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
H••••• C•••••• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Mar 30, 2012 · 44 filings
SEC status approved since Feb 22, 2002
RAUM
$8.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
45%
$3.9B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$2.2B
derived; firm RAUM over IAPD count
Employees
24
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$8.7B as of Mar 23, 2026
Mar 30, 2012$1.7B then
HNW client RAUM$3.8B as of Mar 23, 2026
Mar 30, 2018$1.7B then
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 13, 20130 then
Employees (5.A)24 as of Mar 23, 2026
Mar 13, 201316 then
Private funds2 as of Mar 23, 2026
Mar 30, 20122 then
RAUM +4.5% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 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
- RAUM per advisor
- $2.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 399derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $4.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- yesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.8B43%
- Investment companies$1.6B19%
- Corporations and businesses$1.2B13%
- Pooled investment vehicles$1.0B12%
- Pension and profit-sharing plans$391M4.5%
- Charitable organizations$367M4.2%
- State and municipal entities$203M2.3%
- Individuals$138M1.6%
- Individual clients
- 243reported
- HNW clients
- 1,351reported
- Pension plan clients
- 18reported
- Charitable clients
- 51reported
- Accounts
- 1,924reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $431M managedreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.45 fund_share=0.31 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• M• T•••Chartered Financial Analyst | New York, Ny | Mar 18, 2022 | 18 y | 0 |
| N•••••••• P••••• F••••••••Chartered Financial Analyst | New York, Ny | Mar 18, 2022 | 10 y | 1 |
| C••••••••• M•••••• D••••••Chartered Financial Analyst | New York, Ny | Jun 1, 2022 | 27 y | 0 |
| D••••• L•• | New York, Ny | Sep 26, 2022 | 10 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
- N•••••••• P••••• F•••••••• from M••••• S••••••Mar 18, 2022 · Wirehouse to independent RIA
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• I••••• P••• F•••• L• | Other Private Fund | $295M | 356 | Mar 30, 2012 |
| H••••• Y•••• P•••••••• L• | Other Private Fund | $141M | 92 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••••• D••••••• A••• · Chief Operating Officercontrolsince 09/2004 · owns 5% to 10%
- L••••••• R•••••• A•••••••• · Chief Financial Officercontrolsince 03/2013 · owns less than 5%
- R•••• J•••••• •••• · General Counsel / Chief Compliance Officercontrolsince 07/2015 · owns less than 5%
- S••••••• L•••• C••••••• M•••••••• · Ownercontrolsince 01/2008 · owns 50% to 75%
- S••••••• M•••• •••• · Chief Executive Officercontrolsince 01/2003 · owns 50% to 75%
- B••••• J•••••• J••• · Fixed I••••• Portfolio Managersince 07/2004 · owns 10% to 25%
- D•••••• C••••••••• M•••••• · Equity Portfolio Managersince 07/2001 · owns 5% to 10%
- G••••••• C••••••• S•••••• · Equity Pm And Relationship Managersince 01/2010 · owns 10% to 25%
- S••••••• P•••••• B•••• · Fixed I••••• Analystsince 01/2026 · owns 5% to 10%
- T•••• M••••••• M• · Equity Portfolio Managersince 01/2026 · owns 5% to 10%
Related persons
Schedule D 7.A
- H••••• C•••••• A•••••••• L••n
- H••••••••• 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 | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 23, 2026S••••••• L•••• C••••••• M•••••••• (OWNER) left Schedule A between the filings of 2017-01-25 and 2026-03-23peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 1,911 to 1,924Apr 2, 2025 to Mar 23, 2026
- Advisory employees · 13 to 14Apr 2, 2025 to Mar 23, 2026
- Charity clients · 49 to 51Apr 2, 2025 to Mar 23, 2026
- Corporate clients · 190 to 220Apr 2, 2025 to Mar 23, 2026
- HNW clients · 1,339 to 1,351Apr 2, 2025 to Mar 23, 2026
- Individual clients · 262 to 243Apr 2, 2025 to Mar 23, 2026
- Pension plan clients · 17 to 18Apr 2, 2025 to Mar 23, 2026
- Pooled vehicle clients · 36 to 23Apr 2, 2025 to Mar 23, 2026
- Employees · 22 to 24Apr 2, 2025 to Mar 23, 2026
- Discretionary RAUM · $8.3B to $8.7BApr 2, 2025 to Mar 23, 2026
- HNW RAUM · $3.7B to $3.8BApr 2, 2025 to Mar 23, 2026
- Individual RAUM · $149M to $138MApr 2, 2025 to Mar 23, 2026
- Pension RAUM · $351M to $391MApr 2, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $1.1B to $1.0BApr 2, 2025 to Mar 23, 2026
- RAUM · $8.3B to $8.7BApr 2, 2025 to Mar 23, 2026
- Wrap assets (manager) · $505M to $431MApr 2, 2025 to Mar 23, 2026
- Accounts · 1,796 to 1,911Mar 21, 2024 to Apr 2, 2025
- Charity clients · 47 to 49Mar 21, 2024 to Apr 2, 2025
- Corporate clients · 170 to 190Mar 21, 2024 to Apr 2, 2025
- HNW clients · 1,238 to 1,339Mar 21, 2024 to Apr 2, 2025
- Individual clients · 271 to 262Mar 21, 2024 to Apr 2, 2025
- Financial planning clients · unset to Mar 21, 2024 to Apr 2, 2025
- Discretionary RAUM · $7.1B to $8.3BMar 21, 2024 to Apr 2, 2025
- HNW RAUM · $3.2B to $3.7BMar 21, 2024 to Apr 2, 2025
- Individual RAUM · $152M to $149MMar 21, 2024 to Apr 2, 2025
- Pension RAUM · $243M to $351MMar 21, 2024 to Apr 2, 2025
- Pooled vehicle RAUM · $1.2B to $1.1BMar 21, 2024 to Apr 2, 2025
- RAUM · $7.1B to $8.3BMar 21, 2024 to Apr 2, 2025
- Wrap assets (manager) · $548M to $505MMar 21, 2024 to Apr 2, 2025
- Accounts · 1,540 to 1,796Jan 2, 2024 to Mar 21, 2024
- Charity clients · 49 to 47Jan 2, 2024 to Mar 21, 2024
- Corporate clients · 145 to 170Jan 2, 2024 to Mar 21, 2024
- HNW clients · 1,009 to 1,238Jan 2, 2024 to Mar 21, 2024
- Individual clients · 263 to 271Jan 2, 2024 to Mar 21, 2024
- Pooled vehicle clients · 40 to 36Jan 2, 2024 to Mar 21, 2024
- Discretionary RAUM · $6.3B to $7.1BJan 2, 2024 to Mar 21, 2024
- HNW RAUM · $2.8B to $3.2BJan 2, 2024 to Mar 21, 2024
- Individual RAUM · $145M to $152MJan 2, 2024 to Mar 21, 2024
- Pension RAUM · $201M to $243MJan 2, 2024 to Mar 21, 2024
- Pooled vehicle RAUM · $1.2B to $1.2BJan 2, 2024 to Mar 21, 2024
Signals
1 dated events
- (Nmn) Vivian Pan (Senior Adviser) no longer on Schedule A of H••••• C•••••• M••••••••• L•• (listed 2018-09-11, absent 2019-02-06)Feb 6, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- H••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business email
- i•••@h•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- b••••••••@h•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- b••••••••@h•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- c••••••@h•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- d•••••••@h•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j•••••@h•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j••••••••@h•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j••••@h•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- k•••••@h•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m•••••@h•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m•••••••@h•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m•••••••@h•••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $2.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026