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•• P••••••• M•••• M•••••••• I•••
Latest filing Apr 9, 2026
First filing on the tape Nov 25, 2014 · 30 filings
SEC status approved since Dec 17, 2014
RAUM
$451M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$451M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$451M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$451M as of Apr 9, 2026
Mar 28, 2015$40.0M then
HNW client RAUM$448M as of Apr 9, 2026
Mar 30, 2018$98.0M then
State-registered IARs (5.B.3)1 as of Apr 9, 2026
Mar 28, 20150 then
Employees (5.A)4 as of Apr 9, 2026
Mar 28, 20152 then
Private funds: no history
RAUM +12% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $451MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $875,527derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- 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$448M99%
- Individuals$2.5M0.6%
- Individual clients
- 5reported
- HNW clients
- 85reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 515reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• H••••• S••••••• | New York, Ny | May 22, 2019 | 43 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
- S•••••••• G•••• H••••• · Chief Compliance Officer, Presidentcontrolsince 01/2013 · owns 75% or more
- E••••••• E•••• G• · Shareholdersince 07/1982 · owns 10% to 25%
- S••••••••• C•••••• R••• · Shareholdersince 07/1982 · owns 5% to 10%
Related persons
Schedule D 7.A
- G••• S•••••••y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Apr 9, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 500 to 515Apr 15, 2025 to Mar 31, 2026
- HNW clients · 83 to 85Apr 15, 2025 to Mar 31, 2026
- Individual clients · 7 to 5Apr 15, 2025 to Mar 31, 2026
- HNW RAUM · $397M to $448MApr 15, 2025 to Mar 31, 2026
- Individual RAUM · $4.4M to $2.5MApr 15, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $402M to $451MApr 15, 2025 to Mar 31, 2026
- RAUM · $402M to $451MApr 15, 2025 to Mar 31, 2026
- Accounts · 416 to 500Sep 26, 2024 to Apr 15, 2025
- HNW clients · 82 to 83Sep 26, 2024 to Apr 15, 2025
- Individual clients · 6 to 7Sep 26, 2024 to Apr 15, 2025
- Financial planning clients · 101-250 to 101-250Sep 26, 2024 to Apr 15, 2025
- HNW RAUM · $381M to $397MSep 26, 2024 to Apr 15, 2025
- Individual RAUM · $4.0M to $4.4MSep 26, 2024 to Apr 15, 2025
- Non-discretionary RAUM · $385M to $402MSep 26, 2024 to Apr 15, 2025
- RAUM · $385M to $402MSep 26, 2024 to Apr 15, 2025
- Accounts · 464 to 416Sep 26, 2024 to Sep 26, 2024
- HNW clients · 84 to 82Sep 26, 2024 to Sep 26, 2024
- HNW RAUM · $390M to $381MSep 26, 2024 to Sep 26, 2024
- Individual RAUM · $4.8M to $4.0MSep 26, 2024 to Sep 26, 2024
- Non-discretionary RAUM · $395M to $385MSep 26, 2024 to Sep 26, 2024
- RAUM · $395M to $385MSep 26, 2024 to Sep 26, 2024
- Accounts · 400 to 464Mar 30, 2023 to Mar 29, 2024
- HNW clients · 75 to 84Mar 30, 2023 to Mar 29, 2024
- Individual clients · 8 to 6Mar 30, 2023 to Mar 29, 2024
- Assets in custody · 90000000.0 to unsetMar 30, 2023 to Mar 29, 2024
- Custody of client assets · true to falseMar 30, 2023 to Mar 29, 2024
- Employees · 3 to 4Mar 30, 2023 to Mar 29, 2024
- HNW RAUM · $270M to $390MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $8.0M to $4.8MMar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $278M to $395MMar 30, 2023 to Mar 29, 2024
- RAUM · $278M to $395MMar 30, 2023 to Mar 29, 2024
- HNW clients · 65 to 75Apr 26, 2022 to Mar 30, 2023
- Assets in custody · $75.0M to $90.0MApr 26, 2022 to Mar 30, 2023
- HNW RAUM · $235M to $270MApr 26, 2022 to Mar 30, 2023
- Individual RAUM · $5.0M to $8.0MApr 26, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $240M to $278MApr 26, 2022 to Mar 30, 2023
- RAUM · $240M to $278MApr 26, 2022 to Mar 30, 2023
- Accounts · 225 to 400Mar 30, 2021 to Mar 27, 2022
- HNW clients · 55 to 65Mar 30, 2021 to Mar 27, 2022
- Assets in custody · $50.0M to $75.0MMar 30, 2021 to Mar 27, 2022
Signals
2 dated events
- I•• P••••••• M•••• M•••••••• I••• reported RAUM $395.2M, up 42% from $278.0M (2023-03-30 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- I•• P••••••• M•••• M•••••••• I••• filed its initial SEC registration (Form ADV)Nov 25, 2014 · 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 email
- n•••@o•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- e•••@o•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m••••••@o•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-721-8713reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.o•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-721-8713reportedpublic record, Form ADV, Apr 9, 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
- $451Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026