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
R•• L••••••••• I••••••••• M••••••••• L••
Latest filing Feb 23, 2026
First filing on the tape Mar 15, 2012 · 28 filings
SEC status approved since Mar 15, 2010
RAUM
$612M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$561M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$612M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$612M as of Feb 23, 2026
Mar 15, 2012$80.2M then
HNW client RAUM$556M as of Feb 23, 2026
Jan 19, 2018$246M then
State-registered IARs (5.B.3)1 as of Feb 23, 2026
Mar 13, 20130 then
Employees (5.A)1 as of Feb 23, 2026
Mar 13, 20132 then
Private funds: no history
RAUM +15% over the last fiscal year+10% a year over threeIARs 2 to 1offices 1 to 0
Practice profile
derived from the filing of Feb 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $612MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.9MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $160M, 59 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$556M91%
- Pension and profit-sharing plans$26.8M4.4%
- Charitable organizations$24.7M4.0%
- Individuals$4.6M0.7%
- Individual clients
- 24reported
- HNW clients
- 81reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 343reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $160M for 59 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 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 |
|---|---|---|---|---|
| M••• H• S•••••• | Hillsdale, Ny | Apr 20, 2021 | 18 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
- L•••• G•••• C•••••• · Membercontrolsince 06/2012 · owns 10% to 25%
- S••••••• M•••• H• · Member/Chief Compliance Officercontrolsince 11/2007 · 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 · 314 to 343Jan 13, 2026 to Feb 23, 2026
- Advisory employees · 2 to 1Jan 13, 2026 to Feb 23, 2026
- HNW clients · 68 to 81Jan 13, 2026 to Feb 23, 2026
- Individual clients · 44 to 24Jan 13, 2026 to Feb 23, 2026
- Pension plan clients · 5.0 to unsetJan 13, 2026 to Feb 23, 2026
- Assets in custody · $99.6M to $160MJan 13, 2026 to Feb 23, 2026
- Employees · 2 to 1Jan 13, 2026 to Feb 23, 2026
- State-registered IARs · 2 to 1Jan 13, 2026 to Feb 23, 2026
- Other offices · 1 to 0Jan 13, 2026 to Feb 23, 2026
- Discretionary RAUM · $531M to $612MJan 13, 2026 to Feb 23, 2026
- HNW RAUM · $472M to $556MJan 13, 2026 to Feb 23, 2026
- Individual RAUM · $13.9M to $4.6MJan 13, 2026 to Feb 23, 2026
- Pension RAUM · $23.5M to $26.8MJan 13, 2026 to Feb 23, 2026
- RAUM · $531M to $612MJan 13, 2026 to Feb 23, 2026
- Accounts · 399 to 314Feb 2, 2024 to Mar 21, 2025
- Charity clients · unset to 5.0Feb 2, 2024 to Mar 21, 2025
- HNW clients · 64 to 68Feb 2, 2024 to Mar 21, 2025
- Individual clients · 40 to 44Feb 2, 2024 to Mar 21, 2025
- Pension plan clients · unset to 5.0Feb 2, 2024 to Mar 21, 2025
- Assets in custody · $102M to $99.6MFeb 2, 2024 to Mar 21, 2025
- Financial planning clients · 0 to 0Feb 2, 2024 to Mar 21, 2025
- HQ city · unset to Feb 2, 2024 to Mar 21, 2025
- HQ state · unset to Feb 2, 2024 to Mar 21, 2025
- Discretionary RAUM · $525M to $531MFeb 2, 2024 to Mar 21, 2025
- HNW RAUM · $461M to $472MFeb 2, 2024 to Mar 21, 2025
- Individual RAUM · $21.1M to $13.9MFeb 2, 2024 to Mar 21, 2025
- Pension RAUM · $20.1M to $23.5MFeb 2, 2024 to Mar 21, 2025
- RAUM · $525M to $531MFeb 2, 2024 to Mar 21, 2025
- Accounts · 365 to 399Mar 1, 2023 to Feb 2, 2024
- HNW clients · 101 to 64Mar 1, 2023 to Feb 2, 2024
- Individual clients · 24 to 40Mar 1, 2023 to Feb 2, 2024
- Assets in custody · $82.9M to $102MMar 1, 2023 to Feb 2, 2024
- Discretionary RAUM · $459M to $525MMar 1, 2023 to Feb 2, 2024
- HNW RAUM · $423M to $461MMar 1, 2023 to Feb 2, 2024
- Individual RAUM · $7.5M to $21.1MMar 1, 2023 to Feb 2, 2024
- Pension RAUM · $8.8M to $20.1MMar 1, 2023 to Feb 2, 2024
- RAUM · $459M to $525MMar 1, 2023 to Feb 2, 2024
- Accounts · 313 to 365Mar 14, 2022 to Mar 1, 2023
- HNW clients · 62 to 101Mar 14, 2022 to Mar 1, 2023
- Individual clients · 29 to 24Mar 14, 2022 to Mar 1, 2023
Signals
1 dated events
- R•• L••••••••• I••••••••• M••••••••• L•• reported RAUM $505.7M, up 57% from $322.7M (2021-03-02 to 2022-03-14)Mar 14, 2022 · RAUM change · derived
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
- Business phone
- 212-799-3532reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 917-660-0980reportedpublic record, Form ADV, Feb 23, 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
- $612Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026