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•••••• C•••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 21, 2012 · 18 filings
SEC status approved since Oct 6, 1999
RAUM
$2.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$2.3B individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$479M
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$2.9B as of Mar 31, 2026
Mar 21, 2012$1.3B then
HNW client RAUM$2.2B as of Mar 31, 2026
Mar 29, 2018$1.2B then
State-registered IARs (5.B.3)6 as of Mar 31, 2026
Mar 20, 20130 then
Employees (5.A)13 as of Mar 31, 2026
Mar 20, 201316 then
Private funds3 as of Mar 31, 2026
Mar 21, 20123 then
RAUM +10% over the last fiscal year+13% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- 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)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $479MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.3MderivedHNW RAUM over HNW clients
- Average account
- $3.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, publicationsreportedItem 5.G
- Custody
- $1.3B, 89 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)
- 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$2.2B78%
- Pooled investment vehicles$404M14%
- Charitable organizations$205M7.1%
- Pension and profit-sharing plans$15.5M0.5%
- Individuals$7.7M0.3%
- Individual clients
- 15reported
- HNW clients
- 199reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 785reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 89 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.78 fund_share=0.14 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••• E••••••• F••••••• | New York, Ny | Aug 31, 2021 | 13 y | 0 |
| S••••• A••••• M•••• | New York, Ny | Aug 31, 2021 | 17 y | 0 |
| T•••••• S••• G••••• | New York, Ny | Aug 31, 2021 | 27 y | 0 |
| L••••• N•• B••• | New York, Ny | Sep 2, 2021 | 27 y | 0 |
| N••••• R•••• S••••••• | New York, Ny | Sep 3, 2021 | 14 y | 0 |
| J••••• B••••••• B••••• | New York, Ny | Sep 7, 2021 | 17 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••• M•••• A••••••••• N•• L••• | Other Private Fund | $161M | 47 | Mar 21, 2012 |
| B•••• M•••• A••••••••• L••• | Other Private Fund | $130M | 43 | Mar 21, 2012 |
| B•••• M•••• A••••••••• N•• L••• | Other Private Fund | $113M | 82 | Mar 21, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• J•••••• B••••••• · Membercontrolsince 12/2024 · owns 5% to 10%
- B•••• L•••••• N•• · Chief Investment Officercontrolsince 03/2014 · owns 10% to 25%
- F••••••• A••••••• J• · Chief Compliance Officercontrolsince 10/2019 · owns less than 5%
- F•••••••• M••••••• J••• E••••••• · Membercontrolsince 01/2025 · owns 5% to 10%
- G•••••• T••••••• S••• · Presidentcontrolsince 03/2014 · owns 25% to 50%
- H••••• C••••••••• B••••• · Chief Compliance Officercontrolsince 04/2025 · owns less than 5%
- N••••••• G•••••• A••••• · Shareholdercontrolsince 12/2004 · owns 25% to 50% of T•• N•••••• G••••• I•••
- M••••• J••••• I•••• · Membersince 08/1999 · owns 5% to 10%
- S••••• F• R•••••• · Membersince 08/1999 · owns 5% to 10%
Entity owners
- T•• N•••••• G••••• I••• · Memberdirect · owns 5% to 10%
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 | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 31, 2026F•••••••• M••••••• J••• E••••••• (MEMBER) appeared on Schedule A between the filings of 2020-03-30 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- affiliate changedChange between filings · filing Mar 31, 2026insurance affiliate (Item 7.A.10): no on the filing of 2025-04-08, yes on the filing of 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 31, 2026B•••••• J•••••• B••••••• (MEMBER) appeared on Schedule A between the filings of 2020-03-30 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 31, 2026H••••• C••••••••• B••••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2020-03-30 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 31, 2026N••••••• G•••••• A••••• (SHAREHOLDER) left Schedule A between the filings of 2020-03-30 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 31, 2026F••••••• A••••••• J• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2020-03-30 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 731 to 785Apr 8, 2025 to Mar 31, 2026
- Advisory employees · 9 to 6Apr 8, 2025 to Mar 31, 2026
- HNW clients · 172 to 199Apr 8, 2025 to Mar 31, 2026
- Assets in custody · $1.0B to $1.3BApr 8, 2025 to Mar 31, 2026
- Employees · 12 to 13Apr 8, 2025 to Mar 31, 2026
- State-registered IARs · 7 to 6Apr 8, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.6B to $2.9BApr 8, 2025 to Mar 31, 2026
- HNW RAUM · $2.1B to $2.2BApr 8, 2025 to Mar 31, 2026
- Individual RAUM · $5.9M to $7.7MApr 8, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $8.3M to $11.2MApr 8, 2025 to Mar 31, 2026
- Pension RAUM · $10.4M to $15.5MApr 8, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $359M to $404MApr 8, 2025 to Mar 31, 2026
- RAUM · $2.6B to $2.9BApr 8, 2025 to Mar 31, 2026
- Related insurance company · false to trueApr 8, 2025 to Mar 31, 2026
- Accounts · 680 to 731Mar 28, 2024 to Apr 8, 2025
- Advisory employees · 12 to 9Mar 28, 2024 to Apr 8, 2025
- HNW clients · 163 to 172Mar 28, 2024 to Apr 8, 2025
- Assets in custody · $942M to $1.0BMar 28, 2024 to Apr 8, 2025
- Employees · 14 to 12Mar 28, 2024 to Apr 8, 2025
- Financial planning clients · 101-250 to 101-250Mar 28, 2024 to Apr 8, 2025
- State-registered IARs · 9 to 7Mar 28, 2024 to Apr 8, 2025
- Discretionary RAUM · $2.3B to $2.6BMar 28, 2024 to Apr 8, 2025
- HNW RAUM · $1.8B to $2.1BMar 28, 2024 to Apr 8, 2025
- Individual RAUM · $6.6M to $5.9MMar 28, 2024 to Apr 8, 2025
- Non-discretionary RAUM · $7.3M to $8.3MMar 28, 2024 to Apr 8, 2025
- Pension RAUM · $9.0M to $10.4MMar 28, 2024 to Apr 8, 2025
- Pooled vehicle RAUM · $326M to $359MMar 28, 2024 to Apr 8, 2025
- RAUM · $2.3B to $2.6BMar 28, 2024 to Apr 8, 2025
- Accounts · 676 to 680Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 11 to 12Mar 31, 2023 to Mar 28, 2024
- Advisory activities · 4 to 5Mar 31, 2023 to Mar 28, 2024
- HNW clients · 170 to 163Mar 31, 2023 to Mar 28, 2024
- Individual clients · 16 to 15Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $742M to $942MMar 31, 2023 to Mar 28, 2024
- Employees · 13 to 14Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.0B to $2.3BMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $1.5B to $1.8BMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $5.1M to $6.6MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $6.3M to $7.3MMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $9.1M to $9.0MMar 31, 2023 to Mar 28, 2024
Signals
3 dated events
- C•••••• C•••••• L•• reported RAUM $2.6B, up 26% from $2.0B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- J. Abraham Freidin (Chief Compliance Officer) appeared on Schedule A of C•••••• C•••••• L••Mar 30, 2020 · Control person joined · fact
- B. Justin Berrie (Chief Compliance Officer) no longer on Schedule A of C•••••• C•••••• L•• (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- C•••••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business phone
- 212-350-9333reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/capital-counsel-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- capitalcounsel.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-350-9333reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- capitalcounsel.com/contact-usreportedpublished 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
- $479Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026