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••••••••• A•••••••
Legal name R••••••••• A••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Feb 26, 2013 · 28 filings
SEC status approved since Mar 5, 2013
RAUM
$280M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$280M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$140M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$280M as of Mar 19, 2026
Jan 9, 2014$76.4M then
HNW client RAUM$278M as of Mar 19, 2026
Jan 24, 2018$93.3M then
State-registered IARs (5.B.3)2 as of Mar 19, 2026
Jan 9, 20141 then
Employees (5.A)3 as of Mar 19, 2026
Jan 9, 20141 then
Private funds: no history
RAUM -2.0% over the last fiscal year+1.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 19, 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
- RAUM per advisor
- $140MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $989,746derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$278M99%
- Individuals$2.1M0.7%
- Individual clients
- 7reported
- HNW clients
- 54reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 283reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• R•••••• K••••••Chartered Financial Analyst | Great Barrington, Ma | Mar 19, 2020 | 24 y | 1 |
| B••••• A••••••• S•••••••• | Harrison, Ny | Mar 23, 2020 | 26 y | 2 |
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
- T••••• J•••• S•••••••• to B•••••••• I••••••••• M••••••••• L••Jul 1, 2011 · Other
Joined, latest
- T••••• J•••• S•••••••• from F••••• I•••••••••Aug 13, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• E•••• R•••••• · Partner And Co-Chief Investment Officercontrolsince 09/2016 · owns less than 5%
- S••••••••• B•••••• A••••••• · Chief Compliance Officercontrolsince 01/2009 · owns 50% to 75%
- S••••••••• M•••••••• C• · Membersince 01/2009 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Delray Beach, FL1 employees
- Harrison, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 232 to 283Feb 19, 2025 to Mar 19, 2026
- HNW clients · 55 to 54Feb 19, 2025 to Mar 19, 2026
- Individual clients · 8 to 7Feb 19, 2025 to Mar 19, 2026
- Employees · 2 to 3Feb 19, 2025 to Mar 19, 2026
- Discretionary RAUM · $270M to $280MFeb 19, 2025 to Mar 19, 2026
- HNW RAUM · $284M to $278MFeb 19, 2025 to Mar 19, 2026
- Individual RAUM · $2.2M to $2.1MFeb 19, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $15.5M to $0Feb 19, 2025 to Mar 19, 2026
- RAUM · $286M to $280MFeb 19, 2025 to Mar 19, 2026
- Accounts · 239 to 232Mar 7, 2024 to Feb 19, 2025
- HNW clients · 53 to 55Mar 7, 2024 to Feb 19, 2025
- Individual clients · 9 to 8Mar 7, 2024 to Feb 19, 2025
- Financial planning clients · unset to Mar 7, 2024 to Feb 19, 2025
- Discretionary RAUM · $260M to $270MMar 7, 2024 to Feb 19, 2025
- HNW RAUM · $269M to $284MMar 7, 2024 to Feb 19, 2025
- Individual RAUM · $1.8M to $2.2MMar 7, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $11.0M to $15.5MMar 7, 2024 to Feb 19, 2025
- RAUM · $271M to $286MMar 7, 2024 to Feb 19, 2025
- Accounts · 227 to 239Feb 16, 2023 to Mar 1, 2024
- Advisory activities · 4 to 3Feb 16, 2023 to Mar 1, 2024
- HNW clients · 49 to 53Feb 16, 2023 to Mar 1, 2024
- Individual clients · 10 to 9Feb 16, 2023 to Mar 1, 2024
- Discretionary RAUM · $219M to $260MFeb 16, 2023 to Mar 1, 2024
- HNW RAUM · $268M to $269MFeb 16, 2023 to Mar 1, 2024
- Individual RAUM · $2.0M to $1.8MFeb 16, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $51.3M to $11.0MFeb 16, 2023 to Mar 1, 2024
- RAUM · $270M to $271MFeb 16, 2023 to Mar 1, 2024
- Accounts · 181 to 227Feb 1, 2022 to Feb 16, 2023
- Advisory activities · 3 to 4Feb 1, 2022 to Feb 16, 2023
- HNW clients · 47 to 49Feb 1, 2022 to Feb 16, 2023
- Individual clients · 12 to 10Feb 1, 2022 to Feb 16, 2023
- Other offices · 1 to 2Feb 1, 2022 to Feb 16, 2023
- Discretionary RAUM · $222M to $219MFeb 1, 2022 to Feb 16, 2023
- HNW RAUM · $303M to $268MFeb 1, 2022 to Feb 16, 2023
- Individual RAUM · $2.7M to $2.0MFeb 1, 2022 to Feb 16, 2023
- Non-discretionary RAUM · $84.3M to $51.3MFeb 1, 2022 to Feb 16, 2023
- RAUM · $306M to $270MFeb 1, 2022 to Feb 16, 2023
- Accounts · 168 to 181Nov 9, 2021 to Feb 1, 2022
- HNW clients · 41 to 47Nov 9, 2021 to Feb 1, 2022
- Individual clients · 10 to 12Nov 9, 2021 to Feb 1, 2022
Signals
2 dated events
- R••••••••• A••••••• reported RAUM $306.0M, up 54% from $199.3M (2021-11-09 to 2022-02-01)Feb 1, 2022 · RAUM change · derived
- R••••••••• A••••••• filed its initial SEC registration (Form ADV)Feb 26, 2013 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/384524reportedpublic record, Form ADV, Sep 18, 2026
- Website
- R•••••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-430-2240reportedpublic record, Form ADV, Mar 19, 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
- $140Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026