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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
D••••• A•••• M••••••••• L••
Latest filing Apr 15, 2026
First filing on the tape Mar 15, 2017 · 14 filings
SEC status approved since Mar 20, 2017
RAUM
$231M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$193M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$33.0M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$231M as of Apr 15, 2026
Mar 31, 2017$37.3M then
HNW client RAUM$118M as of Apr 15, 2026
Mar 26, 2018$29.8M then
State-registered IARs (5.B.3)6 as of Apr 15, 2026
Mar 31, 20171 then
Employees (5.A)9 as of Apr 15, 2026
Mar 31, 20172 then
Private funds: no history
RAUM +18% over the last fiscal year+24% a year over threeIARs 4 to 6
Practice profile
derived from the filing of Apr 15, 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
- 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
- $28.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $239,336derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $52.6M, 118 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$118M51%
- Individuals$75.5M33%
- State and municipal entities$36.8M16%
- Charitable organizations$810,6010.4%
- Individual clients
- 463reported
- HNW clients
- 59reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 965reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $52.6M for 118 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• F••••• D••••• | Smithtown, Ny | Aug 4, 2017 | 28 y | 1 |
| N••••••• A•••••• L•••• | Smithtown, Ny | Jul 12, 2024 | 13 y | 0 |
| J••••• P•••••• C••••••••• | Smithtown, Ny | Jul 19, 2024 | 11 y | 0 |
| V••••• A•••••• G•••••••• | Smithtown, Ny | Sep 5, 2024 | 12 y | 0 |
| M•••••• D•••••• P••••••• | Smithtown, Ny | Oct 27, 2025 | 12 y | 0 |
| J••••• F•••••• G••••••• | Smithtown, Ny | Dec 4, 2025 | 12 y | 0 |
| L•••• S•••••• | Smithtown, Ny | Jul 17, 2026 | 11 y | 2 |
| A•••••• V•••••• P•••••• | Smithtown, Ny | Sep 14, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- L•••• S•••••• from W••••••••• A•••••••Jul 17, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• R•••••• F• · Managing Member/Chief Compliance Officercontrolsince 07/2008 · 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 |
|---|---|---|---|---|---|
| Smithtown, Ny · principal | 7 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Apr 15, 2026employees (Item 5.A) moved from 15.0 to 9.0 (-40.0%) between the annual amendments of 2025-03-26 and 2026-04-15; the peer median change was 0.0% (507 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (507) · 3.8% percentile
What changed
consecutive filings, newest first
- Accounts · 871 to 965Mar 26, 2025 to Mar 30, 2026
- Advisory employees · 4 to 6Mar 26, 2025 to Mar 30, 2026
- Advisory activities · 5 to 1Mar 26, 2025 to Mar 30, 2026
- HNW clients · 43 to 59Mar 26, 2025 to Mar 30, 2026
- Individual clients · 510 to 463Mar 26, 2025 to Mar 30, 2026
- Assets in custody · unset to 52619875.0Mar 26, 2025 to Mar 30, 2026
- Custody of client assets · false to trueMar 26, 2025 to Mar 30, 2026
- Employees · 15 to 9Mar 26, 2025 to Mar 30, 2026
- State-registered IARs · 4 to 6Mar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $196M to $231MMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $76.2M to $118MMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $85.8M to $75.5MMar 26, 2025 to Mar 30, 2026
- RAUM · $196M to $231MMar 26, 2025 to Mar 30, 2026
- Accounts · 730 to 871Mar 28, 2024 to Mar 26, 2025
- Advisory employees · 1 to 4Mar 28, 2024 to Mar 26, 2025
- HNW clients · 35 to 43Mar 28, 2024 to Mar 26, 2025
- Individual clients · 388 to 510Mar 28, 2024 to Mar 26, 2025
- Employees · 14 to 15Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 26, 2025
- State-registered IARs · 1 to 4Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $137M to $196MMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $77.1M to $76.2MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $35.4M to $85.8MMar 28, 2024 to Mar 26, 2025
- RAUM · $137M to $196MMar 28, 2024 to Mar 26, 2025
- Accounts · 3,013 to 730Mar 22, 2023 to Mar 28, 2024
- HNW clients · 22 to 35Mar 22, 2023 to Mar 28, 2024
- Individual clients · 515 to 388Mar 22, 2023 to Mar 28, 2024
- Employees · 3 to 14Mar 22, 2023 to Mar 28, 2024
- Discretionary RAUM · $109M to $137MMar 22, 2023 to Mar 28, 2024
- HNW RAUM · $35.4M to $77.1MMar 22, 2023 to Mar 28, 2024
- Individual RAUM · $59.2M to $35.4MMar 22, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $10.7M to $0Mar 22, 2023 to Mar 28, 2024
- RAUM · $120M to $137MMar 22, 2023 to Mar 28, 2024
- Accounts · 2,826 to 3,013Mar 22, 2022 to Mar 22, 2023
- Charity clients · unset to 0.0Mar 22, 2022 to Mar 22, 2023
- HNW clients · 37 to 22Mar 22, 2022 to Mar 22, 2023
- Individual clients · 403 to 515Mar 22, 2022 to Mar 22, 2023
- Employees · 4 to 3Mar 22, 2022 to Mar 22, 2023
- Discretionary RAUM · $145M to $109MMar 22, 2022 to Mar 22, 2023
- HNW RAUM · $67.1M to $35.4MMar 22, 2022 to Mar 22, 2023
Signals
2 dated events
- A•••••• V•••••• P•••••• registered as an investment adviser representative at D••••• A•••• M••••••••• L••Sep 14, 2026 · Advisor registered · fact
- D••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 15, 2017 · First SEC registration · fact
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 email
- j••@d•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 631-693-5209reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 631-361-4925reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 631-263-1788reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/draper-asset-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 631-361-4925reportedpublic record, Form ADV, Apr 15, 2026
- Contact form
- d•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- d•••••••••.comreportedpublished by the firm, firm site, Sep 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
- $33.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026