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
R•• A••••••• L••
Legal name R••••• Z••••••••• H•••••• L••
Latest filing Feb 1, 2026
First filing on the tape Mar 24, 2012 · 48 filings
SEC status approved since May 17, 2010
RAUM
$2.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.4B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$350M
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$2.4B as of Feb 1, 2026
Mar 24, 2012$460M then
HNW client RAUM$2.3B as of Feb 1, 2026
Mar 30, 2018$844M then
State-registered IARs (5.B.3)7 as of Feb 1, 2026
Mar 24, 20120 then
Employees (5.A)11 as of Feb 1, 2026
Mar 21, 20137 then
Private funds: no history
RAUM +15% over the last fiscal year+20% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Feb 1, 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
- RAUM per advisor
- $350MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.6MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $1.4B, 229 clientsreportedItem 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.3B95%
- Individuals$109M4.5%
- Corporations and businesses$1.7M0.1%
- Individual clients
- 145reported
- HNW clients
- 306reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,698reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.4B for 229 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• J••••••• Z•••••••••Certified Financial Planner | Stamford, Ct | Apr 25, 2000 | 34 y | 1 |
| S•••••• M••••• C•••••Certified Financial Planner | Stamford, Ct | Aug 30, 2012 | 20 y | 1 |
| L••••• A•• R••••••Certified Financial Planner | Stamford, Ct | Jan 11, 2021 | 15 y | 1 |
| B•••••• L••••• M•••••Certified Financial Planner | Stamford, Ct | Mar 4, 2022 | 15 y | 4 |
| J•••••••• A•••••• | Stamford, Ct | Jul 11, 2022 | 17 y | 4 |
| I•• M•••••• A•••••••• | Stamford, Ct | Jul 26, 2024 | 13 y | 1 |
| A••••• L•• D••••••Chartered Financial Analyst | Stamford, Ct | Oct 3, 2025 | 10 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
- C••••••••• M•••••• A•••• to C•••••••• A•••••••Aug 4, 2021 · RIA to RIA
Joined, latest
- A••••• L•• D•••••• from T••••• A••••••• S•••••••• I•••Oct 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- I•• M•••••• A•••••••• from W•• A•••••••• I•••Jul 26, 2024 · RIA to RIA
- J•••••••• A•••••• from G•• F•••••••• S••••••••• L••Jul 11, 2022 · RIA to RIA
- B•••••• L••••• M••••• from H•••••••• A•••••••• L••Mar 4, 2022 · Affiliated broker-dealer or bank to independent RIA
- L••••• A•• R•••••• from G•••••• S•••• W••••• S•••••••• L•••Jan 11, 2021 · Other
- C••••••••• M•••••• A•••• from A••••••••• F•••••••• S•••••••• L••Sep 30, 2014 · Other
- S•••••• M••••• C••••• from C••••••••• F•••••••• N••••••Aug 30, 2012 · Other
- C••• J••••••• Z••••••••• from C••••••••• F•••••••• N••••••Apr 25, 2000 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• J•••••••• · Chief Compliance Officer/Chief Operating Officercontrolsince 06/2022 · owns less than 5%
- C•••••• S••••••• M••••• · Chief Wealth Strategist/Principal Operating Officer/Principalcontrolsince 01/2015 · owns 10% to 25%
- R••••••• L•••••• A•• · Principalcontrolsince 01/2024 · owns less than 5%
- Z••••••••• C•••• J••••••• · Principal /Chief Investment Strategistcontrolsince 03/2000 · 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 |
|---|---|---|---|---|---|
| Stamford, Ct · principal | 7 | 1 | 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 Feb 1, 2026A••••••• J•••••••• (CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER) left Schedule A between the filings of 2024-03-06 and 2026-02-01peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,578 to 1,698May 22, 2025 to Feb 1, 2026
- HNW clients · 296 to 306May 22, 2025 to Feb 1, 2026
- Individual clients · 133 to 145May 22, 2025 to Feb 1, 2026
- Assets in custody · $1.1B to $1.4BMay 22, 2025 to Feb 1, 2026
- Discretionary RAUM · $2.1B to $2.4BMay 22, 2025 to Feb 1, 2026
- HNW RAUM · $2.0B to $2.3BMay 22, 2025 to Feb 1, 2026
- Individual RAUM · $93.2M to $109MMay 22, 2025 to Feb 1, 2026
- RAUM · $2.1B to $2.4BMay 22, 2025 to Feb 1, 2026
- Accounts · 1,628 to 1,578Mar 23, 2025 to May 22, 2025
- HNW clients · 297 to 296Mar 23, 2025 to May 22, 2025
- Individual clients · 135 to 133Mar 23, 2025 to May 22, 2025
- Financial planning clients · 251-500 to 251-500Mar 23, 2025 to May 22, 2025
- Discretionary RAUM · $2.1B to $2.1BMar 23, 2025 to May 22, 2025
- HNW RAUM · $2.0B to $2.0BMar 23, 2025 to May 22, 2025
- Individual RAUM · $93.5M to $93.2MMar 23, 2025 to May 22, 2025
- RAUM · $2.1B to $2.1BMar 23, 2025 to May 22, 2025
- Accounts · 1,438 to 1,628Dec 6, 2024 to Mar 23, 2025
- HNW clients · 279 to 297Dec 6, 2024 to Mar 23, 2025
- Individual clients · 125 to 135Dec 6, 2024 to Mar 23, 2025
- Assets in custody · $801M to $1.1BDec 6, 2024 to Mar 23, 2025
- Discretionary RAUM · $1.7B to $2.1BDec 6, 2024 to Mar 23, 2025
- HNW RAUM · $1.6B to $2.0BDec 6, 2024 to Mar 23, 2025
- Individual RAUM · $72.2M to $93.5MDec 6, 2024 to Mar 23, 2025
- RAUM · $1.7B to $2.1BDec 6, 2024 to Mar 23, 2025
- Accounts · 1,318 to 1,438Oct 12, 2023 to Mar 6, 2024
- HNW clients · 276 to 279Oct 12, 2023 to Mar 6, 2024
- Individual clients · 118 to 125Oct 12, 2023 to Mar 6, 2024
- Assets in custody · $659M to $801MOct 12, 2023 to Mar 6, 2024
- Discretionary RAUM · $1.4B to $1.7BOct 12, 2023 to Mar 6, 2024
- HNW RAUM · $1.4B to $1.6BOct 12, 2023 to Mar 6, 2024
- Individual RAUM · $42.9M to $72.2MOct 12, 2023 to Mar 6, 2024
- RAUM · $1.4B to $1.7BOct 12, 2023 to Mar 6, 2024
- Accounts · 1,209 to 1,318Oct 19, 2022 to Jan 30, 2023
- Advisory employees · 6 to 7Oct 19, 2022 to Jan 30, 2023
- HNW clients · 256 to 276Oct 19, 2022 to Jan 30, 2023
- Individual clients · 116 to 118Oct 19, 2022 to Jan 30, 2023
- Assets in custody · $552M to $659MOct 19, 2022 to Jan 30, 2023
- Employees · 10 to 11Oct 19, 2022 to Jan 30, 2023
- State-registered IARs · 6 to 7Oct 19, 2022 to Jan 30, 2023
- Discretionary RAUM · $1.5B to $1.4BOct 19, 2022 to Jan 30, 2023
Signals
3 dated events
- Ann Lauren Rowland (Principal) appeared on Schedule A of R•• A••••••• L••Mar 6, 2024 · Control person joined · fact
- Ann Dana Millington (Principal) no longer on Schedule A of R•• A••••••• L•• (listed 2022-10-19, absent 2023-01-30)Jan 30, 2023 · Control person left · inference
- J•••••••• A•••••• (Chief Compliance Officer/Chief Operating Officer) appeared on Schedule A of R•• A••••••• L••Jul 20, 2022 · Control person joined · 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 email
- info@rzhadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-355-0880reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-355-0881reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-355-0882reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/RZHADVISORSLLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- RZHADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-355-0880reportedpublic record, Form ADV, Feb 1, 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
- $350Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026