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
T•• E••••••• A•••• M••••••••• C•••••••••
Latest filing Feb 6, 2026
First filing on the tape Feb 4, 2021 · 7 filings
SEC status approved since Mar 5, 2021
RAUM
$38.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$29.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$38.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$38.0M as of Feb 6, 2026
Feb 22, 2022$30.5M then
HNW client RAUM$24.5M as of Feb 6, 2026
Feb 22, 2022$9.0M then
State-registered IARs (5.B.3)1 as of Feb 6, 2026
Feb 22, 20220 then
Employees (5.A)1 as of Feb 6, 2026
Feb 22, 20221 then
Private funds: no history
RAUM +19% over the last fiscal year+14% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Feb 6, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $38.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $680,846derivedHNW RAUM over HNW clients
- Average account
- $575,048derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- 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$24.5M65%
- Pension and profit-sharing plans$8.3M22%
- Individuals$5.1M14%
- Charitable organizations$20,2480.1%
- Individual clients
- 25reported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 66reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.22 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 |
|---|---|---|---|---|
| M•••••• R•••• D••••• | Briarcliff Manor, Ny | May 9, 2021 | 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• M••••••• R•••• · President And Ccocontrolsince 09/1996 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 60 to 66Feb 21, 2025 to Feb 6, 2026
- HNW clients · 6 to 36Feb 21, 2025 to Feb 6, 2026
- Individual clients · 45 to 25Feb 21, 2025 to Feb 6, 2026
- State-registered IARs · 0 to 1Feb 21, 2025 to Feb 6, 2026
- Discretionary RAUM · $31.8M to $37.9MFeb 21, 2025 to Feb 6, 2026
- HNW RAUM · $12.3M to $24.5MFeb 21, 2025 to Feb 6, 2026
- Individual RAUM · $12.6M to $5.1MFeb 21, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $102,931 to $82,016Feb 21, 2025 to Feb 6, 2026
- Pension RAUM · $6.9M to $8.3MFeb 21, 2025 to Feb 6, 2026
- RAUM · $31.9M to $38.0MFeb 21, 2025 to Feb 6, 2026
- Accounts · 103 to 60Jan 22, 2024 to Feb 21, 2025
- Individual clients · 48 to 45Jan 22, 2024 to Feb 21, 2025
- Financial planning clients · 26-50 to 11-25Jan 22, 2024 to Feb 21, 2025
- HQ city · unset to Jan 22, 2024 to Feb 21, 2025
- HQ state · unset to Jan 22, 2024 to Feb 21, 2025
- Discretionary RAUM · $28.9M to $31.8MJan 22, 2024 to Feb 21, 2025
- HNW RAUM · $9.5M to $12.3MJan 22, 2024 to Feb 21, 2025
- Individual RAUM · $13.5M to $12.6MJan 22, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $0 to $102,931Jan 22, 2024 to Feb 21, 2025
- Pension RAUM · $5.8M to $6.9MJan 22, 2024 to Feb 21, 2025
- RAUM · $28.9M to $31.9MJan 22, 2024 to Feb 21, 2025
- Accounts · 54 to 103Feb 8, 2023 to Jan 22, 2024
- HNW clients · unset to 6.0Feb 8, 2023 to Jan 22, 2024
- Individual clients · 44 to 48Feb 8, 2023 to Jan 22, 2024
- Discretionary RAUM · $25.8M to $28.9MFeb 8, 2023 to Jan 22, 2024
- HNW RAUM · $4.3M to $9.5MFeb 8, 2023 to Jan 22, 2024
- Individual RAUM · $14.0M to $13.5MFeb 8, 2023 to Jan 22, 2024
- Non-discretionary RAUM · $95,418 to $0Feb 8, 2023 to Jan 22, 2024
- Pension RAUM · $4.8M to $5.8MFeb 8, 2023 to Jan 22, 2024
- RAUM · $25.9M to $28.9MFeb 8, 2023 to Jan 22, 2024
- Accounts · 67 to 54Feb 22, 2022 to Feb 8, 2023
- HNW clients · 5.0 to unsetFeb 22, 2022 to Feb 8, 2023
- Individual clients · 57 to 44Feb 22, 2022 to Feb 8, 2023
- Discretionary RAUM · $30.4M to $25.8MFeb 22, 2022 to Feb 8, 2023
- HNW RAUM · $9.0M to $4.3MFeb 22, 2022 to Feb 8, 2023
- Individual RAUM · $15.9M to $14.0MFeb 22, 2022 to Feb 8, 2023
- Non-discretionary RAUM · $60,855 to $95,418Feb 22, 2022 to Feb 8, 2023
- Pension RAUM · $5.6M to $4.8MFeb 22, 2022 to Feb 8, 2023
- RAUM · $30.5M to $25.9MFeb 22, 2022 to Feb 8, 2023
- Accounts · 65 to 67Nov 8, 2021 to Feb 22, 2022
Signals
1 dated events
- T•• E••••••• A•••• M••••••••• C••••••••• filed its initial SEC registration (Form ADV)Feb 4, 2021 · 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
- Principal office phone
- 914-762-5457reportedpublic record, Form ADV, Feb 6, 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
- $38.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026