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
I••••• • A•••• A•••••••• I•••
Latest filing Aug 19, 2026
First filing on the tape Mar 27, 2012 · 30 filings
SEC status approved since Jan 2, 2009
RAUM
$175M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
99%
$173M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$35.0M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$175M as of Aug 19, 2026
Mar 27, 2012$97.1M then
HNW client RAUM$111M as of Aug 19, 2026
Mar 30, 2018$35.9M then
State-registered IARs (5.B.3)5 as of Aug 19, 2026
Mar 27, 20120 then
Employees (5.A)5 as of Aug 19, 2026
Mar 26, 20138 then
Private funds: no history
RAUM +28% over the last fiscal year+17% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Aug 19, 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
- 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
- RAUM per advisor
- $35.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $323,175derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 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$111M64%
- Individuals$61.4M35%
- Pension and profit-sharing plans$1.5M0.8%
- Corporations and businesses$803,3990.5%
- Individual clients
- 226reported
- HNW clients
- 53reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 541reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A•••••• R•••••• | Armonk, Ny | Mar 21, 2012 | 24 y | 0 |
| J•••• D•••• W••••• | Armonk, Ny | Mar 27, 2012 | 26 y | 4 |
| C•••••••• M•••• N••••• | Armonk, Ny | Nov 23, 2015 | 17 y | 1 |
| M•••••• S•••• N•••••• | Armonk, Ny | Jul 29, 2024 | 14 y | 1 |
| M•••••• J••• O•••• | Armonk, Ny | Aug 18, 2026 | 26 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•••••• S•••• N•••••• from P•••• S••••••••• L••Jul 29, 2024 · Affiliated broker-dealer or bank to independent RIA
- C•••••••• M•••• N••••• from F•••• N•••• W••••• M••••••••• L••Nov 23, 2015 · Other
- J•••• D•••• W••••• from F•••• N•••• W••••• M••••••••• L••Mar 27, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• J••••• P•••••• · President, Ceo, And Chief Compliance Officercontrolsince 03/2006 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Armonk, Ny · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Ramsey, NJ1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 30, 2026discretionary share of RAUM moved from 100.0% to 79.0% between the annual amendments of 2025-03-11 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 30, 2026 to Aug 19, 2026
- Employees · 4 to 5Mar 30, 2026 to Aug 19, 2026
- State-registered IARs · 4 to 5Mar 30, 2026 to Aug 19, 2026
- Accounts · 455 to 541Jul 16, 2025 to Mar 30, 2026
- Corporate clients · 3 to 4Jul 16, 2025 to Mar 30, 2026
- HNW clients · 64 to 53Jul 16, 2025 to Mar 30, 2026
- Individual clients · 229 to 226Jul 16, 2025 to Mar 30, 2026
- Pension plan clients · 2 to 4Jul 16, 2025 to Mar 30, 2026
- Discretionary RAUM · $136M to $138MJul 16, 2025 to Mar 30, 2026
- HNW RAUM · $78.7M to $111MJul 16, 2025 to Mar 30, 2026
- Individual RAUM · $55.4M to $61.4MJul 16, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $0 to $37.0MJul 16, 2025 to Mar 30, 2026
- Pension RAUM · $1.3M to $1.5MJul 16, 2025 to Mar 30, 2026
- RAUM · $136M to $175MJul 16, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 11, 2025 to Jul 16, 2025
- Accounts · 433 to 455Jan 23, 2025 to Mar 11, 2025
- HNW clients · 58 to 64Jan 23, 2025 to Mar 11, 2025
- Individual clients · 239 to 229Jan 23, 2025 to Mar 11, 2025
- Pension plan clients · 3 to 2Jan 23, 2025 to Mar 11, 2025
- Discretionary RAUM · $116M to $136MJan 23, 2025 to Mar 11, 2025
- HNW RAUM · $63.6M to $78.7MJan 23, 2025 to Mar 11, 2025
- Individual RAUM · $50.4M to $55.4MJan 23, 2025 to Mar 11, 2025
- Pension RAUM · $1.5M to $1.3MJan 23, 2025 to Mar 11, 2025
- RAUM · $116M to $136MJan 23, 2025 to Mar 11, 2025
- State-registered IARs · 5 to 4Nov 4, 2024 to Jan 23, 2025
- Advisory employees · 4 to 3Nov 4, 2024 to Jan 23, 2025
- Employees · 5 to 4Nov 4, 2024 to Jan 23, 2025
- Advisory employees · 3 to 4Mar 15, 2024 to Aug 30, 2024
- Employees · 4 to 5Mar 15, 2024 to Aug 30, 2024
- State-registered IARs · 4 to 5Mar 15, 2024 to Aug 30, 2024
- Accounts · 444 to 433Nov 6, 2023 to Mar 11, 2024
- HNW clients · 61 to 58Nov 6, 2023 to Mar 11, 2024
- Individual clients · 226 to 239Nov 6, 2023 to Mar 11, 2024
- Discretionary RAUM · $109M to $116MNov 6, 2023 to Mar 11, 2024
- HNW RAUM · $60.1M to $63.6MNov 6, 2023 to Mar 11, 2024
- Individual RAUM · $47.8M to $50.4MNov 6, 2023 to Mar 11, 2024
- Pension RAUM · $601,668 to $1.5MNov 6, 2023 to Mar 11, 2024
- RAUM · $109M to $116MNov 6, 2023 to Mar 11, 2024
- Advisory employees · 4 to 3Mar 23, 2023 to May 24, 2023
- Employees · 5 to 4Mar 23, 2023 to May 24, 2023
Signals
1 dated events
- Lynn Bryna Ortiz (Chief Operations Officer) no longer on Schedule A of I••••• • A•••• A•••••••• I••• (listed 2022-03-28, absent 2022-12-13)Dec 13, 2022 · Control person left · inference
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
- helen@theadvisory.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 914-273-6800reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 914-273-6806reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 914-273-6800reportedpublic record, Form ADV, Aug 19, 2026
- Contact form
- theadvisory.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- theadvisory.com/meet-the-teamreportedpublished by the firm, firm site, Sep 16, 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
- $35.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026