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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Latest filing Mar 16, 2026
First filing on the tape Feb 24, 2012 · 22 filings
SEC status approved since Nov 21, 2006
RAUM
$322M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
78%
$251M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$80.5M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$322M as of Mar 16, 2026
Feb 24, 2012$207M then
HNW client RAUM$248M as of Mar 16, 2026
Mar 26, 2018$210M then
State-registered IARs (5.B.3)4 as of Mar 16, 2026
Feb 24, 20120 then
Employees (5.A)5 as of Mar 16, 2026
Feb 15, 20132 then
Private funds: no history
RAUM -16% over the last fiscal year-2.6% a year over threeIARs 4 to 4offices 0 to 1
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $80.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 14derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $3.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$248M77%
- Corporations and businesses$57.0M18%
- Charitable organizations$10.8M3.4%
- Pension and profit-sharing plans$3.8M1.2%
- Individuals$2.4M0.8%
- Individual clients
- 5reported
- HNW clients
- 50reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 105reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• J•••• R•••• J•• | New York, Ny | Jul 12, 2021 | 19 y | 0 |
| A••• M•••• P••••• | New York, Ny | Aug 7, 2021 | 19 y | 0 |
| J•••••• E••• S••••• | New York, Ny | Aug 11, 2021 | 12 y | 0 |
| T•••• H••••• B••••• | Cincinnati, Oh | Jun 14, 2023 | 11 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• A••• M•••• · Chief Compliance Officer/Chief Operating Officercontrolsince 03/2007 · owns less than 5%
- R•••• J••• W••••••• J•••• · Managing Membercontrolsince 11/2006 · 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 | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 111 to 105Mar 13, 2025 to Mar 16, 2026
- Corporate clients · 4 to 1Mar 13, 2025 to Mar 16, 2026
- HNW clients · 51 to 50Mar 13, 2025 to Mar 16, 2026
- Individual clients · 6 to 5Mar 13, 2025 to Mar 16, 2026
- Other offices · 0 to 1Mar 13, 2025 to Mar 16, 2026
- Discretionary RAUM · $357M to $296MMar 13, 2025 to Mar 16, 2026
- HNW RAUM · $274M to $248MMar 13, 2025 to Mar 16, 2026
- Individual RAUM · $2.6M to $2.4MMar 13, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $26.3M to $26.1MMar 13, 2025 to Mar 16, 2026
- Pension RAUM · $3.8M to $3.8MMar 13, 2025 to Mar 16, 2026
- RAUM · $383M to $322MMar 13, 2025 to Mar 16, 2026
- Accounts · 113 to 111Mar 5, 2024 to Mar 13, 2025
- Individual clients · 4 to 6Mar 5, 2024 to Mar 13, 2025
- Financial planning clients · unset to Mar 5, 2024 to Mar 13, 2025
- HQ city · unset to Mar 5, 2024 to Mar 13, 2025
- HQ state · unset to Mar 5, 2024 to Mar 13, 2025
- Discretionary RAUM · $320M to $357MMar 5, 2024 to Mar 13, 2025
- HNW RAUM · $235M to $274MMar 5, 2024 to Mar 13, 2025
- Individual RAUM · $1.9M to $2.6MMar 5, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $23.0M to $26.3MMar 5, 2024 to Mar 13, 2025
- Pension RAUM · $3.0M to $3.8MMar 5, 2024 to Mar 13, 2025
- RAUM · $343M to $383MMar 5, 2024 to Mar 13, 2025
- Accounts · 117 to 113Jan 11, 2024 to Mar 5, 2024
- HNW clients · 59 to 51Jan 11, 2024 to Mar 5, 2024
- State-registered IARs · 3 to 4Jan 11, 2024 to Mar 5, 2024
- Discretionary RAUM · $322M to $320MJan 11, 2024 to Mar 5, 2024
- HNW RAUM · $225M to $235MJan 11, 2024 to Mar 5, 2024
- Individual RAUM · $1.8M to $1.9MJan 11, 2024 to Mar 5, 2024
- Non-discretionary RAUM · $26.3M to $23.0MJan 11, 2024 to Mar 5, 2024
- Pension RAUM · $2.4M to $3.0MJan 11, 2024 to Mar 5, 2024
- RAUM · $348M to $343MJan 11, 2024 to Mar 5, 2024
- Pension plan clients · 1 to 2Mar 10, 2022 to Mar 14, 2023
- Discretionary RAUM · $392M to $322MMar 10, 2022 to Mar 14, 2023
- HNW RAUM · $271M to $225MMar 10, 2022 to Mar 14, 2023
- Individual RAUM · $2.0M to $1.8MMar 10, 2022 to Mar 14, 2023
- Non-discretionary RAUM · $32.0M to $26.3MMar 10, 2022 to Mar 14, 2023
- Pension RAUM · $2.6M to $2.4MMar 10, 2022 to Mar 14, 2023
- RAUM · $424M to $348MMar 10, 2022 to Mar 14, 2023
- Accounts · 121 to 117Mar 19, 2021 to Mar 10, 2022
- HNW clients · 60 to 59Mar 19, 2021 to Mar 10, 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
- 212-262-4441reportedpublic record, Form ADV, Mar 16, 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
- $80.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026