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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A••••••• A•••• M••••••••• I•••
Latest filing Mar 26, 2026
First filing on the tape Apr 1, 2019 · 22 filings
SEC status approved since May 3, 2019
RAUM
$2.1B
reported, Item 5.F
Discretionary
24%
of RAUM
Private clients
93%
$2.0B individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$161M
derived; firm RAUM over IAPD count
Employees
15
9 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$2.1B as of Mar 26, 2026
Mar 30, 2020$571M then
HNW client RAUM$1.9B as of Mar 26, 2026
Mar 30, 2020$570M then
State-registered IARs (5.B.3)11 as of Mar 26, 2026
Mar 30, 20205 then
Employees (5.A)15 as of Mar 26, 2026
Mar 30, 20208 then
Private funds: no history
RAUM +20% over the last fiscal year+22% a year over threeIARs 6 to 11
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- RAUM per advisor
- $161MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 24%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +83%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.9B92%
- Corporations and businesses$125M5.9%
- Individuals$19.9M0.9%
- Charitable organizations$18.6M0.9%
- Banks and thrifts$494,8460.0%
- Individual clients
- 56reported
- HNW clients
- 832reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 1,339reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• L••••••• J•••••• | New York, Ny | Jan 31, 2019 | 16 y | 0 |
| J••• P•••• V••••••• | New York, Ny | Apr 22, 2019 | 12 y | 0 |
| M•••••• W•••••• O••••••••• | New York, Ny | Jul 8, 2019 | 38 y | 1 |
| G••••• J••••• A•••Chartered Financial Analyst | New York, Ny | Aug 19, 2021 | 21 y | 0 |
| D••••• E•••••• L•••Chartered Financial Analyst | Miami, Fl | Jun 20, 2023 | 11 y | 0 |
| L••••••• C•••••••••Certified Financial Planner | Miami, Fl | Jun 11, 2024 | 12 y | 2 |
| J••••••• T•••••• H•••• | New York, Ny | Nov 11, 2025 | 11 y | 0 |
| C••••• R••• S•••••• G••••• | New York, Ny | Dec 6, 2025 | 12 y | 0 |
| E•••••• A••••• R•••••• C••• | New York, Ny | Jan 28, 2026 | 10 y | 2 |
| D••••• P••••• C•••••• J••••••• | New York, Ny | Feb 9, 2026 | 10 y | 0 |
| L•••• H••••••• B••••••••• | New York, Ny | May 20, 2026 | 12 y | 0 |
| P••••• F•••• A••• | New York, Ny | Jun 30, 2026 | 10 y | 0 |
| C•••••• R••• | New York, Ny | Aug 7, 2026 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- E•••••• A••••• R•••••• C••• from T••••• A••••••• S•••••••• I•••Jan 28, 2026 · Affiliated broker-dealer or bank to independent RIA
- L••••••• C••••••••• from M••••• S••••••Jun 11, 2024 · Wirehouse to independent RIA
- M•••••• W•••••• O••••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 8, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• S•••• · Directorcontrolsince 09/2018 · owns less than 5%
- A•••• G•••••• J••••• · Presidentcontrolsince 03/2014 · owns less than 5%
- J••••••••• S••••• · Directorcontrolsince 09/2018 · owns less than 5%
- P•••••••• R••••••• N• · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- A•••• J•••••• G•••••• · Chairman, I•••••••• B•••controlsince 01/1999 · owns 25% to 50% of I•••••••• B•••
Entity owners
- I•••••••• B••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- I•••••••• B•••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 13 | 7 | 0 | ||
| Miami, Fl | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Miami, FL4 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count surgeChange between filings · filing Mar 26, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 11.0 (+83.0%) between the annual amendments of 2025-03-28 and 2026-03-26; the peer median change was 0.0% (999 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $1B to $5B (999) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 1,245 to 1,339Nov 4, 2025 to Mar 26, 2026
- Advisory employees · 5 to 9Nov 4, 2025 to Mar 26, 2026
- BD registered reps · 4 to 5Nov 4, 2025 to Mar 26, 2026
- Corporate clients · 67 to 73Nov 4, 2025 to Mar 26, 2026
- HNW clients · 834 to 832Nov 4, 2025 to Mar 26, 2026
- Individual clients · 3 to 56Nov 4, 2025 to Mar 26, 2026
- Employees · 14 to 15Nov 4, 2025 to Mar 26, 2026
- State-registered IARs · 6 to 11Nov 4, 2025 to Mar 26, 2026
- Discretionary RAUM · $458M to $506MNov 4, 2025 to Mar 26, 2026
- HNW RAUM · $1.6B to $1.9BNov 4, 2025 to Mar 26, 2026
- Individual RAUM · $188,261 to $19.9MNov 4, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $1.3B to $1.6BNov 4, 2025 to Mar 26, 2026
- RAUM · $1.7B to $2.1BNov 4, 2025 to Mar 26, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 22, 2025
- Accounts · 1,152 to 1,245Aug 27, 2024 to Mar 28, 2025
- BD registered reps · 0 to 4Aug 27, 2024 to Mar 28, 2025
- Corporate clients · 54 to 67Aug 27, 2024 to Mar 28, 2025
- HNW clients · 789 to 834Aug 27, 2024 to Mar 28, 2025
- Individual clients · unset to 3.0Aug 27, 2024 to Mar 28, 2025
- Employees · 12 to 14Aug 27, 2024 to Mar 28, 2025
- State-registered IARs · 5 to 6Aug 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $414M to $458MAug 27, 2024 to Mar 28, 2025
- HNW RAUM · $1.3B to $1.6BAug 27, 2024 to Mar 28, 2025
- Individual RAUM · unset to 188261.0Aug 27, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $1.0B to $1.3BAug 27, 2024 to Mar 28, 2025
- RAUM · $1.4B to $1.7BAug 27, 2024 to Mar 28, 2025
- Related broker-dealer · false to trueAug 27, 2024 to Mar 28, 2025
- Accounts · 970 to 1,152Feb 8, 2024 to Mar 29, 2024
- Charity clients · 2 to 6Feb 8, 2024 to Mar 29, 2024
- Corporate clients · unset to 54.0Feb 8, 2024 to Mar 29, 2024
- HNW clients · 721 to 789Feb 8, 2024 to Mar 29, 2024
- Discretionary RAUM · $458M to $414MFeb 8, 2024 to Mar 29, 2024
- HNW RAUM · $1.1B to $1.3BFeb 8, 2024 to Mar 29, 2024
- Non-discretionary RAUM · $707M to $1.0BFeb 8, 2024 to Mar 29, 2024
- RAUM · $1.2B to $1.4BFeb 8, 2024 to Mar 29, 2024
- Employees · 9 to 12Mar 26, 2022 to Mar 30, 2023
- Accounts · 821 to 970Mar 26, 2022 to Mar 30, 2023
- HNW clients · 609 to 721Mar 26, 2022 to Mar 30, 2023
- Discretionary RAUM · $452M to $458MMar 26, 2022 to Mar 30, 2023
- HNW RAUM · $944M to $1.1BMar 26, 2022 to Mar 30, 2023
Signals
11 dated events
- N Richard Pagnotta (Chief Compliance Officer) appeared on Schedule A of A••••••• A•••• M••••••••• I•••Aug 14, 2024 · Control person joined · fact
- David Marlon Orantes (Chief Compliance Officer) no longer on Schedule A of A••••••• A•••• M••••••••• I••• (listed 2024-04-18, absent 2024-08-14)Aug 14, 2024 · Control person left · inference
- David Marlon Orantes (Chief Compliance Officer) appeared on Schedule A of A••••••• A•••• M••••••••• I•••Mar 29, 2024 · Control person joined · fact
- Andrew Schmidt (Chief Compliance Officer) no longer on Schedule A of A••••••• A•••• M••••••••• I••• (listed 2024-02-08, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- A••••••• A•••• M••••••••• I••• reported RAUM $807.0M, up 41% from $570.6M (2021-01-27 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- Georges Joseph Audi (Chairman, Intearudi Bank) appeared on Schedule A of A••••••• A•••• M••••••••• I•••Mar 26, 2021 · Control person joined · fact
- Andrew Schmidt (Chief Compliance Officer) appeared on Schedule A of A••••••• A•••• M••••••••• I•••Jan 27, 2021 · Control person joined · fact
- Georges Joseph Audi (Director) no longer on Schedule A of A••••••• A•••• M••••••••• I••• (listed 2019-04-01, absent 2019-08-16)Aug 16, 2019 · Control person left · inference
- Salim Abboud (Director) appeared on Schedule A of A••••••• A•••• M••••••••• I•••Aug 16, 2019 · Control person joined · fact
- Stefan Johansson (Director) appeared on Schedule A of A••••••• A•••• M••••••••• I•••Aug 16, 2019 · Control person joined · fact
- A••••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Apr 1, 2019 · First SEC registration · fact
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 phone
- 212-833-1000reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 305-373-0200reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- a•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-833-1090reportedpublic record, Form ADV, Mar 26, 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
- $161Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026