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
U•••• A••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Mar 29, 2012 · 34 filings
SEC status approved since Aug 8, 2006
RAUM
$30.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$30.4M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$30.4M as of Mar 20, 2026
Mar 29, 2012$35.5M then
HNW client RAUM$21.4M as of Mar 30, 2022
Mar 27, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 20, 2026
Mar 11, 20130 then
Employees (5.A)4 as of Mar 20, 2026
Mar 11, 20133 then
Private funds: no history
RAUM -4.2% over the last fiscal year-0.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $30.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $30.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Banks and thrifts$30.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• M•••••••••Certified Financial Planner | New York, Ny | Sep 3, 2021 | 39 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
- R••• B•••••• to F••••••• P••••••• A•• W•••••••• A•••••••Jan 13, 2023 · Other
- M••••••• A••••••••• to C••••• F••••••••Oct 13, 2022 · RIA to RIA
- A•••• M•••••• Y•••••••• to C••••• F••••••••Oct 13, 2022 · RIA to RIA
- J••• C••••••••• W• to C••••• F••••••••Oct 13, 2022 · RIA to RIA
- S••• I••• H••••••••• to C••••• F••••••••Oct 13, 2022 · RIA to RIA
- I•• S••••• C••• to C••••• F••••••••Oct 13, 2022 · RIA to RIA
- L••••••••• K• D••••• to C••••• F••••••••Apr 7, 2022 · RIA to RIA
- S•••• C••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Mar 2, 2022 · RIA to affiliated broker-dealer or bank
- E••••• J• B•••• to T• P•••••• C••••• W••••• L••Jul 9, 2021 · RIA to affiliated broker-dealer or bank
- J••••• K•• to A••••••••• F•••••••• S•••••••• L••Aug 20, 2020 · RIA to affiliated broker-dealer or bank
- S•••• K• C••• to C•••••••• G••••• M•••••• I•••Jun 3, 2020 · RIA to affiliated broker-dealer or bank
- N••••••• A•••• to F••••••• P••••••• A•• W•••••••• A•••••••Jun 3, 2020 · RIA to affiliated broker-dealer or bank
- A•••••• F•••••••• to F••••••• P••••••• A•• W•••••••• A•••••••May 4, 2020 · RIA to affiliated broker-dealer or bank
- Y••• F• L•• to C••••• I••••••••• A••••••• L••Jan 31, 2020 · RIA to affiliated broker-dealer or bank
- T•• S•••• M•• to C•••••••• G••••• M•••••• I•••Dec 10, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••••• M••••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 3, 2021 · Affiliated broker-dealer or bank to independent RIA
- E••••• J• B•••• from T• A••••••••• I•••Jan 29, 2021 · Other
- A•••• M•••••• Y•••••••• from J••• M••••• S••••••••• L••Jan 14, 2021 · Wirehouse to independent RIA
- J••• C••••••••• W• from S•••••••• S•••••••••Nov 12, 2020 · Affiliated broker-dealer or bank to independent RIA
- L••••••••• K• D••••• from C••• F•••••••• S•••••••• L•••Feb 19, 2020 · Affiliated broker-dealer or bank to independent RIA
- I•• S••••• C••• from P••••••• C•••••• A••••••• C•••••••••Apr 16, 2019 · RIA to RIA
- J••••• K•• from B• R•••• C•••••• M•••••••••Jan 26, 2019 · Other
- S•••• C••••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 9, 2018 · Other
- N••••••• A•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 8, 2018 · Other
- Y••• F• L•• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 8, 2018 · Other
- K•••• P••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 2, 2018 · Other
- S•••• K• C••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 2, 2018 · Other
- T•• S•••• M•• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 2, 2018 · Other
- A•••••• F•••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 1, 2018 · Other
- K•••••• C••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 1, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for C••••• F••••••••Oct 13, 2022 · New York, Ny · Firm absorbed
- 10 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 1, 2018 · New York, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• A••••••• F•••••••• · Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- M••••••••• J••••• · Presidentcontrolsince 04/2019 · owns less than 5%
Entity owners
- U•••• F•••••• C••••• U•••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- U•••• A••••••• G•••real estaten
- U••••• N•••••• F•••••• C••••• U••••n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $31.8M to $30.4MMar 20, 2025 to Mar 20, 2026
- RAUM · $31.8M to $30.4MMar 20, 2025 to Mar 20, 2026
- Advisory employees · 2 to 4Feb 16, 2024 to Mar 20, 2025
- BD registered reps · 2 to 1Feb 16, 2024 to Mar 20, 2025
- HNW clients · 5.0 to unsetFeb 16, 2024 to Mar 20, 2025
- Individual clients · 23.0 to unsetFeb 16, 2024 to Mar 20, 2025
- Employees · 5 to 4Feb 16, 2024 to Mar 20, 2025
- Insurance-licensed employees · 2 to 0Feb 16, 2024 to Mar 20, 2025
- Financial planning clients · unset to Feb 16, 2024 to Mar 20, 2025
- State-registered IARs · 2 to 1Feb 16, 2024 to Mar 20, 2025
- Discretionary RAUM · $32.3M to $31.8MFeb 16, 2024 to Mar 20, 2025
- RAUM · $32.3M to $31.8MFeb 16, 2024 to Mar 20, 2025
- HNW clients · 10 to 5Feb 7, 2023 to Feb 16, 2024
- Individual clients · 41 to 23Feb 7, 2023 to Feb 16, 2024
- Discretionary RAUM · $30.9M to $32.3MFeb 7, 2023 to Feb 16, 2024
- RAUM · $30.9M to $32.3MFeb 7, 2023 to Feb 16, 2024
- Advisory employees · 3 to 2Nov 25, 2022 to Feb 7, 2023
- BD registered reps · 3 to 2Nov 25, 2022 to Feb 7, 2023
- HNW clients · unset to 10.0Nov 25, 2022 to Feb 7, 2023
- Individual clients · 83 to 41Nov 25, 2022 to Feb 7, 2023
- Employees · 6 to 5Nov 25, 2022 to Feb 7, 2023
- Insurance-licensed employees · 3 to 2Nov 25, 2022 to Feb 7, 2023
- State-registered IARs · 3 to 2Nov 25, 2022 to Feb 7, 2023
- Discretionary RAUM · $30.6M to $30.9MNov 25, 2022 to Feb 7, 2023
- RAUM · $30.6M to $30.9MNov 25, 2022 to Feb 7, 2023
- Accounts · 358 to 1Mar 30, 2022 to Oct 28, 2022
- Advisory employees · 9 to 3Mar 30, 2022 to Oct 28, 2022
- BD registered reps · 11 to 3Mar 30, 2022 to Oct 28, 2022
- HNW clients · 24.0 to unsetMar 30, 2022 to Oct 28, 2022
- Individual clients · 300 to 83Mar 30, 2022 to Oct 28, 2022
- Employees · 14 to 6Mar 30, 2022 to Oct 28, 2022
- Insurance-licensed employees · 11 to 3Mar 30, 2022 to Oct 28, 2022
- State-registered IARs · 11 to 3Mar 30, 2022 to Oct 28, 2022
- Other offices · 2 to 0Mar 30, 2022 to Oct 28, 2022
- Discretionary RAUM · $106M to $30.6MMar 30, 2022 to Oct 28, 2022
- HNW RAUM · 21354852.0 to unsetMar 30, 2022 to Oct 28, 2022
- Individual RAUM · 49049033.0 to unsetMar 30, 2022 to Oct 28, 2022
- RAUM · $106M to $30.6MMar 30, 2022 to Oct 28, 2022
- Accounts · 283 to 358Aug 20, 2021 to Mar 30, 2022
- Advisory employees · 8 to 9Aug 20, 2021 to Mar 30, 2022
Signals
15 dated events
- R••• B•••••• left U•••• A••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-08-02)Jan 13, 2023 · advisor firm c•••ge · fact
- S••• I••• H••••••••• left U•••• A••••••• L•• for C••••• F•••••••• (registered 2022-02-28)Oct 13, 2022 · advisor firm c•••ge · fact
- M••••••• A••••••••• left U•••• A••••••• L•• for C••••• F•••••••• (registered 2022-03-01)Oct 13, 2022 · advisor firm c•••ge · fact
- I•• S••••• C••• left U•••• A••••••• L•• for C••••• F•••••••• (registered 2022-03-02)Oct 13, 2022 · advisor firm c•••ge · fact
- A•••• M•••••• Y•••••••• left U•••• A••••••• L•• for C••••• F•••••••• (registered 2022-02-28)Oct 13, 2022 · advisor firm c•••ge · fact
- J••• C••••••••• W• left U•••• A••••••• L•• for C••••• F•••••••• (registered 2022-03-01)Oct 13, 2022 · advisor firm c•••ge · fact
- U•••• A••••••• L••'s advisors moved to C••••• F•••••••• (New York, NY): 5 of 7 registered, on the same dayOct 13, 2022 · Firm absorbed (people side) · derived
- L••••••••• K• D••••• left U•••• A••••••• L•• for C••••• F•••••••• (registered 2023-01-03)Apr 7, 2022 · advisor firm c•••ge · fact
- S•••• C••••••••• left U•••• A••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-05-20)Mar 2, 2022 · advisor firm c•••ge · fact
- Daniel Markus Bruderer (Vice President / Chief Compliance Officer / Chief Investment Officer) no longer on Schedule A of U•••• A••••••• L•• (listed 2020-08-25, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- F•••••••• A•••••• Dilorenzo (Chief Compliance Officer) appeared on Schedule A of U•••• A••••••• L••Mar 26, 2021 · Control person joined · fact
- J••••• M••••••••• (President) appeared on Schedule A of U•••• A••••••• L••Jun 21, 2019 · Control person joined · fact
- U•••• A••••••• L•• reported 13 state-registered advisory representatives, up from 0 (2019-01-17 to 2019-03-26)Mar 26, 2019 · ria advisor headcount c•••ge · derived
- James Stephen Ryerson (President) no longer on Schedule A of U•••• A••••••• L•• (listed 2019-01-17, absent 2019-03-26)Mar 26, 2019 · Control person left · inference
- U•••• F•••••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 29, 2014 · Succession (Item 4) · 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
- Principal office phone
- 212-324-3900reportedpublic record, Form ADV, Mar 20, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $30.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026