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••••• A•••• A••••••• I••
Latest filing Mar 24, 2026
First filing on the tape Mar 30, 2012 · 22 filings
SEC status approved since Jun 15, 1990
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
67%
$941M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$280M
derived; firm RAUM over IAPD count
Employees
12
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.4B as of Mar 24, 2026
Mar 30, 2012$874M then
HNW client RAUM$848M as of Mar 24, 2026
Mar 29, 2018$273M then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Apr 1, 20130 then
Employees (5.A)12 as of Mar 24, 2026
Apr 1, 201315 then
Private funds: 1
RAUM +17% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $280MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 121derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consulting, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $318M, 187 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$848M67%
- Other investment advisers$196M15%
- Individuals$93.2M7.4%
- Investment companies$57.6M4.6%
- Pension and profit-sharing plans$53.4M4.2%
- Charitable organizations$16.1M1.3%
- Individual clients
- 226reported
- HNW clients
- 381reported
- Pension plan clients
- 17reported
- Charitable clients
- 13reported
- Accounts
- 650reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $154M managedreported
- Custody of client assets
- $318M for 187 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.67 fund_share=0.18 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A••• K•••Chartered Financial Analyst | White Plains, Ny | Aug 20, 2021 | 40 y | 0 |
| S•••••• J•• W•••••••••Chartered Financial Analyst | White Plains, Ny | Aug 20, 2021 | 34 y | 1 |
| J••••• F••••• P••••• | White Plains, Ny | Aug 24, 2021 | 38 y | 1 |
| S••••• G••••• R•••••Chartered Financial Analyst | White Plains, Ny | Aug 26, 2021 | 31 y | 0 |
| L•• F• B••••••• | White Plains, Ny | Sep 8, 2021 | 30 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
none on the tape
Joined, latest
- J••••• F••••• P••••• from D•••• J• G••••• A•• C••••••• L••Aug 24, 2021 · Other
- S•••••• J•• W••••••••• from A•••••••• S••• A••••••••• I•••Aug 20, 2021 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••• A••••••••• V•••• P•••••••• L•no longer reported | Other Private Fund | $6.2M | 15 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••• M•••••• J••••••••• · Chief Compliance Officercontrolsince 02/2022 · owns less than 5%
- B•••••••• L••• F• · Senior Managing Director/Chief Financial Officercontrolsince 09/2009 · owns 10% to 25%
- H••••••• S•••••• L••• · Vice President, Head Equity Trader Of Client Relationscontrolsince 01/1999 · owns less than 5%
- K•••• D••••• A••• · President/Chief Investment Officercontrolsince 05/1990 · owns 50% to 75%
- M••••• L•••• A••• · Vice President, Director Of Client Relationscontrolsince 04/2003 · owns less than 5%
- P•••••• J•••••• F••••• · Managing Director / Senior Portfolio Managercontrolsince 02/2005 · owns 5% to 10%
- R•••••• S•••••• G••••• · Managing Director / Senior Portfolio Managercontrolsince 01/2005 · owns 5% to 10%
- T••• J•••••••• M•••••• · Senior Vice President, Chief Operating Officercontrolsince 12/2015 · owns less than 5%
- W••••••••• S••••••• J•• · Managing Director/Senior Portfolio Managercontrolsince 04/2010 · owns less than 5%
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 |
|---|---|---|---|---|---|
| White Plains, Ny · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 24, 2026M••••• L•••• A••• (VICE PRESIDENT, DIRECTOR OF CLIENT RELATIONS) left Schedule A between the filings of 2022-03-24 and 2026-03-24peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 620 to 650Mar 25, 2025 to Mar 24, 2026
- Advisory employees · 7 to 8Mar 25, 2025 to Mar 24, 2026
- HNW clients · 319 to 381Mar 25, 2025 to Mar 24, 2026
- Individual clients · 262 to 226Mar 25, 2025 to Mar 24, 2026
- Pension plan clients · 13 to 17Mar 25, 2025 to Mar 24, 2026
- Assets in custody · $227M to $318MMar 25, 2025 to Mar 24, 2026
- Employees · 11 to 12Mar 25, 2025 to Mar 24, 2026
- Discretionary RAUM · $1.2B to $1.4BMar 25, 2025 to Mar 24, 2026
- HNW RAUM · $652M to $848MMar 25, 2025 to Mar 24, 2026
- Individual RAUM · $135M to $93.2MMar 25, 2025 to Mar 24, 2026
- Pension RAUM · $40.9M to $53.4MMar 25, 2025 to Mar 24, 2026
- RAUM · $1.2B to $1.4BMar 25, 2025 to Mar 24, 2026
- Wrap assets (manager) · $137M to $154MMar 25, 2025 to Mar 24, 2026
- Accounts · 606 to 620Mar 22, 2024 to Mar 25, 2025
- Advisory activities · 7 to 6Mar 22, 2024 to Mar 25, 2025
- Charity clients · 12 to 13Mar 22, 2024 to Mar 25, 2025
- HNW clients · 274 to 319Mar 22, 2024 to Mar 25, 2025
- Individual clients · 293 to 262Mar 22, 2024 to Mar 25, 2025
- Pension plan clients · 14 to 13Mar 22, 2024 to Mar 25, 2025
- Employees · 12 to 11Mar 22, 2024 to Mar 25, 2025
- Financial planning clients · 101-250 to 101-250Mar 22, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.0B to $1.2BMar 22, 2024 to Mar 25, 2025
- HNW RAUM · $541M to $652MMar 22, 2024 to Mar 25, 2025
- Individual RAUM · $140M to $135MMar 22, 2024 to Mar 25, 2025
- Pension RAUM · $38.5M to $40.9MMar 22, 2024 to Mar 25, 2025
- RAUM · $1.0B to $1.2BMar 22, 2024 to Mar 25, 2025
- Wrap assets (manager) · $123M to $137MMar 22, 2024 to Mar 25, 2025
- Accounts · 585 to 606Mar 27, 2023 to Mar 22, 2024
- Charity clients · 11 to 12Mar 27, 2023 to Mar 22, 2024
- HNW clients · 242 to 274Mar 27, 2023 to Mar 22, 2024
- Individual clients · 302 to 293Mar 27, 2023 to Mar 22, 2024
- Pension plan clients · 17 to 14Mar 27, 2023 to Mar 22, 2024
- Assets in custody · $196M to $227MMar 27, 2023 to Mar 22, 2024
- Financial planning clients · 51-100 to 101-250Mar 27, 2023 to Mar 22, 2024
- Discretionary RAUM · $885M to $1.0BMar 27, 2023 to Mar 22, 2024
- HNW RAUM · $453M to $541MMar 27, 2023 to Mar 22, 2024
- Individual RAUM · $137M to $140MMar 27, 2023 to Mar 22, 2024
- Pension RAUM · $36.6M to $38.5MMar 27, 2023 to Mar 22, 2024
- RAUM · $885M to $1.0BMar 27, 2023 to Mar 22, 2024
- Wrap assets (manager) · $109M to $123MMar 27, 2023 to Mar 22, 2024
Signals
3 dated events
- M••••• A•••• A••••••• I•• reported RAUM $994.4M, up 26% from $790.9M (2021-03-30 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- Jacqueline Algava Mandel (Chief Compliance Officer) appeared on Schedule A of M••••• A•••• A••••••• I••Mar 24, 2022 · Control person joined · fact
- John Conall Duffin (Vice President, Chief Compliance Officer) no longer on Schedule A of M••••• A•••• A••••••• I•• (listed 2021-03-30, absent 2022-03-24)Mar 24, 2022 · Control person left · inference
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
- matrix@matrixassetadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-366-6223reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-486-2004reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/matrix-asset-advisors-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- M•••••ASSETADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-486-2004reportedpublic record, Form ADV, Mar 24, 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
- $280Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026