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 Mar 24, 2026
First filing on the tape Feb 6, 2012 · 22 filings
SEC status approved since Oct 25, 1999
RAUM
$203M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
92%
$187M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$40.5M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$203M as of Mar 24, 2026
Feb 6, 2012$170M then
HNW client RAUM$40.4M as of Mar 24, 2026
Mar 7, 2018$44.1M then
State-registered IARs (5.B.3)5 as of Mar 24, 2026
Feb 13, 20130 then
Employees (5.A)7 as of Mar 24, 2026
Feb 13, 20132 then
Private funds: no history
RAUM -94% over the last fiscal year-47% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 24, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $40.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $643,409derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 7.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -94%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -90%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$147M72%
- High-net-worth individuals$40.4M20%
- Pension and profit-sharing plans$15.4M7.6%
- Corporations and businesses$228,4850.1%
- Individual clients
- 185reported
- HNW clients
- 14reported
- Pension plan clients
- 15reported
- Charitable clients
- n/areported
- Accounts
- 315reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• B•••••• | Hauppauge, Ny | May 9, 2021 | 27 y | 2 |
| J••• R••••• | Hauppauge, Ny | May 25, 2021 | 41 y | 0 |
| M•••••• F•••••• P•••••• | Hauppauge, Ny | Oct 4, 2023 | 12 y | 1 |
| M•••••• E• S•••••••• | Stamford, Ct | Mar 12, 2025 | 10 y | 1 |
| L••• W••••• H•••••••• | Hauppauge, Ny | Jan 2, 2026 | 15 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
- M•••••• E• S•••••••• from U•• F•••••••• S••••••• I•••Mar 12, 2025 · Wirehouse to independent RIA
- M•••••• F•••••• P•••••• from O•••••••••Oct 4, 2023 · Other
- W•••••• B•••••• from S••••••• P•••••• A•••••••• L•••May 9, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••• A••••••• M•••••• · Chief Compliance Officer & In-House Erisa Counselcontrolsince 08/2024 · owns less than 5%
- R••••• M••••••• S•••• · Trusteecontrolsince 10/2019 · owns F of T•• R•••• F••••• D•••••• T••••
Entity owners
- A••••• L•••• M••••• L• · Principal Shareholderdirect · owns 75% or more
- T•• R•••• F••••• D•••••• T•••• · General Partnerindirect · owns 75% or more of A••••• L•••• M••••• L•
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 |
|---|---|---|---|---|---|
| Hauppauge, Ny · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 24, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
- client count collapseChange between filings · filing Mar 24, 2026individual and HNW clients (Item 5.D) moved from 2,044.0 to 199.0 (-90.0%) between the annual amendments of 2025-03-12 and 2026-03-24; the peer median change was +3.0% (3309 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 0.2% percentile
- RAUM down 50 %Change between filings · filing Mar 24, 2026RAUM (Item 5.F) moved from $3,492,215,000 to $202,673,837 (-94.0%) between the annual amendments of 2025-03-12 and 2026-03-24; the peer median change was +15.0% (4550 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 0.0% percentile
- account count collapseChange between filings · filing Mar 24, 2026accounts (Item 5.F.2.f) moved from 2,081.0 to 315.0 (-85.0%) between the annual amendments of 2025-03-12 and 2026-03-24; the peer median change was +5.0% (3687 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 0.2% percentile
- HNW share shiftChange between filings · filing Mar 24, 2026HNW share of RAUM moved from 2.0% to 20.0% between the annual amendments of 2025-03-12 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 2,081 to 315Mar 12, 2025 to Mar 24, 2026
- Advisory employees · 4 to 5Mar 12, 2025 to Mar 24, 2026
- Corporate clients · 1 to 2Mar 12, 2025 to Mar 24, 2026
- HNW clients · 13 to 14Mar 12, 2025 to Mar 24, 2026
- Individual clients · 2,031 to 185Mar 12, 2025 to Mar 24, 2026
- Pension plan clients · 36 to 15Mar 12, 2025 to Mar 24, 2026
- Employees · 5 to 7Mar 12, 2025 to Mar 24, 2026
- State-registered IARs · 4 to 5Mar 12, 2025 to Mar 24, 2026
- HNW RAUM · $64.8M to $40.4MMar 12, 2025 to Mar 24, 2026
- Individual RAUM · $3.3B to $147MMar 12, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $3.5B to $203MMar 12, 2025 to Mar 24, 2026
- Pension RAUM · $92.2M to $15.4MMar 12, 2025 to Mar 24, 2026
- RAUM · $3.5B to $203MMar 12, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 0Feb 27, 2025 to Mar 12, 2025
- Accounts · 1,484 to 2,081Sep 19, 2024 to Feb 27, 2025
- Advisory employees · 3 to 4Sep 19, 2024 to Feb 27, 2025
- Business name · C•• I••••••••• to C•• A••••••• I••Sep 19, 2024 to Feb 27, 2025
- Individual clients · 1,445 to 2,031Sep 19, 2024 to Feb 27, 2025
- Pension plan clients · 21 to 36Sep 19, 2024 to Feb 27, 2025
- State-registered IARs · 3 to 4Sep 19, 2024 to Feb 27, 2025
- HNW RAUM · $65.9M to $64.8MSep 19, 2024 to Feb 27, 2025
- Individual RAUM · $1.6B to $3.3BSep 19, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $1.7B to $3.5BSep 19, 2024 to Feb 27, 2025
- Pension RAUM · $46.8M to $92.2MSep 19, 2024 to Feb 27, 2025
- RAUM · $1.7B to $3.5BSep 19, 2024 to Feb 27, 2025
- Related insurance company · true to falseFeb 15, 2024 to Sep 19, 2024
- Accounts · 1,175 to 1,484Mar 30, 2023 to Feb 15, 2024
- Corporate clients · unset to 1.0Mar 30, 2023 to Feb 15, 2024
- HNW clients · 15 to 13Mar 30, 2023 to Feb 15, 2024
- Individual clients · 1,047 to 1,445Mar 30, 2023 to Feb 15, 2024
- Pension plan clients · 13 to 21Mar 30, 2023 to Feb 15, 2024
- HNW RAUM · $72.0M to $65.9MMar 30, 2023 to Feb 15, 2024
- Individual RAUM · $1.3B to $1.6BMar 30, 2023 to Feb 15, 2024
- Non-discretionary RAUM · $1.4B to $1.7BMar 30, 2023 to Feb 15, 2024
- Pension RAUM · $30.0M to $46.8MMar 30, 2023 to Feb 15, 2024
- RAUM · $1.4B to $1.7BMar 30, 2023 to Feb 15, 2024
- Accounts · 852 to 1,175May 26, 2022 to Mar 30, 2023
- BD registered reps · 1 to 0May 26, 2022 to Mar 30, 2023
- Individual clients · 191 to 1,047May 26, 2022 to Mar 30, 2023
- Pension plan clients · 78 to 13May 26, 2022 to Mar 30, 2023
Signals
11 dated events
- C•• A••••••• I•• reported RAUM $202.7M, down 94% from $3.5B (2025-03-12 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- C•• A••••••• I•• reported RAUM $3.5B, up 100% from $1.7B (2024-09-19 to 2025-02-27)Feb 27, 2025 · RAUM change · derived
- M•••••• Anthony Ward (Chief Compliance Officer & In-House Erisa Counsel) appeared on Schedule A of C•• A••••••• I••Sep 19, 2024 · Control person joined · fact
- J••• R••••• (Vice President & Chief Compliance Officer) no longer on Schedule A of C•• A••••••• I•• (listed 2024-02-15, absent 2024-09-19)Sep 19, 2024 · Control person left · inference
- Anthony Louis Russo (General Partner) no longer on Schedule A of C•• A••••••• I•• (listed 2024-02-15, absent 2024-09-19)Sep 19, 2024 · Control person left · inference
- C•• A••••••• I•• reported RAUM $1.3B, up 187% from $437.1M (2021-03-08 to 2022-02-16)Feb 16, 2022 · RAUM change · derived
- C•• A••••••• I•• reported RAUM $437.1M, up 200% from $145.5M (2020-08-14 to 2021-03-08)Mar 8, 2021 · RAUM change · derived
- Scott M•••••• Russo (Limited Partner) appeared on Schedule A of C•• A••••••• I••Jun 4, 2019 · Control person joined · fact
- Anthony Louis Russo (General Partner) appeared on Schedule A of C•• A••••••• I••Jun 4, 2019 · Control person joined · fact
- Victor Matera (President) no longer on Schedule A of C•• A••••••• I•• (listed 2019-02-21, absent 2019-06-04)Jun 4, 2019 · Control person left · inference
- C•• A••••••• I•• reported RAUM $94.5M, down 75% from $371.4M (2018-03-07 to 2019-02-21)Feb 21, 2019 · 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
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 631.657.2135reportedpublic record, Form ADV, Mar 24, 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
- $40.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026