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
C•••••• I••••••••• • P••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 22, 2012 · 31 filings
SEC status approved since Dec 16, 2008
RAUM
$141M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$141M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$141M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$141M as of Mar 24, 2026
Mar 22, 2012$27.0M then
HNW client RAUM$109M as of Mar 24, 2026
Mar 23, 2018$50.9M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Mar 22, 20120 then
Employees (5.A)2 as of Mar 24, 2026
Mar 19, 20132 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $141MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $527,877derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $1.2M, 1 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$109M77%
- Individuals$32.2M23%
- Individual clients
- 48reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 268reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2M for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| A•••••• S•••••• C•••••••••Certified Financial Planner | Mount Kisco, Ny | Jul 12, 2021 | 17 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
- C••••••••• A••••••• S•••••• · President And Chief Compliance Officercontrolsince 10/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- New York City, NY1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 24, 2026custody of client assets (Item 9.A): no on the filing of 2025-11-06, yes on the filing of 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 263 to 268Nov 6, 2025 to Mar 24, 2026
- HNW clients · 41 to 42Nov 6, 2025 to Mar 24, 2026
- Assets in custody · unset to 1236681.0Nov 6, 2025 to Mar 24, 2026
- Custody of client assets · false to trueNov 6, 2025 to Mar 24, 2026
- Employees · 1 to 2Nov 6, 2025 to Mar 24, 2026
- Discretionary RAUM · $121M to $140MNov 6, 2025 to Mar 24, 2026
- HNW RAUM · $91.5M to $109MNov 6, 2025 to Mar 24, 2026
- Individual RAUM · $28.9M to $32.2MNov 6, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $1.0M to $1.0MNov 6, 2025 to Mar 24, 2026
- Pension RAUM · 2054012.0 to unsetNov 6, 2025 to Mar 24, 2026
- RAUM · $122M to $141MNov 6, 2025 to Mar 24, 2026
- Accounts · 275 to 263Nov 15, 2024 to Mar 6, 2025
- Advisory employees · 2 to 1Nov 15, 2024 to Mar 6, 2025
- HNW clients · 43 to 41Nov 15, 2024 to Mar 6, 2025
- Individual clients · 43 to 48Nov 15, 2024 to Mar 6, 2025
- Employees · 2 to 1Nov 15, 2024 to Mar 6, 2025
- Financial planning clients · 51-100 to 51-100Nov 15, 2024 to Mar 6, 2025
- State-registered IARs · 2 to 1Nov 15, 2024 to Mar 6, 2025
- Other offices · 2 to 1Nov 15, 2024 to Mar 6, 2025
- Discretionary RAUM · $105M to $121MNov 15, 2024 to Mar 6, 2025
- HNW RAUM · $81.0M to $91.5MNov 15, 2024 to Mar 6, 2025
- Individual RAUM · $23.1M to $28.9MNov 15, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $971,818 to $1.0MNov 15, 2024 to Mar 6, 2025
- Pension RAUM · $1.8M to $2.1MNov 15, 2024 to Mar 6, 2025
- RAUM · $106M to $122MNov 15, 2024 to Mar 6, 2025
- Other offices · 1 to 2Mar 18, 2024 to Nov 15, 2024
- Accounts · 271 to 275Aug 23, 2023 to Mar 18, 2024
- HNW clients · 41 to 43Aug 23, 2023 to Mar 18, 2024
- Individual clients · 47 to 43Aug 23, 2023 to Mar 18, 2024
- Discretionary RAUM · $95.5M to $105MAug 23, 2023 to Mar 18, 2024
- HNW RAUM · $72.6M to $81.0MAug 23, 2023 to Mar 18, 2024
- Individual RAUM · $22.0M to $23.1MAug 23, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $916,530 to $971,818Aug 23, 2023 to Mar 18, 2024
- Pension RAUM · $1.9M to $1.8MAug 23, 2023 to Mar 18, 2024
- RAUM · $96.5M to $106MAug 23, 2023 to Mar 18, 2024
- Other offices · 0 to 1Mar 30, 2023 to Aug 23, 2023
- Accounts · 261 to 271Dec 15, 2022 to Mar 30, 2023
- Advisory employees · 1 to 2Dec 15, 2022 to Mar 30, 2023
- HNW clients · 33 to 41Dec 15, 2022 to Mar 30, 2023
- Individual clients · 49 to 47Dec 15, 2022 to Mar 30, 2023
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
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212) 730-7029reportedpublic record, Form ADV, Mar 24, 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
- $141Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026