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•••••• W••••• M••••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Nov 22, 2011 · 25 filings
SEC status approved since Mar 12, 2008
RAUM
$178M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
87%
$154M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$89.1M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$178M as of Mar 5, 2026
Feb 10, 2012$28.1M then
HNW client RAUM$124M as of Mar 5, 2026
Mar 17, 2018$43.1M then
State-registered IARs (5.B.3)2 as of Mar 5, 2026
Mar 7, 20131 then
Employees (5.A)2 as of Mar 5, 2026
Mar 7, 20132 then
Private funds: no history
RAUM +22% over the last fiscal year+30% a year over threeIARs 1 to 2offices 0 to 1
Practice profile
derived from the filing of Sep 2, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $89.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $503,222derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 13%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
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $114M, 201 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$124M69%
- Individuals$30.5M17%
- Pension and profit-sharing plans$24.0M13%
- Individual clients
- 101reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 354reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $114M for 201 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• J••• S•••••••Chartered Financial Consultant | Massapequa, Ny | Mar 28, 2024 | 12 y | 0 |
| V•••••• D••••••• | Brightwaters, Ny | Aug 29, 2024 | 18 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•••••••• R•••••• J••• · Managing Membercontrolsince 11/2003 · owns 75% or more
- S•••••••• C••••••••• · Chief Compliance Officersince 01/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 2 to 3Mar 5, 2026 to Sep 2, 2026
- Financial planning clients · 1-10 to 1-10Mar 5, 2026 to Sep 2, 2026
- HQ city · to unsetMar 5, 2026 to Sep 2, 2026
- HQ state · to unsetMar 5, 2026 to Sep 2, 2026
- Discretionary RAUM · $178M to $159MMar 5, 2026 to Sep 2, 2026
- Non-discretionary RAUM · $0 to $19.6MMar 5, 2026 to Sep 2, 2026
- Related adviser · false to unsetMar 5, 2026 to Sep 2, 2026
- Related bank · false to unsetMar 5, 2026 to Sep 2, 2026
- Related broker-dealer · false to unsetMar 5, 2026 to Sep 2, 2026
- Related insurance company · false to unsetMar 5, 2026 to Sep 2, 2026
- Succession · false to unsetMar 5, 2026 to Sep 2, 2026
- Accounts · 332 to 354Feb 24, 2025 to Mar 5, 2026
- Advisory employees · 1 to 2Feb 24, 2025 to Mar 5, 2026
- HNW clients · 25 to 32Feb 24, 2025 to Mar 5, 2026
- Individual clients · 118 to 101Feb 24, 2025 to Mar 5, 2026
- Assets in custody · $30.4M to $114MFeb 24, 2025 to Mar 5, 2026
- Employees · 3 to 2Feb 24, 2025 to Mar 5, 2026
- Financial planning clients · 0 to 1-10Feb 24, 2025 to Mar 5, 2026
- State-registered IARs · 1 to 2Feb 24, 2025 to Mar 5, 2026
- Other offices · 0 to 1Feb 24, 2025 to Mar 5, 2026
- Discretionary RAUM · $146M to $178MFeb 24, 2025 to Mar 5, 2026
- HNW RAUM · $101M to $124MFeb 24, 2025 to Mar 5, 2026
- Individual RAUM · $45.8M to $30.5MFeb 24, 2025 to Mar 5, 2026
- Pension RAUM · unset to 24029057.0Feb 24, 2025 to Mar 5, 2026
- RAUM · $146M to $178MFeb 24, 2025 to Mar 5, 2026
- Accounts · 345 to 332Dec 10, 2024 to Feb 24, 2025
- HNW clients · 35 to 25Dec 10, 2024 to Feb 24, 2025
- Individual clients · 108 to 118Dec 10, 2024 to Feb 24, 2025
- Assets in custody · $26.9M to $30.4MDec 10, 2024 to Feb 24, 2025
- Financial planning clients · 0 to 0Dec 10, 2024 to Feb 24, 2025
- HQ city · unset to Dec 10, 2024 to Feb 24, 2025
- HQ state · unset to Dec 10, 2024 to Feb 24, 2025
- Discretionary RAUM · $120M to $146MDec 10, 2024 to Feb 24, 2025
- HNW RAUM · $79.7M to $101MDec 10, 2024 to Feb 24, 2025
- Individual RAUM · $22.8M to $45.8MDec 10, 2024 to Feb 24, 2025
- Pension RAUM · 17102244.0 to unsetDec 10, 2024 to Feb 24, 2025
- RAUM · $120M to $146MDec 10, 2024 to Feb 24, 2025
- Accounts · 287 to 345Mar 27, 2023 to Mar 29, 2024
- HNW clients · 22 to 35Mar 27, 2023 to Mar 29, 2024
- Individual clients · 110 to 108Mar 27, 2023 to Mar 29, 2024
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
- Business email
- hello@myinvestmentinsight.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- bob@myinvestmentinsight.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- chris@myinvestmentinsight.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-247-9466reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-249-0060reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/investment-insight-wealth-management-llreportedpublic record, Form ADV, Sep 21, 2026
- Website
- MYINVESTMENTI••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 516-249-0060reportedpublic record, Form ADV, Sep 2, 2026
- Contact form
- myinvestmentinsight.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- myinvestmentinsight.com/who-we-arereportedpublished 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
- $89.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026