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••••••• I••
Latest filing Dec 26, 2025
First filing on the tape Dec 22, 2011 · 22 filings
SEC status approved since Jan 5, 1983
RAUM
$868M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
98%
$855M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$124M
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$868M as of Dec 26, 2025
Dec 22, 2011$255M then
HNW client RAUM$855M as of Dec 26, 2025
Dec 22, 2017$501M then
State-registered IARs (5.B.3)7 as of Dec 26, 2025
Dec 22, 20110 then
Employees (5.A)8 as of Dec 26, 2025
Dec 13, 20126 then
Private funds: no history
RAUM +29% over the last fiscal year+5.6% a year over threeIARs 8 to 7offices 8 to 7
Practice profile
derived from the filing of Dec 26, 2025; every figure names its basis
- RAUM per advisor
- $124MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $751,006derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 0.9derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $23.3M, 10 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$855M98%
- Corporations and businesses$11.9M1.4%
- Pension and profit-sharing plans$1.4M0.2%
- Individual clients
- n/areported
- HNW clients
- 348reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,156reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.3M for 10 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• S•••• M•••••Certified Financial Planner | New York, Ny | Aug 31, 2021 | 12 y | 0 |
| J•••••• M••• G•••••Certified Financial Planner | New York, Ny | Aug 31, 2021 | 34 y | 0 |
| T••••• B••••• M•••••Chartered Financial Consultant | New York, Ny | Sep 1, 2021 | 45 y | 0 |
| E••• S•••• B•••• | New York, Ny | Sep 4, 2021 | 41 y | 0 |
| R•••••• L•••• S•••••• | New York, Ny | Sep 4, 2021 | 31 y | 1 |
| P••••••• E• E•••• | New York, Ny | Mar 7, 2024 | 10 y | 0 |
| C••••• P••• B•••••• | New York, Ny | Apr 30, 2024 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount1 left over 36 months
Left, latest
- C•••••• C•••••• W•••••• to I••••••••• A•••• A••••••• G••••Nov 21, 2025 · RIA to RIA
Joined, latest
- C•••••• C•••••• W•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 14, 2021 · Wirehouse to independent RIA
- R•••••• L•••• S•••••• from P••••••• A••••••••• L•••Sep 4, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• E•••• S•••• · Chief Compliance Officercontrolsince 01/2004 · owns less than 5%
- M•••••• C••••••• S•••• · Secretarycontrolsince 10/2016 · owns less than 5%
- M•••••• T•••••• B••••• · President And Treasurercontrolsince 10/1981 · owns less than 5%
- M•••••• C••••••• S•••• · Ownercontrolsince 09/2024 · owns 75% or more of C••••• C••••••••• G••••• I•••
Entity owners
- C••••• C••••••••• G••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••••• B•••••• P••••••• C••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 7 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Dec 26, 2025discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 1,184 to 1,156Dec 26, 2024 to Dec 26, 2025
- Advisory employees · 8 to 7Dec 26, 2024 to Dec 26, 2025
- HNW clients · 352 to 348Dec 26, 2024 to Dec 26, 2025
- Pension plan clients · 6.0 to unsetDec 26, 2024 to Dec 26, 2025
- Assets in custody · $10.5M to $23.3MDec 26, 2024 to Dec 26, 2025
- Employees · 9 to 8Dec 26, 2024 to Dec 26, 2025
- Financial planning clients · 26-50 to 101-250Dec 26, 2024 to Dec 26, 2025
- State-registered IARs · 8 to 7Dec 26, 2024 to Dec 26, 2025
- Other offices · 8 to 7Dec 26, 2024 to Dec 26, 2025
- HNW RAUM · $797M to $855MDec 26, 2024 to Dec 26, 2025
- Non-discretionary RAUM · $820M to $868MDec 26, 2024 to Dec 26, 2025
- Pension RAUM · $11.5M to $1.4MDec 26, 2024 to Dec 26, 2025
- RAUM · $820M to $868MDec 26, 2024 to Dec 26, 2025
- Accounts · 10,777 to 1,184Jan 2, 2024 to Dec 26, 2024
- HNW clients · 354 to 352Jan 2, 2024 to Dec 26, 2024
- Assets in custody · $15.7M to $10.5MJan 2, 2024 to Dec 26, 2024
- Financial planning clients · 251-500 to 26-50Jan 2, 2024 to Dec 26, 2024
- HNW RAUM · $669M to $797MJan 2, 2024 to Dec 26, 2024
- Non-discretionary RAUM · $675M to $820MJan 2, 2024 to Dec 26, 2024
- Pension RAUM · $6.3M to $11.5MJan 2, 2024 to Dec 26, 2024
- RAUM · $675M to $820MJan 2, 2024 to Dec 26, 2024
- Accounts · 300 to 10,777Dec 22, 2022 to Dec 22, 2023
- Advisory employees · 10 to 8Dec 22, 2022 to Dec 22, 2023
- HNW clients · 292 to 354Dec 22, 2022 to Dec 22, 2023
- Pension plan clients · 8 to 6Dec 22, 2022 to Dec 22, 2023
- Assets in custody · unset to 15701835.0Dec 22, 2022 to Dec 22, 2023
- Custody of client assets · false to trueDec 22, 2022 to Dec 22, 2023
- Employees · 10 to 9Dec 22, 2022 to Dec 22, 2023
- Financial planning clients · 101-250 to 251-500Dec 22, 2022 to Dec 22, 2023
- State-registered IARs · 7 to 8Dec 22, 2022 to Dec 22, 2023
- Other offices · 7 to 8Dec 22, 2022 to Dec 22, 2023
- HNW RAUM · $570M to $669MDec 22, 2022 to Dec 22, 2023
- Non-discretionary RAUM · $584M to $675MDec 22, 2022 to Dec 22, 2023
- Pension RAUM · $14.0M to $6.3MDec 22, 2022 to Dec 22, 2023
- RAUM · $584M to $675MDec 22, 2022 to Dec 22, 2023
- Accounts · 282 to 300Dec 26, 2021 to Dec 22, 2022
- Advisory employees · 9 to 10Dec 26, 2021 to Dec 22, 2022
- Charity clients · 0.0 to unsetDec 26, 2021 to Dec 22, 2022
- Corporate clients · 0.0 to unsetDec 26, 2021 to Dec 22, 2022
- HNW clients · 269 to 292Dec 26, 2021 to Dec 22, 2022
Signals
2 dated events
- C•••••• C•••••• W•••••• left C••••• A••••••• I•• for I••••••••• A•••• A••••••• G•••• (registered 2025-11-24)Nov 21, 2025 · Advisor changed firm · fact
- C••••• A••••••• I•• reported 7 offices beyond its principal office, up from 0 (2021-12-26 to 2022-12-22)Dec 22, 2022 · Office count 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
- info@cadvinc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-885-4200reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 914-462-3748reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/circle-advisers-inc-/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- cadvinc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-885-4200reportedpublic record, Form ADV, Dec 26, 2025
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
- $124Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026