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
F•••• A•••• M••••••••• L••
Latest filing Mar 1, 2026
First filing on the tape Feb 14, 2012 · 20 filings
SEC status approved since Jul 19, 2005
RAUM
$315M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$284M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$315M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$315M as of Mar 1, 2026
Feb 14, 2012$81.9M then
HNW client RAUM$276M as of Mar 1, 2026
Jan 4, 2018$171M then
State-registered IARs (5.B.3)1 as of Mar 1, 2026
Feb 14, 20120 then
Employees (5.A)2 as of Mar 1, 2026
Jan 28, 20131 then
Private funds: no history
RAUM +32% over the last fiscal year+19% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 1, 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
- $315MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.4MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $211M, 51 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$276M88%
- Corporations and businesses$31.1M9.9%
- Individuals$7.7M2.4%
- Individual clients
- 24reported
- HNW clients
- 33reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 153reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $211M for 51 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.0 related_bd=true 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 |
|---|---|---|---|---|
| T•••••• I•••••• L•• | Bedford, Ny | Apr 21, 2022 | 33 y | 2 |
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
- T•••••• I•••••• L•• from C••••• S••••• S••••••••• •••• L••Apr 21, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• R•••• G••••• · Executive Vice President, Chief Legal Officer & Secretarycontrolsince 12/2024 · owns less than 5%
- K••••••• C•••••••• L•••• · Vice President Of Licensingcontrolsince 11/2024 · owns less than 5%
- L••• T••••••• I•••••• · Chief Compliance Officercontrolsince 04/2005 · owns less than 5%
- M•••••• A•••• · Executive Vice President & Chief Financial Officercontrolsince 12/2024 · owns less than 5%
- S•••••• K••• · Vice President Of Finance And Capital Markets & Treasurercontrolsince 11/2024 · owns less than 5%
- T•••••• J••• · Presidentcontrolsince 12/2024 · owns less than 5%
Entity owners
- A•••••••• L•• · Ownerdirect · owns 75% or more
- A••••••• H•••••••• I••• · 100% Of Single Class Of Membership Interestindirect · owns 75% or more of A••••••• I••••••••• I•••
- A••••••• I••••••••• I••• · 100% Of Single Class Of Membership Interestindirect · owns 75% or more of A•••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 1, 2026HNW RAUM per HNW client of $8,377,780 against a peer median of $2,404,040 (4940 comparable advisers, 99.0th percentile, 4.0 robust deviations)peers: independent wealth managers, $100M to $500M (4,940) · 99% percentile
- affiliate changedChange between filings · filing Mar 1, 2026broker-dealer affiliate (Item 7.A.1): no on the filing of 2025-02-25, yes on the filing of 2026-03-01peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Mar 1, 2026financial planning (Item 5.G.1): no on the filing of 2025-02-25, yes on the filing of 2026-03-01peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 124 to 153Feb 25, 2025 to Mar 1, 2026
- Advisory employees · 2 to 1Feb 25, 2025 to Mar 1, 2026
- Advisory activities · 1 to 2Feb 25, 2025 to Mar 1, 2026
- Corporate clients · 0 to 3Feb 25, 2025 to Mar 1, 2026
- HNW clients · 29 to 33Feb 25, 2025 to Mar 1, 2026
- Individual clients · 22 to 24Feb 25, 2025 to Mar 1, 2026
- Assets in custody · $211M to $211MFeb 25, 2025 to Mar 1, 2026
- Financial planning clients · 0 to 101-250Feb 25, 2025 to Mar 1, 2026
- State-registered IARs · 2 to 1Feb 25, 2025 to Mar 1, 2026
- Discretionary RAUM · $239M to $315MFeb 25, 2025 to Mar 1, 2026
- HNW RAUM · $233M to $276MFeb 25, 2025 to Mar 1, 2026
- Individual RAUM · $6.7M to $7.7MFeb 25, 2025 to Mar 1, 2026
- RAUM · $239M to $315MFeb 25, 2025 to Mar 1, 2026
- Related adviser · false to trueFeb 25, 2025 to Mar 1, 2026
- Related broker-dealer · false to trueFeb 25, 2025 to Mar 1, 2026
- Accounts · 132 to 124Nov 26, 2024 to Feb 25, 2025
- Advisory employees · 1 to 2Nov 26, 2024 to Feb 25, 2025
- HNW clients · 30 to 29Nov 26, 2024 to Feb 25, 2025
- Individual clients · 23 to 22Nov 26, 2024 to Feb 25, 2025
- Assets in custody · $211M to $211MNov 26, 2024 to Feb 25, 2025
- Employees · 1 to 2Nov 26, 2024 to Feb 25, 2025
- Financial planning clients · 0 to 0Nov 26, 2024 to Feb 25, 2025
- HQ city · unset to Nov 26, 2024 to Feb 25, 2025
- HQ state · unset to Nov 26, 2024 to Feb 25, 2025
- State-registered IARs · 1 to 2Nov 26, 2024 to Feb 25, 2025
- Discretionary RAUM · $243M to $239MNov 26, 2024 to Feb 25, 2025
- HNW RAUM · $236M to $233MNov 26, 2024 to Feb 25, 2025
- Individual RAUM · $6.5M to $6.7MNov 26, 2024 to Feb 25, 2025
- RAUM · $243M to $239MNov 26, 2024 to Feb 25, 2025
- Accounts · 124 to 132Feb 13, 2024 to Nov 26, 2024
- Advisory employees · 2 to 1Feb 13, 2024 to Nov 26, 2024
- Corporate clients · 1 to 0Feb 13, 2024 to Nov 26, 2024
- HNW clients · 29 to 30Feb 13, 2024 to Nov 26, 2024
- Individual clients · 22 to 23Feb 13, 2024 to Nov 26, 2024
- Assets in custody · $179M to $211MFeb 13, 2024 to Nov 26, 2024
- Employees · 2 to 1Feb 13, 2024 to Nov 26, 2024
- State-registered IARs · 2 to 1Feb 13, 2024 to Nov 26, 2024
- Discretionary RAUM · $223M to $243MFeb 13, 2024 to Nov 26, 2024
- HNW RAUM · $206M to $236MFeb 13, 2024 to Nov 26, 2024
- Individual RAUM · $5.2M to $6.5MFeb 13, 2024 to Nov 26, 2024
Signals
7 dated events
- J••• T••••• (President) appeared on Schedule A of F•••• A•••• M••••••••• L••Nov 26, 2024 · Control person joined · fact
- A•••• M••••• (Executive Vice President & Chief Financial Officer) appeared on Schedule A of F•••• A•••• M••••••••• L••Nov 26, 2024 · Control person joined · fact
- Gerard Ryan Foley (Executive Vice President, Chief Legal Officer & Secretary) appeared on Schedule A of F•••• A•••• M••••••••• L••Nov 26, 2024 · Control person joined · fact
- K••• S••••• (Vice President Of Finance And Capital Markets & Treasurer) appeared on Schedule A of F•••• A•••• M••••••••• L••Nov 26, 2024 · Control person joined · fact
- Lynne Courtney Kolenda (Vice President Of Licensing) appeared on Schedule A of F•••• A•••• M••••••••• L••Nov 26, 2024 · Control person joined · fact
- M Loriann Low (Partner/Chief Compliance Officer) no longer on Schedule A of F•••• A•••• M••••••••• L•• (listed 2022-05-09, absent 2023-01-09)Jan 9, 2023 · Control person left · inference
- M Loriann Low (Partner/Chief Compliance Officer) appeared on Schedule A of F•••• A•••• M••••••••• L••May 9, 2022 · Control person joined · 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
- Website
- F••••ASSETS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 917-868-9104reportedpublic record, Form ADV, Mar 1, 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
- $315Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026