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.

Former SEC-registered adviser

Greystone Wealth Advisors LLC

Former SEC-registered adviserRye Brook, New YorkCRD 126020SEC 801-61920IAPD
Latest filing Jun 22, 2021
First filing on the tape Mar 27, 2012 · 23 filings
RAUM
$313M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
97%
$303M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$313M as of Mar 18, 2021
Mar 27, 2012$115M then
HNW client RAUM$285M as of Mar 18, 2021
Mar 29, 2018$185M then
State-registered IARs (5.B.3)3 as of Mar 18, 2021
Mar 27, 20120 then
Employees (5.A)4 as of Mar 18, 2021
Mar 14, 20133 then
Private funds: no history
RAUM +8.4% over the last fiscal year+14% a year over threeIARs 2 to 3offices 4 to 5
Practice profile
derived from the filing of Jun 22, 2021; every figure names its basis
RAUM per advisor
$104MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
36derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.0MderivedHNW RAUM over HNW clients
Average account
$651,549derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
0.5derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+8.4%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-0.9%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$74.2M, 43 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$285M91%
  • Individuals$17.9M5.7%
  • Charitable organizations$9.9M3.2%
Individual clients
38reported
HNW clients
71reported
Pension plan clients
n/areported
Charitable clients
4reported
Accounts
480reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$74.2M for 43 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Wood Thomas Ausfahl · Membercontrol
      since 01/2013 · owns 10% to 25%
    • Roger Timothy Clark · Membercontrol
      since 12/2006 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • New York, NY2 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 444 to 480
      Nov 9, 2020 to Mar 18, 2021
    • HNW clients · 67 to 71
      Nov 9, 2020 to Mar 18, 2021
    • Individual clients · 43 to 38
      Nov 9, 2020 to Mar 18, 2021
    • Assets in custody · $63.7M to $74.2M
      Nov 9, 2020 to Mar 18, 2021
    • Discretionary RAUM · $273M to $296M
      Nov 9, 2020 to Mar 18, 2021
    • HNW RAUM · $257M to $285M
      Nov 9, 2020 to Mar 18, 2021
    • Individual RAUM · $21.7M to $17.9M
      Nov 9, 2020 to Mar 18, 2021
    • Non-discretionary RAUM · $15.6M to $16.9M
      Nov 9, 2020 to Mar 18, 2021
    • RAUM · $288M to $313M
      Nov 9, 2020 to Mar 18, 2021
    • Advisory employees · 2 to 3
      May 7, 2020 to Jun 15, 2020
    • Employees · 3 to 4
      May 7, 2020 to Jun 15, 2020
    • State-registered IARs · 2 to 3
      May 7, 2020 to Jun 15, 2020
    • Other offices · 4 to 5
      May 7, 2020 to Jun 15, 2020
    • Accounts · 433 to 444
      Sep 20, 2019 to Mar 26, 2020
    • Advisory employees · 3 to 2
      Sep 20, 2019 to Mar 26, 2020
    • HNW clients · 54 to 67
      Sep 20, 2019 to Mar 26, 2020
    • Individual clients · 60 to 43
      Sep 20, 2019 to Mar 26, 2020
    • Assets in custody · $47.8M to $63.7M
      Sep 20, 2019 to Mar 26, 2020
    • Employees · 4 to 3
      Sep 20, 2019 to Mar 26, 2020
    • State-registered IARs · 3 to 2
      Sep 20, 2019 to Mar 26, 2020
    • Other offices · 5 to 4
      Sep 20, 2019 to Mar 26, 2020
    • Discretionary RAUM · $221M to $273M
      Sep 20, 2019 to Mar 26, 2020
    • HNW RAUM · $195M to $257M
      Sep 20, 2019 to Mar 26, 2020
    • Individual RAUM · $28.0M to $21.7M
      Sep 20, 2019 to Mar 26, 2020
    • Non-discretionary RAUM · $10.5M to $15.6M
      Sep 20, 2019 to Mar 26, 2020
    • RAUM · $231M to $288M
      Sep 20, 2019 to Mar 26, 2020
    • Accounts · 412 to 433
      Dec 11, 2018 to Mar 21, 2019
    • Charity clients · unset to 4.0
      Dec 11, 2018 to Mar 21, 2019
    • HNW clients · 61 to 54
      Dec 11, 2018 to Mar 21, 2019
    • Individual clients · 43 to 60
      Dec 11, 2018 to Mar 21, 2019
    • Assets in custody · $104M to $47.8M
      Dec 11, 2018 to Mar 21, 2019
    • Discretionary RAUM · $194M to $221M
      Dec 11, 2018 to Mar 21, 2019
    • HNW RAUM · $185M to $195M
      Dec 11, 2018 to Mar 21, 2019
    • Individual RAUM · $15.9M to $28.0M
      Dec 11, 2018 to Mar 21, 2019
    • Non-discretionary RAUM · $16.6M to $10.5M
      Dec 11, 2018 to Mar 21, 2019
    • RAUM · $211M to $231M
      Dec 11, 2018 to Mar 21, 2019
    • Advisory employees · 2 to 3
      May 7, 2018 to Dec 5, 2018
    • Advisory activities · 4 to 3
      May 7, 2018 to Dec 5, 2018
    • Employees · 3 to 4
      May 7, 2018 to Dec 5, 2018
    • HQ city · unset to RYE BROOK
      May 7, 2018 to Dec 5, 2018
    Signals
    3 dated events
    • Thomas Wood Ausfahl left Greystone Wealth Advisors Llc for Modera Wealth Management, Llc (registered 2022-01-03)
      Jan 3, 2022 · Advisor changed firm · fact
    • Elizabeth Saunders Brozena left Greystone Wealth Advisors Llc for Modera Wealth Management, Llc (registered 2022-01-03)
      Jan 3, 2022 · Advisor changed firm · fact
    • 2 advisors left Greystone Wealth Advisors LLC (Rye, NY) for Modera Wealth Management, LLC on the same day
      Jan 3, 2022 · Team lift-out · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026