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
M•••• H•••••••• C•••••• L••
Latest filing Mar 17, 2026
First filing on the tape Mar 22, 2012 · 22 filings
SEC status approved since Aug 19, 1951
RAUM
$3.2B
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
85%
$2.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$3.2B as of Mar 17, 2026
Mar 22, 2012$1.5B then
HNW client RAUM$2.7B as of Mar 17, 2026
Mar 26, 2018$1.9B then
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Mar 22, 20120 then
Employees (5.A)18 as of Mar 17, 2026
Mar 21, 201320 then
Private funds1 as of Mar 17, 2026
May 1, 20251 then
RAUM n/a over the last fiscal year+8.0% a year over three
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- 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
- $6.7MderivedHNW RAUM over HNW clients
- Average account
- $6.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 13%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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $2.9B, 439 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)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.7B86%
- Charitable organizations$411M13%
- Individuals$33.0M1.0%
- Pension and profit-sharing plans$12.5M0.4%
- Individual clients
- 73reported
- HNW clients
- 402reported
- Pension plan clients
- 2reported
- Charitable clients
- 5reported
- Accounts
- 487reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.9B for 439 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.13 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••• S•••••••• I••••••••• L•• | $5.7M | 43 | Mar 17, 2026 |
Owners and control persons
Schedule A and B, latest filing
- H••••••••• R••••••• A••• · Membercontrolsince 01/1992 · owns 25% to 50%
- H••••••••• R••••••• J•• · Chief Compliance Officercontrolsince 09/2019 · owns less than 5%
- H••••••••• S••••• M•••••• · Membercontrolsince 01/2019 · owns 25% to 50%
- Z••••••• H••••••••• S•••••• · Membercontrolsince 01/2024 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 17, 2026pension consulting (Item 5.G.6): no on the filing of 2025-05-01, yes on the filing of 2026-03-17peers: independent wealth managers, $1B to $5B (1,362)
- business activity changedChange between filings · filing Mar 17, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2025-05-01, yes on the filing of 2026-03-17peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 449 to 487May 1, 2025 to Mar 17, 2026
- Advisory employees · 7 to 8May 1, 2025 to Mar 17, 2026
- Advisory activities · 3 to 6May 1, 2025 to Mar 17, 2026
- Charity clients · 6 to 5May 1, 2025 to Mar 17, 2026
- HNW clients · 363 to 402May 1, 2025 to Mar 17, 2026
- Individual clients · 65 to 73May 1, 2025 to Mar 17, 2026
- Pension plan clients · unset to 2.0May 1, 2025 to Mar 17, 2026
- Employees · 13 to 18May 1, 2025 to Mar 17, 2026
- Discretionary RAUM · $2.9B to $2.7BMay 1, 2025 to Mar 17, 2026
- HNW RAUM · $2.4B to $2.7BMay 1, 2025 to Mar 17, 2026
- Individual RAUM · $30.1M to $33.0MMay 1, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $37.0M to $512MMay 1, 2025 to Mar 17, 2026
- Pension RAUM · unset to 12507907.0May 1, 2025 to Mar 17, 2026
- RAUM · $2.9B to $3.2BMay 1, 2025 to Mar 17, 2026
- Accounts · 444 to 449Apr 23, 2024 to May 1, 2025
- Advisory employees · 8 to 7Apr 23, 2024 to May 1, 2025
- Advisory activities · 2 to 3Apr 23, 2024 to May 1, 2025
- Charity clients · 12 to 6Apr 23, 2024 to May 1, 2025
- HNW clients · 364 to 363Apr 23, 2024 to May 1, 2025
- Individual clients · 61 to 65Apr 23, 2024 to May 1, 2025
- Assets in custody · $2.6B to $2.9BApr 23, 2024 to May 1, 2025
- Employees · 15 to 13Apr 23, 2024 to May 1, 2025
- Financial planning clients · unset to 11-25Apr 23, 2024 to May 1, 2025
- Private funds · unset to 1Apr 23, 2024 to May 1, 2025
- Discretionary RAUM · $2.9B to $2.9BApr 23, 2024 to May 1, 2025
- HNW RAUM · $2.4B to $2.4BApr 23, 2024 to May 1, 2025
- Individual RAUM · $26.5M to $30.1MApr 23, 2024 to May 1, 2025
- Non-discretionary RAUM · $2.2M to $37.0MApr 23, 2024 to May 1, 2025
- RAUM · $2.9B to $2.9BApr 23, 2024 to May 1, 2025
- Accounts · 385 to 444Mar 16, 2023 to Mar 21, 2024
- Advisory employees · 7 to 8Mar 16, 2023 to Mar 21, 2024
- Charity clients · 6 to 12Mar 16, 2023 to Mar 21, 2024
- HNW clients · 324 to 364Mar 16, 2023 to Mar 21, 2024
- Individual clients · 52 to 61Mar 16, 2023 to Mar 21, 2024
- Discretionary RAUM · $2.6B to $2.9BMar 16, 2023 to Mar 21, 2024
- HNW RAUM · $2.2B to $2.4BMar 16, 2023 to Mar 21, 2024
- Individual RAUM · $23.3M to $26.5MMar 16, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $2.0M to $2.2MMar 16, 2023 to Mar 21, 2024
- RAUM · $2.6B to $2.9BMar 16, 2023 to Mar 21, 2024
- Accounts · 376 to 385Mar 15, 2022 to Mar 16, 2023
Signals
6 dated events
- S•••••• H•••••••• Z•••••• (Member) appeared on Schedule A of M•••• H•••••••• C•••••• L••Mar 21, 2024 · Control person joined · fact
- Edward Donald H•••••••• (Member) no longer on Schedule A of M•••• H•••••••• C•••••• L•• (listed 2023-03-16, absent 2024-03-21)Mar 21, 2024 · Control person left · inference
- Roy William H•••••••• (Member/Chief Compliance Officer) no longer on Schedule A of M•••• H•••••••• C•••••• L•• (listed 2019-03-20, absent 2020-03-12)Mar 12, 2020 · Control person left · inference
- Russell H•••••••• (Chief Compliance Officer) appeared on Schedule A of M•••• H•••••••• C•••••• L••Mar 12, 2020 · Control person joined · fact
- Scott H•••••••• (Member) appeared on Schedule A of M•••• H•••••••• C•••••• L••Mar 20, 2019 · Control person joined · fact
- Walter Joseph H•••••••• (Member) no longer on Schedule A of M•••• H•••••••• C•••••• L•• (listed 2019-03-19, absent 2019-03-20)Mar 20, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- M•••• H•••••••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- 914-939-4060reportedpublic record, Form ADV, Mar 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