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
C••••••••• A•••• M••••••••• L••
Latest filing Apr 6, 2026
First filing on the tape Mar 21, 2012 · 33 filings
SEC status approved since Feb 5, 1998
RAUM
$469M
reported, Item 5.F
Discretionary
44%
of RAUM
Private clients
63%
$298M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$156M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$469M as of Apr 6, 2026
Mar 21, 2012$800M then
HNW client RAUM$274M as of Apr 6, 2026
Mar 28, 2018$178M then
State-registered IARs (5.B.3)3 as of Apr 6, 2026
Mar 21, 20120 then
Employees (5.A)5 as of Apr 6, 2026
Mar 27, 201313 then
Private funds1 as of Apr 6, 2026
Mar 21, 20121 then
RAUM -35% over the last fiscal year-10% a year over threeIARs 0 to 3
Practice profile
derived from the filing of Apr 6, 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
- 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
- $156MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 44%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -35%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.1%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $52.7M, 1 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$274M59%
- Corporations and businesses$115M25%
- Pooled investment vehicles$52.7M11%
- Individuals$23.2M5.0%
- Charitable organizations$3.1M0.7%
- Individual clients
- 65reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 342reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $52.7M for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.63 fund_share=0.11 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• A••• B••••• | New York, Ny | Apr 14, 2022 | 13 y | 2 |
| G•••••••• J• E••••••••• | New York, Ny | Jan 23, 2023 | 12 y | 0 |
| T••••••• D• G••••• | New York, Ny | Nov 12, 2025 | 25 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 headcount2 left over 36 months
Left, latest
- A••• G•••••• G•••••••• to S••••••••• L••Aug 6, 2025 · RIA to a newly registered adviser
- J•••• D•••• C••••••••• to N•••••• A•••••••Feb 16, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- A••• G•••••• G•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 5, 2023 · Wirehouse to independent RIA
- R••• A••• B••••• from C••••• L••• C•••••• L••Apr 14, 2022 · Other
- J•••• D•••• C••••••••• from C••••• L••• C•••••• L••Apr 14, 2022 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• P•••••••• L••• | Hedge Fund | $44.9M | 40 | Apr 1, 2015 |
| C•• G••••• P•••••••• L• | Hedge Fund | $20.5M | 23 | Mar 21, 2012 |
Owners and control persons
Schedule A and B, latest filing
- E••••••••• G••••••••• J• · Managing Member/ Chief Compliance Officercontrolsince 05/2017 · owns 75% or more
- B•••••• R•••• A••• · Managing Partnersince 04/2022 · owns 5% to 10%
Related persons
Schedule D 7.A
- C•• G••••• G•• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boca Raton, FL2 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Apr 6, 2026RAUM per registered advisor of $156,264,256 against a peer median of $55,731,856 (3254 comparable advisers, 100.0th percentile, 3.5 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 100% percentile
- discretionary share shiftChange between filings · filing Apr 6, 2026discretionary share of RAUM moved from 26.0% to 44.0% between the annual amendments of 2025-03-27 and 2026-04-06peers: independent wealth managers, $100M to $500M (5,676)
- RAUM down 25 %Change between filings · filing Apr 6, 2026RAUM (Item 5.F) moved from $721,316,872 to $468,792,768 (-35.0%) between the annual amendments of 2025-03-27 and 2026-04-06; the peer median change was +15.0% (4550 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 1.1% percentile
What changed
consecutive filings, newest first
- Accounts · 406 to 342Dec 15, 2025 to Mar 16, 2026
- Corporate clients · 8 to 6Dec 15, 2025 to Mar 16, 2026
- HNW clients · 86 to 65Dec 15, 2025 to Mar 16, 2026
- Individual clients · 57 to 65Dec 15, 2025 to Mar 16, 2026
- Assets in custody · $196M to $52.7MDec 15, 2025 to Mar 16, 2026
- Employees · 7 to 5Dec 15, 2025 to Mar 16, 2026
- State-registered IARs · 0 to 3Dec 15, 2025 to Mar 16, 2026
- Discretionary RAUM · $191M to $204MDec 15, 2025 to Mar 16, 2026
- HNW RAUM · $457M to $274MDec 15, 2025 to Mar 16, 2026
- Individual RAUM · $22.3M to $23.2MDec 15, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $531M to $265MDec 15, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $50.3M to $52.7MDec 15, 2025 to Mar 16, 2026
- RAUM · $721M to $469MDec 15, 2025 to Mar 16, 2026
- Accounts · 155 to 406Jan 8, 2025 to Mar 27, 2025
- HNW clients · 54 to 86Jan 8, 2025 to Mar 27, 2025
- Individual clients · 90 to 57Jan 8, 2025 to Mar 27, 2025
- Pooled vehicle clients · 2 to 1Jan 8, 2025 to Mar 27, 2025
- Financial planning clients · unset to Jan 8, 2025 to Mar 27, 2025
- Private funds · 2 to 1Jan 8, 2025 to Mar 27, 2025
- Discretionary RAUM · $164M to $191MJan 8, 2025 to Mar 27, 2025
- HNW RAUM · $396M to $457MJan 8, 2025 to Mar 27, 2025
- Individual RAUM · $36.3M to $22.3MJan 8, 2025 to Mar 27, 2025
- Non-discretionary RAUM · $494M to $531MJan 8, 2025 to Mar 27, 2025
- Pooled vehicle RAUM · $65.3M to $50.3MJan 8, 2025 to Mar 27, 2025
- RAUM · $658M to $721MJan 8, 2025 to Mar 27, 2025
- Accounts · 156 to 155Feb 16, 2024 to Mar 19, 2024
- Charity clients · unset to 1.0Feb 16, 2024 to Mar 19, 2024
- Corporate clients · 7 to 8Feb 16, 2024 to Mar 19, 2024
- HNW clients · 71 to 54Feb 16, 2024 to Mar 19, 2024
- Individual clients · 64 to 90Feb 16, 2024 to Mar 19, 2024
- Pension plan clients · 1.0 to unsetFeb 16, 2024 to Mar 19, 2024
- Discretionary RAUM · $154M to $164MFeb 16, 2024 to Mar 19, 2024
- HNW RAUM · $321M to $396MFeb 16, 2024 to Mar 19, 2024
- Individual RAUM · $80.5M to $36.3MFeb 16, 2024 to Mar 19, 2024
- Non-discretionary RAUM · $499M to $494MFeb 16, 2024 to Mar 19, 2024
- Pension RAUM · 678829.0 to unsetFeb 16, 2024 to Mar 19, 2024
- Pooled vehicle RAUM · $70.0M to $65.3MFeb 16, 2024 to Mar 19, 2024
- RAUM · $653M to $658MFeb 16, 2024 to Mar 19, 2024
- Related adviser · true to falseApr 18, 2023 to Nov 13, 2023
- Accounts · 145 to 156Nov 23, 2022 to Mar 30, 2023
Signals
7 dated events
- C••••••••• A•••• M••••••••• L•• reported RAUM $468.8M, down 35% from $721.3M (2025-12-15 to 2026-03-16)Mar 16, 2026 · RAUM change · derived
- A••• G•••••• G•••••••• left C••••••••• A•••• M••••••••• L•• for S••••••••• L•• (registered 2025-06-24)Aug 6, 2025 · Advisor changed firm · fact
- J•••• D•••• C••••••••• left C••••••••• A•••• M••••••••• L•• for N•••••• A••••••• (registered 2024-02-12)Feb 16, 2024 · Advisor changed firm · fact
- I Victor Pisante (Managing Member) no longer on Schedule A of C••••••••• A•••• M••••••••• L•• (listed 2023-04-18, absent 2023-11-13)Nov 13, 2023 · Control person left · inference
- C••••••••• A•••• M••••••••• L•• reported RAUM $652.7M, down 43% from $1.2B (2022-11-23 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- David Jesse Christensen (Managing Partner/ Chief Compliance Officer) appeared on Schedule A of C••••••••• A•••• M••••••••• L••Jul 1, 2022 · Control person joined · fact
- C••••••••• A•••• M••••••••• L•• reported RAUM $1.2B, up 26% from $916.6M (2021-03-26 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
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
- i•••@c••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-218-4040reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/11865541reportedpublic record, Form ADV, Sep 18, 2026
- Website
- w••.c••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-218-4040reportedpublic record, Form ADV, Apr 6, 2026
- Contact form
- c••••••.comreportedpublished 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
- $156Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026