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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Former SEC-registered adviser
W••••••••• A•••••••• I•••
Latest filing Mar 24, 2025
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since Jul 16, 2004
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$1.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.5B as of Mar 24, 2025
Mar 30, 2012$213M then
HNW client RAUM$1.4B as of Mar 24, 2025
Mar 27, 2018$395M then
State-registered IARs (5.B.3)11 as of Mar 24, 2025
Mar 18, 20131 then
Employees (5.A)22 as of Mar 24, 2025
Mar 18, 20137 then
Private funds: no history
RAUM +14% over the last fiscal year+9.9% a year over threeIARs 12 to 11
Practice profile
derived from the filing of Mar 24, 2025; every figure names its basis
- RAUM per advisor
- $140MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $724,431derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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$1.4B91%
- Corporations and businesses$73.6M4.8%
- Individuals$51.1M3.3%
- Pension and profit-sharing plans$17.9M1.2%
- Charitable organizations$1.7M0.1%
- Individual clients
- 89reported
- HNW clients
- 295reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 2,122reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
11 left, 0 joined in 12 months
net -11 in 12 months0 left in 90 days0 joined in 90 days11 left over 36 months
Left, latest
- J•••• N••••••• P•••••••• to G••••••••• A•••••••• L••Oct 3, 2025 · RIA to RIA
- C•••• M•••••• D•••••• to G••••••••• A•••••••• L••Oct 3, 2025 · RIA to RIA
- B•••• R• C•••••••• to G••••••••• A•••••••• L••Oct 3, 2025 · RIA to RIA
- M•••••• E••• G•••••• to G••••••••• A•••••••• L••Oct 3, 2025 · RIA to RIA
- B••••• M••• M••••••••• to G••••••••• A•••••••• L••Oct 3, 2025 · RIA to RIA
- M•••••• A••• G••••• to G••••••••• A•••••••• L••Oct 3, 2025 · RIA to RIA
- M•••••• S••••• K••••• to G••••••••• A•••••••• L••Oct 3, 2025 · RIA to RIA
- K•••••••• J••••• G••••• to G••••••••• A•••••••• L••Oct 3, 2025 · RIA to RIA
- J••••• P•••• O••• to G••••••••• A•••••••• L••Oct 3, 2025 · RIA to RIA
- E••• D• S••• to G••••••••• A•••••••• L••Oct 3, 2025 · RIA to RIA
- T•••••• A•••••• D••• to G••••••••• A•••••••• L••Oct 3, 2025 · RIA to RIA
- J••••••• T•• to W••••• E••••••••• A••••••• S•••••••• L••Jun 20, 2023 · RIA to RIA
Joined, latest
- M•••••• S••••• K••••• from R•••••••••Aug 9, 2021 · Other
- M•••••• A••• G••••• from L•••• A•••••••• I•••Jul 29, 2021 · Other
- E••• D• S••• from R••••••• W••••• M••••••••• L••Jul 26, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 11 left for G••••••••• A•••••••• L••Oct 3, 2025 · New York, Ny · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• M••••••• E••• · Presidentcontrolsince 06/2004 · owns 50% to 75%
- K•••••• M••••••• S••••• · Senior Advisor And Principalsince 01/2016 · owns 5% to 10%
- T••••• A••••• M•••••• · Chief Operating Officer And Chief Compliance Officersince 03/2018 · owns less than 5%
Related persons
Schedule D 7.A
- M•••••• G••••••insurancey
- T•••••• D•••insurancey
- W•••••• S•••••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 0 | 0 | 11 |
Offices
Schedule D 1.F, the 25 largest
- Alexandria, VA
- Melville, NY
What changed
consecutive filings, newest first
- Accounts · 1,931 to 2,122Dec 10, 2024 to Mar 24, 2025
- Advisory employees · 12 to 11Dec 10, 2024 to Mar 24, 2025
- Corporate clients · 22 to 21Dec 10, 2024 to Mar 24, 2025
- HNW clients · 307 to 295Dec 10, 2024 to Mar 24, 2025
- Individual clients · 100 to 89Dec 10, 2024 to Mar 24, 2025
- Pension plan clients · 12 to 10Dec 10, 2024 to Mar 24, 2025
- Financial planning clients · 251-500 to 251-500Dec 10, 2024 to Mar 24, 2025
- State-registered IARs · 12 to 11Dec 10, 2024 to Mar 24, 2025
- Discretionary RAUM · $1.3B to $1.5BDec 10, 2024 to Mar 24, 2025
- HNW RAUM · $1.2B to $1.4BDec 10, 2024 to Mar 24, 2025
- Individual RAUM · $53.5M to $51.1MDec 10, 2024 to Mar 24, 2025
- Pension RAUM · $23.5M to $17.9MDec 10, 2024 to Mar 24, 2025
- RAUM · $1.3B to $1.5BDec 10, 2024 to Mar 24, 2025
- Accounts · 1,844 to 1,931Dec 20, 2023 to Mar 27, 2024
- Advisory employees · 11 to 12Dec 20, 2023 to Mar 27, 2024
- Corporate clients · 23 to 22Dec 20, 2023 to Mar 27, 2024
- HNW clients · 256 to 307Dec 20, 2023 to Mar 27, 2024
- Individual clients · 139 to 100Dec 20, 2023 to Mar 27, 2024
- Pension plan clients · 15 to 12Dec 20, 2023 to Mar 27, 2024
- Employees · 21 to 22Dec 20, 2023 to Mar 27, 2024
- State-registered IARs · 11 to 12Dec 20, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.1B to $1.3BDec 20, 2023 to Mar 27, 2024
- HNW RAUM · $902M to $1.2BDec 20, 2023 to Mar 27, 2024
- Individual RAUM · $93.1M to $53.5MDec 20, 2023 to Mar 27, 2024
- Pension RAUM · $15.6M to $23.5MDec 20, 2023 to Mar 27, 2024
- RAUM · $1.1B to $1.3BDec 20, 2023 to Mar 27, 2024
- Other offices · 3 to 2Dec 18, 2023 to Dec 20, 2023
- Other offices · 2 to 3Jun 12, 2023 to Dec 18, 2023
- Accounts · 1,734 to 1,844May 20, 2022 to Mar 30, 2023
- Advisory employees · 13 to 11May 20, 2022 to Mar 30, 2023
- Corporate clients · 18 to 23May 20, 2022 to Mar 30, 2023
- HNW clients · 258 to 256May 20, 2022 to Mar 30, 2023
- Individual clients · 116 to 139May 20, 2022 to Mar 30, 2023
- Pension plan clients · 14 to 15May 20, 2022 to Mar 30, 2023
- Employees · 24 to 21May 20, 2022 to Mar 30, 2023
- State-registered IARs · 1 to 11May 20, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.2B to $1.1BMay 20, 2022 to Mar 30, 2023
- HNW RAUM · $995M to $902MMay 20, 2022 to Mar 30, 2023
- Individual RAUM · $63.3M to $93.1MMay 20, 2022 to Mar 30, 2023
- Pension RAUM · $28.8M to $15.6MMay 20, 2022 to Mar 30, 2023
Signals
19 dated events
- W••••••••• A•••••••• I••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $1.5B)Dec 20, 2025 · Left the SEC roster · derived
- B•••• R• C•••••••• left W••••••••• A•••••••• I••• for G••••••••• A•••••••• L•• (registered 2025-10-02)Oct 3, 2025 · Advisor changed firm · fact
- E••• D• S••• left W••••••••• A•••••••• I••• for G••••••••• A•••••••• L•• (registered 2025-10-02)Oct 3, 2025 · Advisor changed firm · fact
- M•••••• A••• G••••• left W••••••••• A•••••••• I••• for G••••••••• A•••••••• L•• (registered 2025-10-01)Oct 3, 2025 · Advisor changed firm · fact
- B••••• M••• M••••••••• left W••••••••• A•••••••• I••• for G••••••••• A•••••••• L•• (registered 2025-10-02)Oct 3, 2025 · Advisor changed firm · fact
- T•••••• A•••••• D••• left W••••••••• A•••••••• I••• for G••••••••• A•••••••• L•• (registered 2025-10-02)Oct 3, 2025 · Advisor changed firm · fact
- M•••••• S••••• K••••• left W••••••••• A•••••••• I••• for G••••••••• A•••••••• L•• (registered 2025-10-02)Oct 3, 2025 · Advisor changed firm · fact
- K•••••••• J••••• G••••• left W••••••••• A•••••••• I••• for G••••••••• A•••••••• L•• (registered 2025-10-01)Oct 3, 2025 · Advisor changed firm · fact
- J•••• N••••••• P•••••••• left W••••••••• A•••••••• I••• for G••••••••• A•••••••• L•• (registered 2025-10-02)Oct 3, 2025 · Advisor changed firm · fact
- C•••• M•••••• D•••••• left W••••••••• A•••••••• I••• for G••••••••• A•••••••• L•• (registered 2025-10-02)Oct 3, 2025 · Advisor changed firm · fact
- J••••• P•••• O••• left W••••••••• A•••••••• I••• for G••••••••• A•••••••• L•• (registered 2025-10-02)Oct 3, 2025 · Advisor changed firm · fact
- M•••••• E••• G•••••• left W••••••••• A•••••••• I••• for G••••••••• A•••••••• L•• (registered 2025-10-01)Oct 3, 2025 · Advisor changed firm · fact
- W••••••••• A•••••••• I•••'s advisors moved to G••••••••• A•••••••• L•• (New York, NY): 11 of 11 registered, on the same dayOct 3, 2025 · Firm absorbed (people side) · derived
- W••••••••• A•••••••• I••• reported RAUM $1.3B, up 25% from $1.1B (2023-12-20 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- J••••••• T•• left W••••••••• A•••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-11-21)Jun 20, 2023 · Advisor changed firm · fact
- W••••••••• A•••••••• I••• reported 11 state-registered advisory representatives, up from 1 (2022-05-20 to 2023-03-30)Mar 30, 2023 · Advisor headcount change · derived
- W••••••••• A•••••••• I••• reported RAUM $968.8M, up 30% from $744.7M (2020-06-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- W••••••••• A•••••••• I••• reported RAUM $744.7M, up 31% from $568.5M (2019-03-27 to 2020-03-28)Mar 28, 2020 · RAUM change · derived
- W••••••••• A•••••••• I••• reported RAUM $481.9M, up 29% from $372.7M (2017-03-29 to 2018-03-27)Mar 27, 2018 · RAUM change · 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