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
V••••••••• W••••• M•••••••••
Legal name S•••••••• A••••••••• O• N• I•••
Latest filing Mar 18, 2026
First filing on the tape Mar 28, 2012 · 27 filings
SEC status approved since Mar 27, 2000
RAUM
$299M
reported, Item 5.F
Discretionary
33%
of RAUM
Private clients
44%
$132M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$299M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$299M as of Mar 18, 2026
Mar 28, 2012$220M then
HNW client RAUM$125M as of Mar 18, 2026
Mar 22, 2018$100M then
State-registered IARs (5.B.3)1 as of Mar 18, 2026
Mar 28, 20120 then
Employees (5.A)4 as of Mar 18, 2026
Mar 28, 20136 then
Private funds2 as of Mar 18, 2026
Mar 22, 20183 then
RAUM +5.5% over the last fiscal year+9.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $299MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 33%derivedof RAUM
- Institutional
- 48%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $146M, 6 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$145M48%
- High-net-worth individuals$125M42%
- Pooled investment vehicles$22.0M7.4%
- Individuals$7.4M2.5%
- Individual clients
- 46reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 122reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $146M for 6 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.44 fund_share=0.07 institutional_share=0.48 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• S•••• V••••••••• | Cresskill, Nj | Aug 30, 2017 | 30 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
- A•••••• A••••• D••••• to D••••• I••••••••• G••••• L•••Mar 18, 2014 · Other
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••• L••• | Hedge Fund | $11.2M | 22 | Mar 22, 2018 |
| C•••••• P••••••• L••• | Hedge Fund | $5.1M | 16 | Mar 22, 2018 |
| I••••••• L•••no longer reported | Hedge Fund | $9,435 | 1 | Mar 22, 2018 |
Owners and control persons
Schedule A and B, latest filing
- V••••••••• W••••••• S•••• · Presidentcontrolsince 10/1996 · owns 75% or more
- V••••••••• A•••••• M•••• · Chief Compliance Officersince 03/2023 · owns less than 5%
Related persons
Schedule D 7.A
- C•••• L•••pooled vehicle sponsory
- C•••••• P••••••• L•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 18, 2026institutional share of RAUM of 48% against a peer median of 0% (5678 comparable advisers, 99.0th percentile, 16.2 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 138 to 122Mar 28, 2025 to Mar 18, 2026
- HNW clients · 24 to 26Mar 28, 2025 to Mar 18, 2026
- Individual clients · 47 to 46Mar 28, 2025 to Mar 18, 2026
- Assets in custody · $138M to $146MMar 28, 2025 to Mar 18, 2026
- Employees · 5 to 4Mar 28, 2025 to Mar 18, 2026
- Discretionary RAUM · $90.2M to $98.8MMar 28, 2025 to Mar 18, 2026
- HNW RAUM · $117M to $125MMar 28, 2025 to Mar 18, 2026
- Individual RAUM · $9.4M to $7.4MMar 28, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $193M to $200MMar 28, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $19.9M to $22.0MMar 28, 2025 to Mar 18, 2026
- RAUM · $284M to $299MMar 28, 2025 to Mar 18, 2026
- Accounts · 124 to 138Mar 26, 2024 to Mar 28, 2025
- HNW clients · 26 to 24Mar 26, 2024 to Mar 28, 2025
- Individual clients · 45 to 47Mar 26, 2024 to Mar 28, 2025
- Assets in custody · $132M to $138MMar 26, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 1-10Mar 26, 2024 to Mar 28, 2025
- HQ city · unset to Mar 26, 2024 to Mar 28, 2025
- HQ state · unset to Mar 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $82.5M to $90.2MMar 26, 2024 to Mar 28, 2025
- HNW RAUM · $99.7M to $117MMar 26, 2024 to Mar 28, 2025
- Individual RAUM · $10.0M to $9.4MMar 26, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $175M to $193MMar 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $16.4M to $19.9MMar 26, 2024 to Mar 28, 2025
- RAUM · $257M to $284MMar 26, 2024 to Mar 28, 2025
- Accounts · 126 to 124Nov 27, 2023 to Mar 26, 2024
- Advisory activities · 5 to 4Nov 27, 2023 to Mar 26, 2024
- Charity clients · 1 to 2Nov 27, 2023 to Mar 26, 2024
- HNW clients · 20 to 26Nov 27, 2023 to Mar 26, 2024
- Individual clients · 36 to 45Nov 27, 2023 to Mar 26, 2024
- Assets in custody · $132M to $132MNov 27, 2023 to Mar 26, 2024
- Discretionary RAUM · $74.0M to $82.5MNov 27, 2023 to Mar 26, 2024
- HNW RAUM · $94.9M to $99.7MNov 27, 2023 to Mar 26, 2024
- Individual RAUM · $5.7M to $10.0MNov 27, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $157M to $175MNov 27, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $12.9M to $16.4MNov 27, 2023 to Mar 26, 2024
- RAUM · $231M to $257MNov 27, 2023 to Mar 26, 2024
- HQ city · NY to unsetMar 31, 2023 to Nov 27, 2023
- HQ state · NY to unsetMar 31, 2023 to Nov 27, 2023
- Accounts · 28 to 126Mar 30, 2022 to Mar 31, 2023
- Advisory employees · 2 to 1Mar 30, 2022 to Mar 31, 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
- Principal office phone
- 2013761507reportedpublic record, Form ADV, Mar 18, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $299Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026