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•••••••• D••••••••• L••
Latest filing Aug 17, 2026
First filing on the tape Mar 27, 2012 · 35 filings
SEC status approved since Oct 2, 1991
RAUM
$328M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$317M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$65.5M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$328M as of Aug 17, 2026
Mar 27, 2012$180M then
HNW client RAUM$284M as of Aug 17, 2026
Mar 24, 2018$253M then
State-registered IARs (5.B.3)4 as of Aug 17, 2026
Mar 27, 20120 then
Employees (5.A)8 as of Aug 17, 2026
Mar 22, 20137 then
Private funds: no history
RAUM +2.0% over the last fiscal year+6.2% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Aug 17, 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
- RAUM per advisor
- $65.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $639,964derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%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 advisers, otherreportedItem 5.G
- Custody
- $7.5M, 17 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$284M87%
- Individuals$32.8M10.0%
- Corporations and businesses$7.1M2.2%
- Pension and profit-sharing plans$2.5M0.8%
- Charitable organizations$1.2M0.4%
- Individual clients
- 16reported
- HNW clients
- 120reported
- Pension plan clients
- 10reported
- Charitable clients
- 6reported
- Accounts
- 512reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.5M for 17 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| K••••••• E•••• R••••••• | New York, Ny | Feb 24, 2018 | 11 y | 0 |
| F••••••• M••••• D•••••Certified Financial Planner | New York, Ny | Nov 13, 2018 | 32 y | 1 |
| K•••••• G•••••••• | New York, Ny | Nov 30, 2018 | 23 y | 1 |
| K••••••• M•••• B••••Certified Financial Planner | Fair Lawn, Nj | Mar 29, 2021 | 13 y | 0 |
| A•• D• S•• | New York, Ny | Aug 11, 2026 | 10 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• F•••••••• M••••• · Partner/Chief Financial Plannercontrolsince 12/2019 · owns 50% to 75%
- G••••••••• K•••••• · Chief Compliance Officer/Partner/Chief Investment Officercontrolsince 03/2016 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 551 to 512Jun 9, 2025 to Feb 21, 2026
- Assets in custody · $8.3M to $7.5MJun 9, 2025 to Feb 21, 2026
- Discretionary RAUM · $321M to $328MJun 9, 2025 to Feb 21, 2026
- HNW RAUM · $281M to $284MJun 9, 2025 to Feb 21, 2026
- Individual RAUM · $32.1M to $32.8MJun 9, 2025 to Feb 21, 2026
- Non-discretionary RAUM · $6,231 to $6,234Jun 9, 2025 to Feb 21, 2026
- Pension RAUM · $2.5M to $2.5MJun 9, 2025 to Feb 21, 2026
- RAUM · $321M to $328MJun 9, 2025 to Feb 21, 2026
- Financial planning clients · 26-50 to 26-50Mar 22, 2025 to Jun 9, 2025
- Accounts · 514 to 551Apr 12, 2024 to Mar 22, 2025
- Advisory employees · 5 to 4Apr 12, 2024 to Mar 22, 2025
- HNW clients · 117 to 120Apr 12, 2024 to Mar 22, 2025
- Individual clients · 13 to 16Apr 12, 2024 to Mar 22, 2025
- Pension plan clients · 8 to 10Apr 12, 2024 to Mar 22, 2025
- Assets in custody · $19.0M to $8.3MApr 12, 2024 to Mar 22, 2025
- State-registered IARs · 5 to 4Apr 12, 2024 to Mar 22, 2025
- Other offices · 5 to 4Apr 12, 2024 to Mar 22, 2025
- Discretionary RAUM · $302M to $321MApr 12, 2024 to Mar 22, 2025
- HNW RAUM · $264M to $281MApr 12, 2024 to Mar 22, 2025
- Individual RAUM · $30.3M to $32.1MApr 12, 2024 to Mar 22, 2025
- Non-discretionary RAUM · $43,041 to $6,231Apr 12, 2024 to Mar 22, 2025
- Pension RAUM · $2.3M to $2.5MApr 12, 2024 to Mar 22, 2025
- RAUM · $303M to $321MApr 12, 2024 to Mar 22, 2025
- Accounts · 138 to 514Mar 10, 2023 to Mar 15, 2024
- Advisory employees · 4 to 5Mar 10, 2023 to Mar 15, 2024
- Charity clients · 5 to 6Mar 10, 2023 to Mar 15, 2024
- HNW clients · 104 to 117Mar 10, 2023 to Mar 15, 2024
- Individual clients · 14 to 13Mar 10, 2023 to Mar 15, 2024
- Pension plan clients · 14 to 8Mar 10, 2023 to Mar 15, 2024
- Assets in custody · $14.5M to $19.0MMar 10, 2023 to Mar 15, 2024
- Discretionary RAUM · $273M to $302MMar 10, 2023 to Mar 15, 2024
- HNW RAUM · $238M to $264MMar 10, 2023 to Mar 15, 2024
- Individual RAUM · $27.3M to $30.3MMar 10, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $148,865 to $43,041Mar 10, 2023 to Mar 15, 2024
- Pension RAUM · $2.4M to $2.3MMar 10, 2023 to Mar 15, 2024
- RAUM · $273M to $303MMar 10, 2023 to Mar 15, 2024
- Accounts · 488 to 138Nov 2, 2022 to Mar 2, 2023
- HNW clients · 103 to 104Nov 2, 2022 to Mar 2, 2023
- Individual clients · 13 to 14Nov 2, 2022 to Mar 2, 2023
- Pension plan clients · 13 to 14Nov 2, 2022 to Mar 2, 2023
Signals
3 dated events
- F•••••••• D••••••••• L•• reported 5 offices beyond its principal office, up from 0 (2021-03-12 to 2022-03-08)Mar 8, 2022 · Office count change · derived
- Karsh Linda Schoenthaler (Shareholder / President) no longer on Schedule A of F•••••••• D••••••••• L•• (listed 2019-04-18, absent 2020-03-17)Mar 17, 2020 · Control person left · inference
- F•••••••• D•••••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 28, 2016 · Succession (Item 4) · 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
- f•••••••••@f•••••.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-920-3470reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/FINANCIAL-D••••••••-INC-reportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.f•••••.netreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-920-3470reportedpublic record, Form ADV, Aug 17, 2026
- Team page
- f•••••.netreportedpublished 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
- $65.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026