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
C•••••• • S••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jan 18, 2012 · 38 filings
SEC status approved since Jan 3, 2007
RAUM
$7.0B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
91%
$6.3B individuals and HNW
Advisors
23
registered through the firm on IAPD
RAUM per advisor
$304M
derived; firm RAUM over IAPD count
Employees
40
17 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$7.0B as of Mar 30, 2026
Jan 18, 2012$859M then
HNW client RAUM$6.2B as of Mar 30, 2026
Mar 29, 2018$1.0B then
State-registered IARs (5.B.3)22 as of Mar 30, 2026
Mar 27, 20130 then
Employees (5.A)40 as of Mar 30, 2026
Mar 27, 201316 then
Private funds2 as of Mar 30, 2026
Jan 17, 20252 then
RAUM +11% over the last fiscal year+61% a year over threeIARs 22 to 22offices 0 to 1
Practice profile
derived from the filing of Mar 30, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $304MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 104derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $2.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 11.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
- Custody
- $12.2M, 2 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$6.2B89%
- Charitable organizations$250M3.6%
- Corporations and businesses$232M3.3%
- Investment companies$114M1.6%
- Individuals$113M1.6%
- Pension and profit-sharing plans$51.0M0.7%
- Pooled investment vehicles$12.2M0.2%
- Individual clients
- 457reported
- HNW clients
- 1,937reported
- Pension plan clients
- 56reported
- Charitable clients
- 53reported
- Accounts
- 2,577reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.2M for 2 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.91 fund_share=0.02 institutional_share=0.04 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
23 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• J••••• W•••••••Chartered Financial Analyst | New York, Ny | Jul 9, 2021 | 14 y | 0 |
| E•••••• W••••••••Chartered Financial Analyst | New York, Ny | Jul 9, 2021 | 32 y | 1 |
| J••• V••••• R•••••Chartered Financial Analyst | New York, Ny | Jul 13, 2021 | 18 y | 0 |
| W•••••• G•••• S•••••Chartered Financial Analyst | New York, Ny | Jul 13, 2021 | 19 y | 0 |
| J•••• E••••• B•••••Chartered Financial Analyst | New York, Ny | Jul 15, 2021 | 16 y | 0 |
| D•••• M••••• | New York, Ny | Jul 18, 2021 | 12 y | 0 |
| R••••• P•••••••• M••••••••• | New York, Ny | Jul 18, 2021 | 42 y | 1 |
| R••••• M•••••• R•••• | New York, Ny | Jul 18, 2021 | 25 y | 0 |
| M•••••• D•••• C••••• | New York, Ny | Jul 19, 2021 | 13 y | 0 |
| L••• K•••••• | New York, Ny | Jul 19, 2021 | 12 y | 0 |
| A•••• L•••• M•••• | New York, Ny | Jul 30, 2021 | 10 y | 0 |
| M••••••• M••• H• M•••••••• | New York, Ny | Aug 2, 2021 | 19 y | 0 |
| P••• F•••• P••••••• | New York, Ny | Aug 2, 2021 | 17 y | 0 |
| J•••••• T•• | New York, Ny | Aug 11, 2021 | 22 y | 0 |
| I•• B••••• M•••••••• | New York, Ny | Feb 21, 2024 | 45 y | 2 |
| W••••• K•••••• G•••• | New York, Ny | Feb 21, 2024 | 28 y | 2 |
| J••••• B•••• W••••• | New York, Ny | Feb 21, 2024 | 35 y | 2 |
| E••••• M••••• G•••• | New York, Ny | Feb 21, 2024 | 15 y | 2 |
| R••••• F•••• S•••••• | New York, Ny | Feb 21, 2024 | 12 y | 2 |
| W•••••• H•••• H•••••• I• | New York, Ny | Feb 21, 2024 | 24 y | 3 |
| R••••• C•••••• E••••• | New York, Ny | Mar 27, 2024 | 25 y | 2 |
| D•••• J••••••• M••••••• | New York, Ny | Nov 1, 2024 | 32 y | 0 |
| N••••••• A• P••••• | New York, Ny | Feb 19, 2026 | 11 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- N••••••• A• P••••• from J••• M••••• S••••••••• L••Feb 19, 2026 · Wirehouse to independent RIA
- R••••• C•••••• E••••• from C•••••• • C••Mar 27, 2024 · RIA to RIA
- E••••• M••••• G•••• from C•••••• • C••Feb 21, 2024 · RIA to RIA
- W••••• K•••••• G•••• from C•••••• • C••Feb 21, 2024 · RIA to RIA
- W•••••• H•••• H•••••• I• from C•••••• • C••Feb 21, 2024 · RIA to RIA
- R••••• F•••• S•••••• from C•••••• • C••Feb 21, 2024 · RIA to RIA
- J••••• B•••• W••••• from C•••••• • C••Feb 21, 2024 · RIA to RIA
- I•• B••••• M•••••••• from C•••••• • C••Feb 21, 2024 · RIA to RIA
- R••••• P•••••••• M••••••••• from N•••••••• C•••••• M••••••••• L••Jul 18, 2021 · Other
- E•••••• W•••••••• from N•••••••• B••••• B• L••Jul 9, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 7 joined from C•••••• • C••Feb 13, 2024 · New York, Ny · Firm absorbed
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• • C• A••••••••• S••••• L•• | Other Private Fund | $6.2M | 22 | Sep 24, 2024 |
| R••••• P••• L•• | Other Private Fund | $6.0M | 17 | Sep 24, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• J••••• E••••• · Managing Principal And Portfolio Managercontrolsince 01/2010 · owns 5% to 10%
- C•••••• M••••••• D•••• · Principalcontrolsince 04/2013 · owns less than 5%
- E•••••• R•••••• C•••••• · Managing Principal And Portfolio Managercontrolsince 01/2024 · owns 5% to 10%
- F•••••• M••••••• A••• · Chief Operating Officer And Chief Financial Officercontrolsince 01/2026 · owns less than 5%
- M••••••••• M•••••••• M••• H• · Member And Principalcontrolsince 01/2007 · owns less than 5%
- M•••••••• D••••• J••••••• · Principal And Portfolio Managercontrolsince 03/2026 · owns 10% to 25%
- M••••••••• R•••••• P•••••••• · Member And Principalcontrolsince 10/2011 · owns 5% to 10%
- M••••••••• L••••• N•• · Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- P•••••••• P•••• F•••• · Member And Principalcontrolsince 07/2009 · owns less than 5%
- R•••••• J•••• V••••• · Member And Principalcontrolsince 05/2008 · owns less than 5%
- R••••• R•••••• M•••••• · Managing Principal And Portfolio Managercontrolsince 01/2007 · owns 5% to 10%
- S•••••• W••••••• G•••• · Principalcontrolsince 01/2007 · owns less than 5%
- W•••••• J•••••• B•••• · Chairman And Portfolio Managercontrolsince 07/2025 · owns less than 5%
- E•••••• R•••••• C•••••• · Trusteecontrolsince 09/2••• · owns F of 2••• I•• B• M••••••••• J•• F••••• D•••••• T••••
- H•••••• E••••••••• W• · Trusteecontrolsince 09/2••• · owns F of 2••• I•• B• M••••••••• J•• F••••• D•••••• T••••
- L•••••••• H••••• •••• · Managercontrolsince 03/2009 · owns F of A••••• A•• A••••••••• H•••••••• L••
- L•••• J•••••••• B•••••• · Trusteecontrolsince 02/2021 · owns F of J••••••• B• L••• R•••••••• T••••
- S•••••• W••••••• G•••• · Manager & Membercontrolsince 11/2006 · owns 50% to 75% of S••••• • C•• L••
- W•••• W••••••• S••••• · Managercontrolsince 12/2006 · owns F of A••••• A•• A••••••••• H•••••••• L••
- G••••• E•••••• M••••• · Principalsince 01/2024 · owns less than 5%
- G••••• W•••••• K•••••• · Principalsince 01/2024 · owns less than 5%
- H•••••• I•• W••••••• H•••• · Principalsince 01/2024 · owns less than 5%
- K••••• P•••••••• A•• · Member And Principalsince 01/2024 · owns less than 5%
- M••••••••• I••• B••••• · Principalsince 01/2024 · owns less than 5%
- S••••••• R•••••• F•••• · Principalsince 01/2024 · owns less than 5%
- T•••• R•••••• C•••••• · Member And Principalsince 01/2024 · owns less than 5%
- W••••••• P•••• A••••• · Member And Principalsince 01/2024 · owns 5% to 10%
- W••••••••• E•••••• · Principalsince 01/2020 · owns less than 5%
- W•••••••• D•••••• J••••• · Principalsince 01/2024 · owns less than 5%
Entity owners
- A••••• A•• A••••••••• H•••••••• L•• · Memberdirect · owns 10% to 25%
- P•• A••••••••• C•••• I••• · Memberdirect · owns 50% to 75%
- 2••• I•• B• M••••••••• J•• F••••• · Memberdirect · owns 5% to 10%
- 2••• I•• B• M••••••••• J•• F••••• D•••••• T•••• · Memberdirect · owns 10% to 25%
- J••••••• B• L••• R•••••••• T•••• · Memberdirect · owns 5% to 10%
- S••••• • C•• L•• · Memberdirect · owns less than 5%
- T•• J••••• B• W••••• R•••••••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- S• A••••••••• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 23 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 30, 2026F•••••• M••••••• A••• (CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER) appeared on Schedule A between the filings of 2024-09-24 and 2026-03-30peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 30, 2026H•••••• E••••••••• W• (TRUSTEE) left Schedule A between the filings of 2024-09-24 and 2026-03-30peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 30, 2026W•••• W••••••• S••••• (MANAGER) left Schedule A between the filings of 2024-09-24 and 2026-03-30peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 30, 2026M••••••••• L••••• N•• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-09-24 and 2026-03-30peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 30, 2026L•••• J•••••••• B•••••• (TRUSTEE) left Schedule A between the filings of 2024-09-24 and 2026-03-30peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 30, 2026L•••••••• H••••• •••• (MANAGER) left Schedule A between the filings of 2024-09-24 and 2026-03-30peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 2,486 to 2,577Nov 3, 2025 to Mar 30, 2026
- BD registered reps · 3 to 2Nov 3, 2025 to Mar 30, 2026
- Charity clients · 58 to 53Nov 3, 2025 to Mar 30, 2026
- Corporate clients · 45 to 43Nov 3, 2025 to Mar 30, 2026
- HNW clients · 1,863 to 1,937Nov 3, 2025 to Mar 30, 2026
- Individual clients · 465 to 457Nov 3, 2025 to Mar 30, 2026
- Pension plan clients · 52 to 56Nov 3, 2025 to Mar 30, 2026
- Assets in custody · $10.3M to $12.2MNov 3, 2025 to Mar 30, 2026
- Employees · 41 to 40Nov 3, 2025 to Mar 30, 2026
- Financial planning clients · 11-25 to 0Nov 3, 2025 to Mar 30, 2026
- Discretionary RAUM · $6.2B to $6.8BNov 3, 2025 to Mar 30, 2026
- HNW RAUM · $5.6B to $6.2BNov 3, 2025 to Mar 30, 2026
- Individual RAUM · $118M to $113MNov 3, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $140M to $190MNov 3, 2025 to Mar 30, 2026
- Pension RAUM · $53.5M to $51.0MNov 3, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $10.3M to $12.2MNov 3, 2025 to Mar 30, 2026
- RAUM · $6.3B to $7.0BNov 3, 2025 to Mar 30, 2026
- Other offices · 0 to 1Jul 31, 2025 to Nov 3, 2025
- Employees · 40 to 41May 22, 2025 to Jul 31, 2025
- Financial planning clients · 11-25 to 11-25May 22, 2025 to Jul 31, 2025
- Accounts · 2,321 to 2,486Nov 21, 2024 to Jan 17, 2025
- Charity clients · 55 to 58Nov 21, 2024 to Jan 17, 2025
- Corporate clients · 49 to 45Nov 21, 2024 to Jan 17, 2025
- HNW clients · 1,643 to 1,863Nov 21, 2024 to Jan 17, 2025
- Individual clients · 532 to 465Nov 21, 2024 to Jan 17, 2025
- Pension plan clients · 41 to 52Nov 21, 2024 to Jan 17, 2025
- Assets in custody · $10.0M to $10.3MNov 21, 2024 to Jan 17, 2025
- Discretionary RAUM · $5.8B to $6.2BNov 21, 2024 to Jan 17, 2025
- HNW RAUM · $5.0B to $5.6BNov 21, 2024 to Jan 17, 2025
- Individual RAUM · $192M to $118MNov 21, 2024 to Jan 17, 2025
- Non-discretionary RAUM · $54.4M to $140MNov 21, 2024 to Jan 17, 2025
- Pension RAUM · $69.9M to $53.5MNov 21, 2024 to Jan 17, 2025
- Pooled vehicle RAUM · $10.0M to $10.3MNov 21, 2024 to Jan 17, 2025
- RAUM · $5.9B to $6.3BNov 21, 2024 to Jan 17, 2025
- Advisory employees · 19 to 17Nov 13, 2024 to Nov 21, 2024
- Employees · 41 to 40Nov 13, 2024 to Nov 21, 2024
- State-registered IARs · 23 to 22Nov 13, 2024 to Nov 21, 2024
- Other offices · 1 to 0Sep 24, 2024 to Nov 8, 2024
- Corporate clients · 45 to 49Mar 20, 2024 to Sep 24, 2024
- Pooled vehicle clients · 4 to 2Mar 20, 2024 to Sep 24, 2024
Signals
14 dated events
- Michael Glenn Goldberg (Chief Compliance Officer) no longer on Schedule A of C•••••• • S••••• L•• (listed 2024-03-20, absent 2024-09-24)Sep 24, 2024 · Control person left · inference
- Nmn Lloyd Moskowitz (Chief Compliance Officer) appeared on Schedule A of C•••••• • S••••• L••Sep 24, 2024 · Control person joined · fact
- C•••••• • C••'s advisors moved to C•••••• • S••••• L•• (New York, NY): 7 of 7 registered, on the same dayFeb 13, 2024 · Firm absorbed (people side) · derived
- S••••• A••••• A••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 24, 2024 · Succession (Item 4) · fact
- C•••••• • S••••• L•• reported RAUM $5.9B, up 250% from $1.7B (2•••-03-31 to 2024-01-24)Jan 24, 2024 · RAUM change · derived
- Payne Kathryn Beller (Chief Compliance Officer) no longer on Schedule A of C•••••• • S••••• L•• (listed 2•••-03-31, absent 2024-01-24)Jan 24, 2024 · Control person left · inference
- Blair Joseph Werner (Manager, Member, And Principal) appeared on Schedule A of C•••••• • S••••• L••Jan 24, 2024 · Control person joined · fact
- Charles Robert Eising (Manager, Member, And Principal) appeared on Schedule A of C•••••• • S••••• L••Jan 24, 2024 · Control person joined · fact
- Jonathan David Mazzullo (Manager, Member, And Principal) appeared on Schedule A of C•••••• • S••••• L••Jan 24, 2024 · Control person joined · fact
- Michael Glenn Goldberg (Chief Compliance Officer) appeared on Schedule A of C•••••• • S••••• L••Jan 24, 2024 · Control person joined · fact
- Buchman Jennifer Lynn (Trustee) appeared on Schedule A of C•••••• • S••••• L••Jan 24, 2024 · Control person joined · fact
- W Elizabeth Howell (Trustee) appeared on Schedule A of C•••••• • S••••• L••Jan 24, 2024 · Control person joined · fact
- C•••••• • S••••• L•• reported 17 state-registered advisory representatives, up from 0 (2021-03-26 to 2022-03-24)Mar 24, 2022 · Advisor headcount change · derived
- Alan Frank Weil (Manager) no longer on Schedule A of C•••••• • S••••• L•• (listed 2021-03-26, absent 2022-03-24)Mar 24, 2022 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- C•••••• • S••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business phone
- 855-571-6999reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- thebeehiveetf.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-752-5255reportedpublic record, Form ADV, Mar 30, 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
- $304Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026