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
C•••••• P••••••••• P•••••••• I•••
Legal name C•••••• P••••••••• P••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Jun 6, 2012 · 17 filings
SEC status approved since Jan 2, 2009
RAUM
$222M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$222M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$222M as of Mar 30, 2026
Jun 6, 2012$57.2M then
HNW client RAUM$146M as of Mar 30, 2026
Mar 7, 2018$59.1M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Feb 21, 20130 then
Employees (5.A)3 as of Mar 30, 2026
Feb 21, 20132 then
Private funds: no history
RAUM +14% over the last fiscal year+4.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 209derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $328,942derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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$146M66%
- Individuals$76.5M34%
- Individual clients
- 356reported
- HNW clients
- 61reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 676reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I••• G••••Certified Financial Planner | Bronxville, Ny | Mar 23, 2023 | 12 y | 0 |
| M••••••• I••••• N•••••Certified Financial Planner | Bronxville, Ny | Dec 16, 2024 | 41 y | 1 |
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••••••• I••••• N••••• from M••••• G••••• A••••••• I•••Dec 16, 2024 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• I••• · Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
- M••••••• K••••• J•••• · Managing Directorcontrolsince 11/1992 · owns less than 5%
Related persons
Schedule D 7.A
- I••• G••••investment companyy
- K•••• J• M••••••• E••• C••• C••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bronxville, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Delray Beach, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 672 to 676Mar 26, 2025 to Mar 30, 2026
- HNW clients · 51 to 61Mar 26, 2025 to Mar 30, 2026
- Individual clients · 355 to 356Mar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $189M to $218MMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $129M to $146MMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $66.0M to $76.5MMar 26, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $5.8M to $4.0MMar 26, 2025 to Mar 30, 2026
- RAUM · $195M to $222MMar 26, 2025 to Mar 30, 2026
- Accounts · 636 to 672Mar 30, 2024 to Mar 26, 2025
- Advisory employees · 2 to 3Mar 30, 2024 to Mar 26, 2025
- Charity clients · 0.0 to unsetMar 30, 2024 to Mar 26, 2025
- Corporate clients · 0.0 to unsetMar 30, 2024 to Mar 26, 2025
- HNW clients · 41 to 51Mar 30, 2024 to Mar 26, 2025
- Individual clients · 198 to 355Mar 30, 2024 to Mar 26, 2025
- Pension plan clients · 3.0 to unsetMar 30, 2024 to Mar 26, 2025
- Pooled vehicle clients · 0.0 to unsetMar 30, 2024 to Mar 26, 2025
- Financial planning clients · 26-50 to 26-50Mar 30, 2024 to Mar 26, 2025
- State-registered IARs · 2 to 3Mar 30, 2024 to Mar 26, 2025
- Discretionary RAUM · $258M to $189MMar 30, 2024 to Mar 26, 2025
- HNW RAUM · $174M to $129MMar 30, 2024 to Mar 26, 2025
- Individual RAUM · $84.5M to $66.0MMar 30, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $4.0M to $5.8MMar 30, 2024 to Mar 26, 2025
- Pension RAUM · 4038538.0 to unsetMar 30, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · 0.0 to unsetMar 30, 2024 to Mar 26, 2025
- RAUM · $262M to $195MMar 30, 2024 to Mar 26, 2025
- Accounts · 677 to 636Jan 5, 2023 to Mar 30, 2024
- Advisory employees · 3 to 2Jan 5, 2023 to Mar 30, 2024
- Advisory activities · 4 to 3Jan 5, 2023 to Mar 30, 2024
- Assets in custody · 160000.0 to unsetJan 5, 2023 to Mar 30, 2024
- Financial planning clients · 1-10 to 26-50Jan 5, 2023 to Mar 30, 2024
- State-registered IARs · 3 to 2Jan 5, 2023 to Mar 30, 2024
- Discretionary RAUM · $193M to $258MJan 5, 2023 to Mar 30, 2024
- HNW RAUM · $120M to $174MJan 5, 2023 to Mar 30, 2024
- Individual RAUM · $73.1M to $84.5MJan 5, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $3.0M to $4.0MJan 5, 2023 to Mar 30, 2024
- Pension RAUM · $3.0M to $4.0MJan 5, 2023 to Mar 30, 2024
- RAUM · $196M to $262MJan 5, 2023 to Mar 30, 2024
- Accounts · 3 to 677Jan 28, 2022 to Jan 5, 2023
- Charity clients · unset to 0.0Jan 28, 2022 to Jan 5, 2023
- Corporate clients · unset to 0.0Jan 28, 2022 to Jan 5, 2023
Signals
2 dated events
- Steven Michael Hymes (Managing Director) no longer on Schedule A of C•••••• P••••••••• P•••••••• I••• (listed 2023-01-05, absent 2024-03-30)Mar 30, 2024 · Control person left · inference
- T. Frederic Hodor (Managing Director) no longer on Schedule A of C•••••• P••••••••• P•••••••• I••• (listed 2023-01-05, absent 2024-03-30)Mar 30, 2024 · 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 phone
- 914-337-2272reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.c••.bzreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 914-337-2272reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- c••.bzreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- c••.bzreportedpublished 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026