DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A•••••• C•••••• M••••••••• L••
Latest filing Mar 6, 2026
First filing on the tape May 27, 2025 · 2 filings
SEC status approved since May 30, 2025
RAUM
$42.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$41.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$42.4M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$42.4M as of Mar 6, 2026
May 27, 2025$38.2M then
HNW client RAUM$38.2M as of Mar 6, 2026
May 27, 2025$31.1M then
State-registered IARs (5.B.3)1 as of Mar 6, 2026
May 27, 20251 then
Employees (5.A)1 as of Mar 6, 2026
May 27, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 6, 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
- $42.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $614,185derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $5.0M, 1 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$38.2M90%
- Individuals$3.5M8.3%
- Corporations and businesses$570,8801.3%
- Charitable organizations$116,7050.3%
- Individual clients
- 16reported
- HNW clients
- 18reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 69reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.0M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 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 |
|---|---|---|---|---|
| J•• A••••• R•••••••• | New York, Ny | Aug 16, 2021 | 23 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
- R••••••••• J••• A••••• · Principal, Chief Compliance Officercontrolsince 03/2003 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 6, 2026custody of client assets (Item 9.A): no on the filing of 2025-05-27, yes on the filing of 2026-03-06peers: independent wealth managers, under $100M (707)
What changed
consecutive filings, newest first
- Accounts · 65 to 69May 27, 2025 to Mar 6, 2026
- Charity clients · 0 to 1May 27, 2025 to Mar 6, 2026
- Corporate clients · 0 to 1May 27, 2025 to Mar 6, 2026
- HNW clients · 12 to 18May 27, 2025 to Mar 6, 2026
- Individual clients · 18 to 16May 27, 2025 to Mar 6, 2026
- Assets in custody · unset to 5000000.0May 27, 2025 to Mar 6, 2026
- Custody of client assets · false to trueMay 27, 2025 to Mar 6, 2026
- Discretionary RAUM · $38.2M to $42.4MMay 27, 2025 to Mar 6, 2026
- HNW RAUM · $31.1M to $38.2MMay 27, 2025 to Mar 6, 2026
- Individual RAUM · $7.2M to $3.5MMay 27, 2025 to Mar 6, 2026
- RAUM · $38.2M to $42.4MMay 27, 2025 to Mar 6, 2026
Signals
No event on the tape.
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
- Website
- A••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-369-1700reportedpublic record, Form ADV, Mar 6, 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
- $42.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026