered 2025-11-07)Sep 30, 2025 · Advisor changed firm · fact
- S••• M•••••• M••••••• left C••••••• P•••••• W••••• for W•••• I••••••••• A•••••••• L•• (registered 2026-04-01)Aug 15, 2025 · Advisor changed firm · fact
- D••••• K•••• G•••••• left C••••••• P•••••• W••••• for C••••••• S••••••••• I••• (registered 2021-08-26)Aug 15, 2025 · Advisor changed firm · fact
- T••••• J••••• M••••••• left C••••••• P•••••• W••••• for C••••••• S••••••••• I••• (registered 2023-08-07)Jun 30, 2025 · Advisor changed firm · fact
- R••••• A• C••• left C••••••• P•••••• W••••• for C•••••• S••••• • C••• I••• (registered 2026-03-31)Jun 12, 2025 · Advisor changed firm · fact
- A•••••• F•••••••• left C••••••• P•••••• W••••• for C••••••• S••••••••• I••• (registered 2022-08-26)Jun 11, 2025 · Advisor changed firm · fact
- E•••• A• F•••• left C••••••• P•••••• W••••• for S•••• C••• A•••••••• L•• (registered 2025-08-28)Jun 4, 2025 · Advisor changed firm · fact
- S•••••• K• M•••••• left C••••••• P•••••• W••••• for C••••••• S••••••••• I••• (registered 2023-05-11)May 9, 2025 · Advisor changed firm · fact
- Dustin Allen S•••• no longer registered at C••••••• P•••••• W•••••; no later IA registration on IAPDMay 1, 2025 · Advisor departure · fact
- R••••• C•••••• H••••• left C••••••• P•••••• W••••• for C••••••• S••••••••• I••• (registered 2025-02-07)Apr 15, 2025 · Advisor changed firm · fact
- E•••••• T••••••• left C••••••• P•••••• W••••• for C••••••• S••••••••• I••• (registered 2023-10-04)Apr 15, 2025 · Advisor changed firm · fact
- M•••••• J••• P••••• left C••••••• P•••••• W••••• for C••••••• S••••••••• I••• (registered 2024-10-10)Feb 25, 2025 · Advisor changed firm · fact
- J••••••• F• S•••• left C••••••• P•••••• W••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-10-31)Dec 19, 2024 · Advisor changed firm · fact
- N••••• R••••• F•••• left C••••••• P•••••• W••••• for E••••• J•••• (registered 2025-02-28)Dec 9, 2024 · Advisor changed firm · fact
- S•••• R••• M•••••• left C••••••• P•••••• W••••• for C••••••• S••••••••• I••• (registered 2023-05-19)Dec 9, 2024 · Advisor changed firm · fact
- D•••• C••••• left C••••••• P•••••• W••••• for S•••••••• A••••••• L•• (registered 2025-04-04)Dec 9, 2024 · Advisor changed firm · fact
- M•••••• H••• left C••••••• P•••••• W••••• for T• P•••••• C••••• W••••• L•• (registered 2024-11-26)Nov 18, 2024 · Advisor changed firm · fact
- C••••••• P•••••• W••••• reported RAUM $12.7B, up 33% from $9.5B (2024-09-25 to 2024-11-14)Nov 14, 2024 · RAUM change · derived
- J••• A•••••• R•••••• left C••••••• P•••••• W••••• for S••••• T•••• A•••••••• L•• (registered 2025-05-20)Oct 2, 2024 · Advisor changed firm · fact
- M•••••• A•• P••••••• left C••••••• P•••••• W••••• for A••••••• W••••• M••••••••• L•• (registered 2024-05-23)May 6, 2024 · Advisor changed firm · fact
- 2 advisors left J••• M••••• S••••••••• L•• (San F••••••••, CA) for C••••••• P•••••• W••••• on the same dayApr 20, 2024 · Team lift-out · derived
- G•••••••• T••••• left C••••••• P•••••• W••••• for A••••• A•• P••••••• S••••••• (registered 2024-07-05)Apr 18, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- C••••••• F•••••••• A••••••• I•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/citizens-private-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/citizens-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 914-846-0100reportedpublic record, Form ADV, Jul 8, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $181Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026