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••••••• W••••• M••••••••• I•••
Latest filing Mar 16, 2026
First filing on the tape Mar 9, 2012 · 28 filings
SEC status approved since Oct 27, 1993
RAUM
$219M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
94%
$206M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$219M as of Mar 16, 2026
Mar 9, 2012$156M then
HNW client RAUM$182M as of Mar 16, 2026
Mar 15, 2018$99.1M then
State-registered IARs (5.B.3)3 as of Mar 16, 2026
Mar 9, 20120 then
Employees (5.A)3 as of Mar 16, 2026
Mar 14, 20133 then
Private funds: no history
RAUM +22% over the last fiscal year+16% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 16, 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
- 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
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $401,859derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 5.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$182M83%
- Individuals$24.5M11%
- Pension and profit-sharing plans$12.6M5.8%
- Individual clients
- 83reported
- HNW clients
- 92reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 545reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• N• F••Certified Financial Planner, Chartered Financial Analyst | Dallas, Tx | Apr 7, 2020 | 12 y | 1 |
| J•• W••••• F•••• | Armonk, Ny | Jul 18, 2021 | 38 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
- C••••• A•• C•••• to W••••••• W••••• M•••••••••Oct 2, 2015 · Other
Joined, latest
- B•••• N• F•• from K••••• A••••••• S•••••••• L••Apr 7, 2020 · Affiliated broker-dealer or bank to independent RIA
- C••••• A•• C•••• from F••••• F•••••••• A••••••••• I•••Jun 24, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• J••• W••••• · Founding Principal And Chief Compliance Officercontrolsince 08/1993 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Armonk, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 500 to 545Mar 20, 2025 to Mar 16, 2026
- Advisory employees · 2 to 3Mar 20, 2025 to Mar 16, 2026
- HNW clients · 91 to 92Mar 20, 2025 to Mar 16, 2026
- Individual clients · 77 to 83Mar 20, 2025 to Mar 16, 2026
- Pension plan clients · 6 to 10Mar 20, 2025 to Mar 16, 2026
- Employees · 2 to 3Mar 20, 2025 to Mar 16, 2026
- State-registered IARs · 2 to 3Mar 20, 2025 to Mar 16, 2026
- Discretionary RAUM · $177M to $217MMar 20, 2025 to Mar 16, 2026
- HNW RAUM · $149M to $182MMar 20, 2025 to Mar 16, 2026
- Individual RAUM · $22.0M to $24.5MMar 20, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $2.6M to $1.7MMar 20, 2025 to Mar 16, 2026
- Pension RAUM · $8.4M to $12.6MMar 20, 2025 to Mar 16, 2026
- RAUM · $180M to $219MMar 20, 2025 to Mar 16, 2026
- Accounts · 491 to 500Nov 15, 2024 to Mar 20, 2025
- HNW clients · 90 to 91Nov 15, 2024 to Mar 20, 2025
- Individual clients · 76 to 77Nov 15, 2024 to Mar 20, 2025
- Pension plan clients · 8 to 6Nov 15, 2024 to Mar 20, 2025
- Financial planning clients · 26-50 to 26-50Nov 15, 2024 to Mar 20, 2025
- Discretionary RAUM · $157M to $177MNov 15, 2024 to Mar 20, 2025
- HNW RAUM · $131M to $149MNov 15, 2024 to Mar 20, 2025
- Individual RAUM · $20.0M to $22.0MNov 15, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $656,200 to $2.6MNov 15, 2024 to Mar 20, 2025
- Pension RAUM · $7.5M to $8.4MNov 15, 2024 to Mar 20, 2025
- RAUM · $158M to $180MNov 15, 2024 to Mar 20, 2025
- Accounts · 464 to 491Mar 17, 2023 to Mar 22, 2024
- HNW clients · 71 to 90Mar 17, 2023 to Mar 22, 2024
- Individual clients · 70 to 76Mar 17, 2023 to Mar 22, 2024
- Pension plan clients · 6 to 8Mar 17, 2023 to Mar 22, 2024
- Discretionary RAUM · $138M to $157MMar 17, 2023 to Mar 22, 2024
- HNW RAUM · $114M to $131MMar 17, 2023 to Mar 22, 2024
- Individual RAUM · $17.9M to $20.0MMar 17, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $779,500 to $656,200Mar 17, 2023 to Mar 22, 2024
- Pension RAUM · $6.6M to $7.5MMar 17, 2023 to Mar 22, 2024
- RAUM · $139M to $158MMar 17, 2023 to Mar 22, 2024
- Accounts · 426 to 464Mar 21, 2022 to Mar 17, 2023
- HNW clients · 67 to 71Mar 21, 2022 to Mar 17, 2023
- Individual clients · 59 to 70Mar 21, 2022 to Mar 17, 2023
- Pension plan clients · 1 to 6Mar 21, 2022 to Mar 17, 2023
- Discretionary RAUM · $155M to $138MMar 21, 2022 to Mar 17, 2023
- HNW RAUM · $138M to $114MMar 21, 2022 to Mar 17, 2023
Signals
No event on the tape.
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
- info@forteriswealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jpezone@forteriswealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jfry@forteriswealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- kfurst@forteriswealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 914-696-5308reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 214-563-4936reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 914-696-5300reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- F•••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 914-696-5300reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- forteriswealth.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- forteriswealth.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026