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
W••• W••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 12, 2012 · 24 filings
SEC status approved since May 4, 2010
RAUM
$130M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
93%
$121M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$65.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$130M as of Mar 27, 2026
Mar 12, 2012$47.5M then
HNW client RAUM$103M as of Mar 27, 2026
Mar 29, 2018$70.8M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 12, 20120 then
Employees (5.A)2 as of Mar 27, 2026
Mar 28, 20132 then
Private funds: no history
RAUM +9.3% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 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
- $65.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $586,046derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 7.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -23%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $588,273, 1 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$103M79%
- Individuals$17.9M14%
- Charitable organizations$9.4M7.2%
- Individual clients
- 42reported
- HNW clients
- 37reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 222reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $588,273 for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••••• E•••••••• M•••• | New York, Ny | Mar 1, 2021 | 25 y | 0 |
| J•••• J•••• M••••••• | Ft. Lauderdale, Fl | Apr 1, 2022 | 28 y | 5 |
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
- J•••• J•••• M••••••• from H••••••••• G•••• E••••• • R••••••••• S•••••••••Apr 1, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• S••••••••• E•••••••• · Managing Member/Chief Compliance Officercontrolsince 12/2004 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 27, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $119,067,121 to $130,102,202, advisors 2 to 2, private clients 102 to 79, offices 1 to 1 (2025-03-28 to 2026-03-27)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 106 to 222May 8, 2025 to Mar 27, 2026
- HNW clients · 34 to 37May 8, 2025 to Mar 27, 2026
- Individual clients · 68 to 42May 8, 2025 to Mar 27, 2026
- Assets in custody · $599,679 to $588,273May 8, 2025 to Mar 27, 2026
- Discretionary RAUM · $119M to $128MMay 8, 2025 to Mar 27, 2026
- HNW RAUM · $80.1M to $103MMay 8, 2025 to Mar 27, 2026
- Individual RAUM · $30.9M to $17.9MMay 8, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $6,439 to $2.2MMay 8, 2025 to Mar 27, 2026
- RAUM · $119M to $130MMay 8, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to May 8, 2025
- Accounts · 165 to 106Jul 3, 2024 to Mar 28, 2025
- HNW clients · 37 to 34Jul 3, 2024 to Mar 28, 2025
- Individual clients · 57 to 68Jul 3, 2024 to Mar 28, 2025
- Assets in custody · $613,799 to $599,679Jul 3, 2024 to Mar 28, 2025
- Discretionary RAUM · $108M to $119MJul 3, 2024 to Mar 28, 2025
- HNW RAUM · $81.8M to $80.1MJul 3, 2024 to Mar 28, 2025
- Individual RAUM · $22.7M to $30.9MJul 3, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $44,558 to $6,439Jul 3, 2024 to Mar 28, 2025
- RAUM · $108M to $119MJul 3, 2024 to Mar 28, 2025
- Accounts · 234 to 165Mar 28, 2023 to Mar 27, 2024
- HNW clients · 47 to 37Mar 28, 2023 to Mar 27, 2024
- Individual clients · 38 to 57Mar 28, 2023 to Mar 27, 2024
- Assets in custody · $623,844 to $613,799Mar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $93.5M to $108MMar 28, 2023 to Mar 27, 2024
- HNW RAUM · $76.0M to $81.8MMar 28, 2023 to Mar 27, 2024
- Individual RAUM · $16.8M to $22.7MMar 28, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $170,591 to $44,558Mar 28, 2023 to Mar 27, 2024
- RAUM · $93.7M to $108MMar 28, 2023 to Mar 27, 2024
- Accounts · 252 to 234Mar 21, 2023 to Mar 28, 2023
- HNW clients · 58 to 47Mar 21, 2023 to Mar 28, 2023
- Individual clients · 29 to 38Mar 21, 2023 to Mar 28, 2023
- Assets in custody · $755,943 to $623,844Mar 21, 2023 to Mar 28, 2023
- Discretionary RAUM · $114M to $93.5MMar 21, 2023 to Mar 28, 2023
- HNW RAUM · $105M to $76.0MMar 21, 2023 to Mar 28, 2023
- Individual RAUM · $8.4M to $16.8MMar 21, 2023 to Mar 28, 2023
- Non-discretionary RAUM · $275,535 to $170,591Mar 21, 2023 to Mar 28, 2023
- RAUM · $114M to $93.7MMar 21, 2023 to Mar 28, 2023
- Accounts · 236 to 252Mar 31, 2021 to Mar 28, 2022
- Charity clients · 0.0 to unsetMar 31, 2021 to Mar 28, 2022
- Corporate clients · 0.0 to unsetMar 31, 2021 to Mar 28, 2022
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
- Principal office phone
- 212-567-1416reportedpublic record, Form ADV, Mar 27, 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
- $65.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026