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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Former SEC-registered adviser
A••••• W••••• A•••••••• L••
Latest filing Mar 8, 2023
First filing on the tape Mar 30, 2012 · 28 filings
RAUM
$182M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$169M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$182M as of Mar 8, 2023
Mar 30, 2012$166M then
HNW client RAUM$160M as of Mar 8, 2023
Mar 30, 2018$108M then
State-registered IARs (5.B.3)0 as of Mar 8, 2023
Mar 30, 20120 then
Employees (5.A)4 as of Mar 8, 2023
Mar 28, 20137 then
Private funds: no history
RAUM -38% over the last fiscal year+1.9% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 8, 2023; every figure names its basis
- 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
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.2%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
- -38%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $5.4M, 3 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$160M88%
- Pension and profit-sharing plans$13.0M7.2%
- Individuals$9.0M5.0%
- Individual clients
- 59reported
- HNW clients
- 73reported
- Pension plan clients
- 7reported
- Charitable clients
- 0reported
- Accounts
- 139reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.4M for 3 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
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
- K•••• J••••• L•••• to G•••••••• L••Mar 9, 2023 · RIA to RIA
- S•••••••• M•••••• D• C••••••• to L•• F•••••••• L••Jan 5, 2023 · RIA to affiliated broker-dealer or bank
- A•••••• J• S•••••• to S•••• Q•••• A•••••••• L••Aug 26, 2022 · RIA to RIA
Joined, latest
- A•••••• J• S•••••• from N••••••••• M••••• I••••••••• S•••••••••May 9, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• T••••••• E••••• · President/Treasurercontrolsince 07/2014 · owns 50% to 75%
- L••••• K••••• J••••• · Chief Compliance Officer/Owner/Vice Presidentcontrolsince 12/2016 · owns 25% to 50%
Related persons
Schedule D 7.A
- T•••••• E• C•••••••n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 581 to 139Mar 31, 2022 to Mar 8, 2023
- Advisory employees · 4 to 3Mar 31, 2022 to Mar 8, 2023
- HNW clients · 72 to 73Mar 31, 2022 to Mar 8, 2023
- Individual clients · 66 to 59Mar 31, 2022 to Mar 8, 2023
- Assets in custody · $4.4M to $5.4MMar 31, 2022 to Mar 8, 2023
- Other offices · 1 to 0Mar 31, 2022 to Mar 8, 2023
- Discretionary RAUM · $293M to $182MMar 31, 2022 to Mar 8, 2023
- HNW RAUM · $258M to $160MMar 31, 2022 to Mar 8, 2023
- Individual RAUM · $21.0M to $9.0MMar 31, 2022 to Mar 8, 2023
- Non-discretionary RAUM · $11,588 to $18,330Mar 31, 2022 to Mar 8, 2023
- Pension RAUM · $13.9M to $13.0MMar 31, 2022 to Mar 8, 2023
- RAUM · $293M to $182MMar 31, 2022 to Mar 8, 2023
- Accounts · 558 to 581Mar 15, 2021 to Mar 31, 2022
- HNW clients · 73 to 72Mar 15, 2021 to Mar 31, 2022
- Individual clients · 87 to 66Mar 15, 2021 to Mar 31, 2022
- Assets in custody · $5.4M to $4.4MMar 15, 2021 to Mar 31, 2022
- Discretionary RAUM · $229M to $293MMar 15, 2021 to Mar 31, 2022
- HNW RAUM · $198M to $258MMar 15, 2021 to Mar 31, 2022
- Individual RAUM · $18.9M to $21.0MMar 15, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $0 to $11,588Mar 15, 2021 to Mar 31, 2022
- Pension RAUM · $12.9M to $13.9MMar 15, 2021 to Mar 31, 2022
- RAUM · $229M to $293MMar 15, 2021 to Mar 31, 2022
- Accounts · 529 to 558Oct 6, 2020 to Mar 15, 2021
- Advisory employees · 3 to 4Oct 6, 2020 to Mar 15, 2021
- HNW clients · 67 to 73Oct 6, 2020 to Mar 15, 2021
- Individual clients · 83 to 87Oct 6, 2020 to Mar 15, 2021
- Assets in custody · $3.8M to $5.4MOct 6, 2020 to Mar 15, 2021
- Employees · 3 to 4Oct 6, 2020 to Mar 15, 2021
- Discretionary RAUM · $172M to $229MOct 6, 2020 to Mar 15, 2021
- HNW RAUM · $140M to $198MOct 6, 2020 to Mar 15, 2021
- Individual RAUM · $23.5M to $18.9MOct 6, 2020 to Mar 15, 2021
- Pension RAUM · $9.0M to $12.9MOct 6, 2020 to Mar 15, 2021
- RAUM · $172M to $229MOct 6, 2020 to Mar 15, 2021
- Other offices · 0 to 1Jun 30, 2020 to Oct 6, 2020
- Accounts · 499 to 529Mar 14, 2019 to Mar 11, 2020
- Advisory activities · 2 to 3Mar 14, 2019 to Mar 11, 2020
- HNW clients · 37 to 67Mar 14, 2019 to Mar 11, 2020
- Pension plan clients · 6 to 7Mar 14, 2019 to Mar 11, 2020
- Assets in custody · $3.5M to $3.8MMar 14, 2019 to Mar 11, 2020
- Financial planning clients · 101-250 to 51-100Mar 14, 2019 to Mar 11, 2020
Signals
4 dated events
- Karin Jeanne Lopez left Arista Wealth Advisors, Ltd for Graypoint Llc (registered 2023-03-15)Mar 9, 2023 · Advisor changed firm · fact
- Arista Wealth Advisors, Ltd reported RAUM $182.1M, down 38% from $293.0M (2022-03-31 to 2023-03-08)Mar 8, 2023 · RAUM change · derived
- Salvatore Michael Di Costanzo left Arista Wealth Advisors, Ltd for Lpl Financial Llc (registered 2024-07-11)Jan 5, 2023 · Advisor changed firm · fact
- Anthony J Santoro left Arista Wealth Advisors, Ltd for Simon Quick Advisors, Llc (registered 2022-08-31)Aug 26, 2022 · 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.
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
- Former SEC-registered adviserderiveda 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