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••••••••• I••••••••• A••••••• C•••
Latest filing Feb 17, 2026
First filing on the tape Dec 19, 2012 · 28 filings
SEC status approved since Jan 8, 2013
RAUM
$105M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
88%
$92.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$105M as of Feb 17, 2026
Feb 27, 2013$31.0M then
HNW client RAUM$69.7M as of Feb 17, 2026
Mar 13, 2018$23.3M then
State-registered IARs (5.B.3)1 as of Feb 17, 2026
Feb 27, 20131 then
Employees (5.A)3 as of Feb 17, 2026
Feb 27, 20131 then
Private funds: no history
RAUM +22% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 17, 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
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 137derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $355,456derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$69.7M66%
- Individuals$23.2M22%
- Pension and profit-sharing plans$12.3M12%
- Charitable organizations$31,0000.0%
- Individual clients
- 93reported
- HNW clients
- 44reported
- Pension plan clients
- 5reported
- Charitable clients
- 1reported
- Accounts
- 296reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••• M•••••••Certified Financial Planner | New York, Ny | Jul 11, 2011 | 35 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
- M•••••••• C••••••• · Chief Investment Officercontrolsince 05/1990 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 283 to 296Aug 28, 2025 to Feb 17, 2026
- HNW clients · 32 to 44Aug 28, 2025 to Feb 17, 2026
- Individual clients · 100 to 93Aug 28, 2025 to Feb 17, 2026
- Discretionary RAUM · $79.3M to $94.4MAug 28, 2025 to Feb 17, 2026
- HNW RAUM · $52.9M to $69.7MAug 28, 2025 to Feb 17, 2026
- Individual RAUM · $23.8M to $23.2MAug 28, 2025 to Feb 17, 2026
- Non-discretionary RAUM · $7.1M to $10.8MAug 28, 2025 to Feb 17, 2026
- Pension RAUM · $9.6M to $12.3MAug 28, 2025 to Feb 17, 2026
- RAUM · $86.4M to $105MAug 28, 2025 to Feb 17, 2026
- Accounts · 331 to 283Feb 27, 2024 to Feb 28, 2025
- HNW clients · 33 to 32Feb 27, 2024 to Feb 28, 2025
- Individual clients · 95 to 100Feb 27, 2024 to Feb 28, 2025
- Pension plan clients · 4 to 5Feb 27, 2024 to Feb 28, 2025
- Financial planning clients · 11-25 to 11-25Feb 27, 2024 to Feb 28, 2025
- Discretionary RAUM · $66.7M to $79.3MFeb 27, 2024 to Feb 28, 2025
- HNW RAUM · $49.3M to $52.9MFeb 27, 2024 to Feb 28, 2025
- Individual RAUM · $15.0M to $23.8MFeb 27, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $5.3M to $7.1MFeb 27, 2024 to Feb 28, 2025
- Pension RAUM · $7.7M to $9.6MFeb 27, 2024 to Feb 28, 2025
- RAUM · $72.1M to $86.4MFeb 27, 2024 to Feb 28, 2025
- Accounts · 315 to 331Jan 30, 2023 to Feb 27, 2024
- Charity clients · unset to 1.0Jan 30, 2023 to Feb 27, 2024
- HNW clients · 30 to 33Jan 30, 2023 to Feb 27, 2024
- Individual clients · 84 to 95Jan 30, 2023 to Feb 27, 2024
- Pension plan clients · unset to 4.0Jan 30, 2023 to Feb 27, 2024
- Discretionary RAUM · $61.5M to $66.7MJan 30, 2023 to Feb 27, 2024
- HNW RAUM · $42.9M to $49.3MJan 30, 2023 to Feb 27, 2024
- Individual RAUM · $16.9M to $15.0MJan 30, 2023 to Feb 27, 2024
- Non-discretionary RAUM · $4.4M to $5.3MJan 30, 2023 to Feb 27, 2024
- Pension RAUM · $6.1M to $7.7MJan 30, 2023 to Feb 27, 2024
- RAUM · $65.9M to $72.1MJan 30, 2023 to Feb 27, 2024
- Accounts · 282 to 315Mar 11, 2022 to Jan 30, 2023
- HNW clients · 34 to 30Mar 11, 2022 to Jan 30, 2023
- Individual clients · 130 to 84Mar 11, 2022 to Jan 30, 2023
- Employees · 4 to 3Mar 11, 2022 to Jan 30, 2023
- Discretionary RAUM · $60.5M to $61.5MMar 11, 2022 to Jan 30, 2023
- HNW RAUM · $37.1M to $42.9MMar 11, 2022 to Jan 30, 2023
- Individual RAUM · $21.4M to $16.9MMar 11, 2022 to Jan 30, 2023
- Non-discretionary RAUM · $4.6M to $4.4MMar 11, 2022 to Jan 30, 2023
- Pension RAUM · $6.6M to $6.1MMar 11, 2022 to Jan 30, 2023
Signals
1 dated events
- I••••••••• I••••••••• A••••••• C••• filed its initial SEC registration (Form ADV)Dec 19, 2012 · 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
- 800-423-8424reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-656-1014reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-869-7266reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-869-7266reportedpublic record, Form ADV, Feb 17, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- c•••••••••.comreportedpublished 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026