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••••••••• F•••••••• C••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Jan 5, 2016 · 12 filings
SEC status approved since Jan 29, 2016
RAUM
$141M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
98%
$139M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$141M
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
12 filings and snapshots on the tape
RAUM$141M as of Mar 18, 2026
Mar 23, 2017$48.0M then
HNW client RAUM$115M as of Mar 18, 2026
Jul 28, 2020$10.0M then
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Mar 23, 20171 then
Employees (5.A)1 as of Mar 18, 2026
Mar 23, 20171 then
Private funds: no history
RAUM +13% over the last fiscal year+21% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Mar 18, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $141MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $503,461derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 1.6%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
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$115M81%
- Individuals$24.0M17%
- Charitable organizations$2.2M1.6%
- Individual clients
- 47reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 281reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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•••• M••• V•••••••••Certified Financial Planner | Airmont, Ny | Mar 9, 2022 | 30 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
- V••••••••• J••••• M••• · President And Ccocontrolsince 08/2003 · 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
- low discretionary shareStatic outlier · filing Mar 18, 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 · 276 to 281Mar 25, 2025 to Mar 18, 2026
- Charity clients · 1 to 2Mar 25, 2025 to Mar 18, 2026
- HNW clients · 38 to 40Mar 25, 2025 to Mar 18, 2026
- Individual clients · 41 to 47Mar 25, 2025 to Mar 18, 2026
- State-registered IARs · 1 to 0Mar 25, 2025 to Mar 18, 2026
- HNW RAUM · $103M to $115MMar 25, 2025 to Mar 18, 2026
- Individual RAUM · $21.6M to $24.0MMar 25, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $125M to $141MMar 25, 2025 to Mar 18, 2026
- RAUM · $125M to $141MMar 25, 2025 to Mar 18, 2026
- Accounts · 263 to 276Mar 29, 2024 to Mar 25, 2025
- Charity clients · unset to 1.0Mar 29, 2024 to Mar 25, 2025
- HNW clients · 30 to 38Mar 29, 2024 to Mar 25, 2025
- Individual clients · 62 to 41Mar 29, 2024 to Mar 25, 2025
- Financial planning clients · 51-100 to 51-100Mar 29, 2024 to Mar 25, 2025
- HNW RAUM · $68.3M to $103MMar 29, 2024 to Mar 25, 2025
- Individual RAUM · $25.2M to $21.6MMar 29, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $93.5M to $125MMar 29, 2024 to Mar 25, 2025
- RAUM · $93.5M to $125MMar 29, 2024 to Mar 25, 2025
- Accounts · 254 to 263Mar 24, 2023 to Mar 29, 2024
- Individual clients · 48 to 62Mar 24, 2023 to Mar 29, 2024
- HNW RAUM · $59.8M to $68.3MMar 24, 2023 to Mar 29, 2024
- Individual RAUM · $20.2M to $25.2MMar 24, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $80.0M to $93.5MMar 24, 2023 to Mar 29, 2024
- RAUM · $80.0M to $93.5MMar 24, 2023 to Mar 29, 2024
- Accounts · 221 to 254Mar 8, 2022 to Mar 24, 2023
- Individual clients · 44 to 48Mar 8, 2022 to Mar 24, 2023
- HNW RAUM · $72.2M to $59.8MMar 8, 2022 to Mar 24, 2023
- Individual RAUM · $20.3M to $20.2MMar 8, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $92.5M to $80.0MMar 8, 2022 to Mar 24, 2023
- RAUM · $92.5M to $80.0MMar 8, 2022 to Mar 24, 2023
- Accounts · 65 to 221Mar 31, 2021 to Mar 1, 2022
- HNW clients · unset to 30.0Mar 31, 2021 to Mar 1, 2022
- Individual clients · 65 to 44Mar 31, 2021 to Mar 1, 2022
- HNW RAUM · $10.0M to $72.2MMar 31, 2021 to Mar 1, 2022
- Individual RAUM · $70.0M to $20.3MMar 31, 2021 to Mar 1, 2022
- Non-discretionary RAUM · $80.0M to $92.5MMar 31, 2021 to Mar 1, 2022
- RAUM · $80.0M to $92.5MMar 31, 2021 to Mar 1, 2022
- Accounts · 200 to 65Jul 28, 2020 to Mar 31, 2021
- Individual RAUM · $60.0M to $70.0MJul 28, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $70.0M to $80.0MJul 28, 2020 to Mar 31, 2021
Signals
1 dated events
- I••••••••• F•••••••• C••••••••• L•• filed its initial SEC registration (Form ADV)Jan 5, 2016 · 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
- i•••@i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 845-314-9690reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 845-426-6300reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- I•••••••••FINANCIALC•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 845-426-6300reportedpublic record, Form ADV, Mar 18, 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
- $141Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026