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•••••••• M••••••••• G••••• L••
Latest filing Mar 4, 2026
First filing on the tape Feb 7, 2013 · 22 filings
SEC status approved since Mar 1, 2013
RAUM
$70.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$70.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$70.7M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$70.7M as of Mar 4, 2026
Feb 5, 2014$35.0M then
HNW client RAUM$58.7M as of Mar 4, 2026
Mar 21, 2018$35.0M then
State-registered IARs (5.B.3)1 as of Mar 4, 2026
Feb 5, 20141 then
Employees (5.A)2 as of Mar 4, 2026
Feb 5, 20142 then
Private funds: no history
RAUM +10% over the last fiscal year+23% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 4, 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
- $70.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $575,054derivedRAUM 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
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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)
- 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$58.7M83%
- Individuals$12.0M17%
- Individual clients
- 37reported
- HNW clients
- 15reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 123reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| I••• T••••• T••••••• | New York, Ny | Aug 19, 2021 | 40 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
- I••• T••••• T••••••• from C••••• S••••• S••••••••• •••• L••Aug 19, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• E•••• · Chief Compliance Officercontrolsince 01/2009 · owns less than 5%
- T•••••••• I•••• T••••• · Managing Membercontrolsince 05/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 49 to 123Mar 5, 2025 to Mar 4, 2026
- HNW clients · 18 to 15Mar 5, 2025 to Mar 4, 2026
- Individual clients · 31 to 37Mar 5, 2025 to Mar 4, 2026
- Discretionary RAUM · $64.2M to $70.7MMar 5, 2025 to Mar 4, 2026
- HNW RAUM · $55.4M to $58.7MMar 5, 2025 to Mar 4, 2026
- Individual RAUM · $8.8M to $12.0MMar 5, 2025 to Mar 4, 2026
- RAUM · $64.2M to $70.7MMar 5, 2025 to Mar 4, 2026
- Accounts · 108 to 49Mar 11, 2024 to Mar 5, 2025
- Individual clients · 30 to 31Mar 11, 2024 to Mar 5, 2025
- Financial planning clients · 26-50 to 26-50Mar 11, 2024 to Mar 5, 2025
- Discretionary RAUM · $49.4M to $64.2MMar 11, 2024 to Mar 5, 2025
- HNW RAUM · $39.3M to $55.4MMar 11, 2024 to Mar 5, 2025
- Individual RAUM · $10.1M to $8.8MMar 11, 2024 to Mar 5, 2025
- RAUM · $49.4M to $64.2MMar 11, 2024 to Mar 5, 2025
- Accounts · 100 to 108Mar 1, 2023 to Mar 11, 2024
- HNW clients · 11 to 18Mar 1, 2023 to Mar 11, 2024
- Individual clients · 36 to 30Mar 1, 2023 to Mar 11, 2024
- Discretionary RAUM · $37.9M to $49.4MMar 1, 2023 to Mar 11, 2024
- HNW RAUM · $29.9M to $39.3MMar 1, 2023 to Mar 11, 2024
- Individual RAUM · $8.0M to $10.1MMar 1, 2023 to Mar 11, 2024
- RAUM · $37.9M to $49.4MMar 1, 2023 to Mar 11, 2024
- Accounts · 92 to 100Feb 25, 2022 to Mar 1, 2023
- HNW clients · 12 to 11Feb 25, 2022 to Mar 1, 2023
- Individual clients · 33 to 36Feb 25, 2022 to Mar 1, 2023
- Discretionary RAUM · $50.4M to $37.9MFeb 25, 2022 to Mar 1, 2023
- HNW RAUM · $40.9M to $29.9MFeb 25, 2022 to Mar 1, 2023
- Individual RAUM · $9.5M to $8.0MFeb 25, 2022 to Mar 1, 2023
- RAUM · $50.4M to $37.9MFeb 25, 2022 to Mar 1, 2023
- Accounts · 84 to 92Mar 8, 2021 to Feb 25, 2022
- HNW clients · 11 to 12Mar 8, 2021 to Feb 25, 2022
- Individual clients · 32 to 33Mar 8, 2021 to Feb 25, 2022
- State-registered IARs · 0 to 1Mar 8, 2021 to Feb 25, 2022
- Other offices · 0 to 2Mar 8, 2021 to Feb 25, 2022
- Discretionary RAUM · $50.4M to $50.4MMar 8, 2021 to Feb 25, 2022
- HNW RAUM · $9.3M to $40.9MMar 8, 2021 to Feb 25, 2022
- Individual RAUM · $41.1M to $9.5MMar 8, 2021 to Feb 25, 2022
- RAUM · $50.4M to $50.4MMar 8, 2021 to Feb 25, 2022
- Accounts · 100 to 84Jun 29, 2020 to Mar 8, 2021
- Individual clients · 40 to 32Jun 29, 2020 to Mar 8, 2021
- Employees · 4 to 2Jun 29, 2020 to Mar 8, 2021
Signals
1 dated events
- F•••••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)Feb 7, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F•••••••• M••••••••• G••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 212-626-6581reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.f••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-626-6581reportedpublic record, Form ADV, Mar 4, 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
- $70.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026