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

M•••••• A••••••• S•••••••• I•••

Independent wealth managerWhite Plains, New YorkCRD 132386SEC 801-106492website IAPD

Latest filing Apr 3, 2026

First filing on the tape Jul 29, 2015 · 46 filings

SEC status approved since Aug 10, 2015

RAUM

$510M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$505M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$46.3M

derived; firm RAUM over IAPD count

Employees

11 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

46 filings and snapshots on the tape

RAUM$510M as of Apr 3, 2026

Mar 4, 2016$96.0M then

HNW client RAUM$266M as of Apr 3, 2026

Mar 9, 2018$45.3M then

State-registered IARs (5.B.3)10 as of Apr 3, 2026

Mar 4, 20168 then

Employees (5.A)16 as of Apr 3, 2026

Mar 4, 201611 then

Private funds: no history

RAUM +19% over the last fiscal year+13% a year over threeIARs 11 to 10offices 2 to 3

Practice profile

derived from the filing of Apr 3, 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

RAUM per advisor: $46.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 98derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.3MderivedHNW RAUM over HNW clients
Average account: $228,689derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.8derived4 offices incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: -9.1%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, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program: participatesreportedItem 5.I
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$266M52%
Individuals$239M47%
Charitable organizations$2.6M0.5%
Pension and profit-sharing plans$2.3M0.5%

Individual clients: 877reported
HNW clients: 203reported
Pension plan clients: 18reported
Charitable clients: 4reported
Accounts: 2,229reported
Financial planning clients: 101-250reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=9.0derived

Advisors registered through the firm

11 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
R••••••• B•••• O••••••Certified Financial Planner	White Plains, Ny	Aug 10, 2015	33 y	1
G••• R••••• S•••••••	White Plains, Ny	Jul 7, 2021	34 y	2
B••••••• D•••• S•••••••	White Plains, Ny	Jul 9, 2021	15 y	1
A••••• M•••••• S•••••••	White Plains, Ny	Jul 9, 2021	12 y	1
M•••••• J•••• L••••	White Plains, Ny	Jul 11, 2021	21 y	1
D••• E••• M•••••	White Plains, Ny	Aug 11, 2021	25 y	0
K•••••• C••••••••• F•••••	White Plains, Ny	Nov 17, 2023	10 y	0
G•••••••• L•••• B•••••••	White Plains, Ny	Dec 20, 2024	16 y	0
T••• C• F•••••	Lake Worth, Fl	Jan 27, 2025	17 y	0
J••••• C••• L••••••••	White Plains, Ny	Jun 13, 2025	13 y	0
J••• F•••••••• M•••••	White Plains, Ny	Mar 26, 2026	19 y	0

Advisor movement

1 left, 0 joined in 12 months

net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 9.1% of current headcount2 left over 36 months

Left, latest

A••••• J••••• F••••••• to F•••••••• F••••••
Dec 19, 2025 · RIA to RIA
J•• E• S•••••••• to O•••• W•••••• I•••
Oct 12, 2023 · RIA to affiliated broker-dealer or bank
A••• B••••••• K••••••• to O•••• W•••••• I•••
Jun 2, 2023 · RIA to affiliated broker-dealer or bank
J•••••• M•••••• S••••• to A••••••• P••••••••• A•••••••• I••
Mar 13, 2017 · Other

Joined, latest

M•••••• J•••• L•••• from O•••• W•••••• I•••
Jul 11, 2021 · Affiliated broker-dealer or bank to independent RIA
A••••• M•••••• S••••••• from O•••• W•••••• I•••
Jul 9, 2021 · Affiliated broker-dealer or bank to independent RIA
B••••••• D•••• S••••••• from O•••• W•••••• I•••
Jul 9, 2021 · Affiliated broker-dealer or bank to independent RIA
G••• R••••• S••••••• from O•••• W•••••• I•••
Jul 7, 2021 · Affiliated broker-dealer or bank to independent RIA
A••••• J••••• F••••••• from O•••• W•••••• I•••
May 11, 2021 · Affiliated broker-dealer or bank to independent RIA
J•• E• S•••••••• from O•••• W•••••• I•••
Jan 31, 2018 · Other
J•••••• M•••••• S••••• from O•••• W•••••• I•••
Jul 13, 2015 · Other
A••• B••••••• K••••••• from V••• F•••••••• A•••••••• I•••
Jun 5, 2014 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

6 joined from O•••• W•••••• I•••
Aug 5, 2021 · White Plains, Ny

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S•••••••• B•••••••• D•••• · Chief Operating Officercontrol
since 09/2018 · owns less than 5%
S•••••••• G•••• R••••• · President, Chief Compliance Officercontrol
since 06/2004 · owns less than 5%
F•••••••• A•••••• J••••• · Membercontrol
since 01/2021 · owns 25% to 50% of M•••••• F••••• H••••••• L••
S•••••••• A•••••• M•••••• · Membercontrol
since 01/2021 · owns 25% to 50% of M•••••• F••••• H••••••• L••
S•••••••• B•••••••• D•••• · Membercontrol
since 01/2021 · owns 25% to 50% of M•••••• F••••• H••••••• L••
S•••••••• G•••• R••••• · Membercontrol
since 01/2021 · owns 50% to 75% of M•••••• F••••• H••••••• L••
F•••••••• A•••••• J••••• · Chief Investment Officer
since 05/2005 · owns less than 5%
M•••••• D•••• E••• · Chief Financial Officer
since 01/2005 · owns less than 5%

Entity owners

M•••••• F••••• H••••••• L•• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

M•••••• P••••••• G••••• I••
real estaten
M•••••• L••••
insurancey

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
White Plains, Ny · principal	11	1	1
Hauppauge, Ny	0	0	0

Offices

Schedule D 1.F, the 25 largest

Fayetteville, NY1 employees
Lake Worth, FL

ADV anomalies

1 against comparable advisers; where to look, not conclusions

HNW share shiftChange between filings · filing Apr 3, 2026
HNW share of RAUM moved from 34.0% to 52.0% between the annual amendments of 2025-03-05 and 2026-04-03
peers: independent wealth managers, $500M to $1B (1,482)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 2,210 to 2,229
Dec 19, 2025 to Mar 23, 2026
Advisory employees · 14 to 11
Dec 19, 2025 to Mar 23, 2026
Advisory activities · 3 to 4
Dec 19, 2025 to Mar 23, 2026
BD registered reps · 8 to 9
Dec 19, 2025 to Mar 23, 2026
Charity clients · 1 to 4
Dec 19, 2025 to Mar 23, 2026
Corporate clients · 0.0 to unset
Dec 19, 2025 to Mar 23, 2026
HNW clients · 92 to 203
Dec 19, 2025 to Mar 23, 2026
Individual clients · 917 to 877
Dec 19, 2025 to Mar 23, 2026
Pension plan clients · 2 to 18
Dec 19, 2025 to Mar 23, 2026
Pooled vehicle clients · 0.0 to unset
Dec 19, 2025 to Mar 23, 2026
Employees · 14 to 16
Dec 19, 2025 to Mar 23, 2026
Insurance-licensed employees · 11 to 0
Dec 19, 2025 to Mar 23, 2026
State-registered IARs · 14 to 10
Dec 19, 2025 to Mar 23, 2026
Other offices · 2 to 3
Dec 19, 2025 to Mar 23, 2026
Discretionary RAUM · $428M to $510M
Dec 19, 2025 to Mar 23, 2026
HNW RAUM · $148M to $266M
Dec 19, 2025 to Mar 23, 2026
Individual RAUM · $279M to $239M
Dec 19, 2025 to Mar 23, 2026
Non-discretionary RAUM · $530,825 to $0
Dec 19, 2025 to Mar 23, 2026
Pension RAUM · $530,825 to $2.3M
Dec 19, 2025 to Mar 23, 2026
Pooled vehicle RAUM · 0.0 to unset
Dec 19, 2025 to Mar 23, 2026
RAUM · $429M to $510M
Dec 19, 2025 to Mar 23, 2026
Advisory employees · 15 to 14
Oct 3, 2025 to Dec 19, 2025
BD registered reps · 9 to 8
Oct 3, 2025 to Dec 19, 2025
Employees · 15 to 14
Oct 3, 2025 to Dec 19, 2025
State-registered IARs · 15 to 14
Oct 3, 2025 to Dec 19, 2025
Other offices · 3 to 2
Oct 3, 2025 to Dec 19, 2025
Other offices · 2 to 3
Aug 28, 2025 to Oct 3, 2025
Advisory employees · 16 to 15
Jun 26, 2025 to Jul 29, 2025
BD registered reps · 10 to 9
Jun 26, 2025 to Jul 29, 2025
Employees · 16 to 15
Jun 26, 2025 to Jul 29, 2025
Financial planning clients · 101-250 to 101-250
Jun 26, 2025 to Jul 29, 2025
State-registered IARs · 16 to 15
Jun 26, 2025 to Jul 29, 2025
Advisory employees · 11 to 16
Mar 5, 2025 to Jun 26, 2025
Employees · 18 to 16
Mar 5, 2025 to Jun 26, 2025
State-registered IARs · 11 to 16
Mar 5, 2025 to Jun 26, 2025
Accounts · 2,049 to 2,210
Dec 24, 2024 to Mar 5, 2025
HNW clients · 77 to 92
Dec 24, 2024 to Mar 5, 2025
Individual clients · 885 to 917
Dec 24, 2024 to Mar 5, 2025
Discretionary RAUM · $369M to $428M
Dec 24, 2024 to Mar 5, 2025
HNW RAUM · $121M to $148M
Dec 24, 2024 to Mar 5, 2025

Signals

6 dated events

A••••• J••••• F••••••• left M•••••• A••••••• S•••••••• I••• for F•••••••• F•••••• (registered 2026-03-13)
Dec 19, 2025 · Advisor changed firm · fact
J•• E• S•••••••• left M•••••• A••••••• S•••••••• I••• for O•••• W•••••• I••• (registered 2023-10-05)
Oct 12, 2023 · Advisor changed firm · fact
A••• B••••••• K••••••• left M•••••• A••••••• S•••••••• I••• for O•••• W•••••• I••• (registered 2018-03-14)
Jun 2, 2023 · Advisor changed firm · fact
M•••••• A••••••• S•••••••• I••• reported RAUM $378.0M, up 38% from $274.9M (2021-09-08 to 2022-03-10)
Mar 10, 2022 · RAUM change · derived
Michael Andrew Schwartz (Member) appeared on Schedule A of M•••••• A••••••• S•••••••• I•••
Mar 11, 2021 · Control person joined · fact
M•••••• A••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)
Jul 29, 2015 · 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•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 800-222-2091reportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 800-249-9403reportedpublished by the firm, firm site, Sep 17, 2026
Firm profile: linkedin.com/company/madisonplanningreportedpublic record, Form ADV, Sep 18, 2026
Website: M••••••P•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 914-328-8558reportedpublic record, Form ADV, Apr 3, 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: $46.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026