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.
SEC-registered adviser
Circle Wealth Management, LLC
Latest filing Apr 8, 2026
First filing on the tape Apr 2, 2012 · 35 filings
SEC status approved since Apr 24, 2007
RAUM
$14B
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
93%
$13B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$1.4B
derived; firm RAUM over IAPD count
Employees
23
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$14B as of Apr 8, 2026
Apr 2, 2012$1.1B then
HNW client RAUM$13B as of Apr 8, 2026
Mar 30, 2018$1.6B then
State-registered IARs (5.B.3)10 as of Apr 8, 2026
Apr 2, 20120 then
Employees (5.A)23 as of Apr 8, 2026
Mar 27, 201311 then
Private funds: no history
RAUM +13% over the last fiscal year+29% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Apr 8, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $1.4BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $37.4MderivedHNW RAUM over HNW clients
- Average account
- $12.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 7.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%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
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $5.0B, 239 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$13B93%
- Charitable organizations$1.0B7.2%
- Corporations and businesses$7.0M0.0%
- Individual clients
- n/areported
- HNW clients
- 349reported
- Pension plan clients
- n/areported
- Charitable clients
- 31reported
- Accounts
- 1,138reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.0B for 239 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kristen Anne Breault | Summit, Nj | Jun 11, 2007 | 27 y | 0 |
| Theodore M CambilisCertified Financial Planner | Summit, Nj | Aug 30, 2016 | 11 y | 0 |
| Lindsay Ann Cherashore | New York, Ny | Apr 13, 2017 | 13 y | 0 |
| Maria Lourdes Kattan-Chrin | Summit, Nj | Apr 17, 2017 | 36 y | 0 |
| John Robert ChrinCertified Financial Planner | Summit, Nj | Jul 17, 2017 | 29 y | 0 |
| Connor Gerard Mullin | Summit, Nj | Nov 6, 2024 | 10 y | 0 |
| Hadley Fitzsimons Smith | New York, Ny | Nov 25, 2024 | 12 y | 0 |
| Ted George Brown | Summit, Nj | Dec 17, 2024 | 11 y | 0 |
| Adam Paul Cornwall | New York, Ny | Oct 2, 2025 | 11 y | 0 |
| Susan Deegan Feeley | Summit, Nj | Oct 30, 2025 | 27 y | 0 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 10% of current headcount2 left over 36 months
Left, latest
- Emilio Lincoln Egea to Hb WealthJul 23, 2026 · RIA to RIA
- William Mcdermott Smith to J.P. Morgan Securities LLCMay 21, 2024 · RIA to wirehouse
- Alexandra Michelle Blake to Next Capital Management LLCApr 4, 2017 · Other
Joined, latest
- Emilio Lincoln Egea from Hb WealthMay 8, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Robert John Chrin · Membercontrolsince 02/2012 · owns 10% to 25%
- Lourdes Maria Kattan-Chrin · Ceo/Managing Partner Officer, Partnercontrolsince 12/2006 · owns less than 5%
- Lourdes Maria Kattan-Chrin · Membercontrolsince 12/2006 · owns 50% to 75% of Mlks, LLC
- Anne Kristen Breault · Chief Compliance Officer, Partnersince 12/2007 · owns 5% to 10%
- Michael Daniel Flath · Membersince 01/2022 · owns 5% to 10%
- Frances Ann Kaplan · Membersince 01/2011 · owns F of Afk II LLC
Entity owners
- Mlks, LLC · Memberdirect · owns 50% to 75%
- Afk II LLC · Memberdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Summit, Nj · principal | 10 | 2 | 1 | ||
| New York, Ny | 6 | 1 | 0 | ||
| Sunny Isles, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY7 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 8, 2026discretionary share of RAUM moved from 52.0% to 67.0% between the annual amendments of 2025-04-01 and 2026-04-08peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 1,040 to 1,138Sep 17, 2025 to Mar 31, 2026
- Advisory employees · 9 to 11Sep 17, 2025 to Mar 31, 2026
- Charity clients · 26 to 31Sep 17, 2025 to Mar 31, 2026
- HNW clients · 323 to 349Sep 17, 2025 to Mar 31, 2026
- Assets in custody · $4.1B to $5.0BSep 17, 2025 to Mar 31, 2026
- Employees · 19 to 23Sep 17, 2025 to Mar 31, 2026
- Insurance-licensed employees · 0 to 3Sep 17, 2025 to Mar 31, 2026
- Discretionary RAUM · $6.4B to $9.5BSep 17, 2025 to Mar 31, 2026
- HNW RAUM · $12B to $13BSep 17, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $6.0B to $4.6BSep 17, 2025 to Mar 31, 2026
- RAUM · $12B to $14BSep 17, 2025 to Mar 31, 2026
- Accounts · 958 to 1,040Apr 1, 2024 to Apr 1, 2025
- Charity clients · 19 to 26Apr 1, 2024 to Apr 1, 2025
- HNW clients · 300 to 323Apr 1, 2024 to Apr 1, 2025
- Assets in custody · $3.1B to $4.1BApr 1, 2024 to Apr 1, 2025
- Employees · 20 to 19Apr 1, 2024 to Apr 1, 2025
- Financial planning clients · 51-100 to 51-100Apr 1, 2024 to Apr 1, 2025
- State-registered IARs · 8 to 10Apr 1, 2024 to Apr 1, 2025
- Discretionary RAUM · $5.2B to $6.4BApr 1, 2024 to Apr 1, 2025
- HNW RAUM · $9.6B to $12BApr 1, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $4.9B to $6.0BApr 1, 2024 to Apr 1, 2025
- RAUM · $10B to $12BApr 1, 2024 to Apr 1, 2025
- Accounts · 1,235 to 958Apr 26, 2023 to Mar 29, 2024
- Charity clients · 14 to 19Apr 26, 2023 to Mar 29, 2024
- HNW clients · 106 to 300Apr 26, 2023 to Mar 29, 2024
- Assets in custody · $659M to $3.1BApr 26, 2023 to Mar 29, 2024
- Employees · 16 to 20Apr 26, 2023 to Mar 29, 2024
- State-registered IARs · 9 to 8Apr 26, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.5B to $5.2BApr 26, 2023 to Mar 29, 2024
- HNW RAUM · $6.1B to $9.6BApr 26, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $5.1B to $4.9BApr 26, 2023 to Mar 29, 2024
- RAUM · $6.6B to $10BApr 26, 2023 to Mar 29, 2024
- Accounts · 1,178 to 1,235Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 11 to 9Mar 31, 2022 to Mar 31, 2023
- Charity clients · 16 to 14Mar 31, 2022 to Mar 31, 2023
- HNW clients · 104 to 106Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $830M to $659MMar 31, 2022 to Mar 31, 2023
- Employees · 14 to 16Mar 31, 2022 to Mar 31, 2023
- State-registered IARs · 7 to 9Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.8B to $1.5BMar 31, 2022 to Mar 31, 2023
Signals
6 dated events
- Emilio Lincoln Egea left Circle Wealth Management, Llc for Hb Wealth (registered 2026-08-04)Jul 23, 2026 · Advisor changed firm · fact
- William Mcdermott Smith left Circle Wealth Management, Llc for J.P. Morgan Securities Llc (registered 2024-09-18)May 21, 2024 · Advisor changed firm · fact
- Circle Wealth Management, Llc reported RAUM $10.2B, up 55% from $6.6B (2023-04-26 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Circle Wealth Management, Llc reported RAUM $6.6B, up 92% from $3.4B (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Circle Wealth Management, Llc reported RAUM $2.8B, up 44% from $1.9B (2020-06-29 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Circle Wealth Management, Llc reported RAUM $1.6B, up 55% from $1.1B (2017-11-16 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Circle Wealth Management, LLC · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 908-206-1306reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-283-1000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/CIRCLE-WEALTH-MANAGEMENT-LLCreportedpublic record, Form ADV, Sep 17, 2026
- Website
- CIRCLEWM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 908-206-1306reportedpublic record, Form ADV, Apr 8, 2026
- Contact form
- circlewm.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- circlewm.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $1.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026