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
W•••• A•••• M••••••••• L••
Latest filing May 4, 2026
First filing on the tape Mar 30, 2012 · 34 filings
SEC status approved since Oct 1, 2009
RAUM
$781M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
33%
$261M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$781M
derived; firm RAUM over IAPD count
Employees
16
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
13
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$781M as of May 4, 2026
Mar 30, 2012$316M then
HNW client RAUM$257M as of May 4, 2026
Mar 29, 2018$105M then
State-registered IARs (5.B.3)0 as of May 4, 2026
Mar 27, 20130 then
Employees (5.A)16 as of May 4, 2026
Mar 27, 201311 then
Private funds13 as of May 4, 2026
Mar 30, 20125 then
RAUM +4.7% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $781MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 308derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $888,190derivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 27%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 16.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $746M, 10 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$257M35%
- Pooled investment vehicles$238M32%
- State and municipal entities$195M27%
- Corporations and businesses$24.3M3.3%
- Pension and profit-sharing plans$15.0M2.0%
- Individuals$4.4M0.6%
- Charitable organizations$1.3M0.2%
- Individual clients
- 19reported
- HNW clients
- 289reported
- Pension plan clients
- 4reported
- Charitable clients
- 1reported
- Accounts
- 405reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $746M for 10 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.33 fund_share=0.3 institutional_share=0.27 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•••• R••••• | New York, Ny | May 13, 2014 | 34 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
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••• P••••••• I••••••• L• | Private Equity Fund | $226M | 70 | Mar 27, 2013 |
| W•••• P••••••• I••••••• I• L• | Private Equity Fund | $162M | 49 | Aug 24, 2017 |
| W•• E•••••• C••••••••• F••• L• | Private Equity Fund | $101M | 81 | Mar 29, 2024 |
| U••• W•••• A•• L••• I••••••••• L••• | Private Equity Fund | $77.0M | 80 | Mar 30, 2012 |
| U•• W•••• S•••••••• L••no longer reported | Private Equity Fund | $34.9M | 25 | Mar 30, 2012 |
| W•• G••••• W•••• E•••••• L• | Other Private Fund | $30.6M | 31 | Mar 31, 2015 |
| W•••• P••••••• I••••••••• L•• | Private Equity Fund | $25.9M | 28 | Mar 30, 2012 |
| T•• M••••• F••• ••••••• L• | Hedge Fund | $19.6M | 3 | Jan 16, 2013 |
| T•• L•• | Hedge Fund | $13.4M | 32 | Mar 30, 2012 |
| W•••• P••••••• I••••••• I•• L• | Private Equity Fund | $11.4M | 8 | Jan 24, 2024 |
| W•••••• L•no longer reported | Other Private Fund | $9.4M | 55 | Mar 31, 2015 |
| T•• F••••• F••• •••••••• L• | Hedge Fund | $8.3M | 8 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• J•••• T••••• · Membercontrolsince 10/2005 · owns less than 5%
- D••••• D•••••• D•• · Managing Membercontrolsince 10/2005 · owns 25% to 50%
- D••••••• M••••••• J••• · Managing Membercontrolsince 10/2005 · owns 25% to 50%
- K••••••••• J••••• · Cfocontrolsince 01/2011 · owns less than 5%
- R•••••• M•••• H•••• · Chief Compliance Officercontrolsince 10/2006 · owns 10% to 25%
Related persons
Schedule D 7.A
- J••• T••••• A•••••••insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 388 to 405Aug 19, 2025 to Mar 31, 2026
- HNW clients · 276 to 289Aug 19, 2025 to Mar 31, 2026
- Pooled vehicle clients · 64 to 66Aug 19, 2025 to Mar 31, 2026
- Private funds · 11 to 13Aug 19, 2025 to Mar 31, 2026
- Discretionary RAUM · $746M to $781MAug 19, 2025 to Mar 31, 2026
- HNW RAUM · $249M to $257MAug 19, 2025 to Mar 31, 2026
- Individual RAUM · $4.6M to $4.4MAug 19, 2025 to Mar 31, 2026
- Pension RAUM · $15.6M to $15.0MAug 19, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $210M to $238MAug 19, 2025 to Mar 31, 2026
- RAUM · $746M to $781MAug 19, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0May 6, 2025 to Aug 19, 2025
- Accounts · 376 to 388Apr 26, 2024 to Mar 28, 2025
- HNW clients · 270 to 276Apr 26, 2024 to Mar 28, 2025
- Individual clients · 17 to 19Apr 26, 2024 to Mar 28, 2025
- Pooled vehicle clients · 61 to 64Apr 26, 2024 to Mar 28, 2025
- Assets in custody · $541M to $746MApr 26, 2024 to Mar 28, 2025
- Private funds · 10 to 11Apr 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $665M to $746MApr 26, 2024 to Mar 28, 2025
- HNW RAUM · $229M to $249MApr 26, 2024 to Mar 28, 2025
- Individual RAUM · $8.5M to $4.6MApr 26, 2024 to Mar 28, 2025
- Pension RAUM · $16.0M to $15.6MApr 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $182M to $210MApr 26, 2024 to Mar 28, 2025
- RAUM · $665M to $746MApr 26, 2024 to Mar 28, 2025
- Accounts · 279 to 376Feb 6, 2024 to Mar 29, 2024
- Corporate clients · 4 to 5Feb 6, 2024 to Mar 29, 2024
- HNW clients · 201 to 270Feb 6, 2024 to Mar 29, 2024
- Individual clients · 14 to 17Feb 6, 2024 to Mar 29, 2024
- Pooled vehicle clients · 40 to 61Feb 6, 2024 to Mar 29, 2024
- Private funds · 9 to 10Feb 6, 2024 to Mar 29, 2024
- Discretionary RAUM · $541M to $665MFeb 6, 2024 to Mar 29, 2024
- HNW RAUM · $186M to $229MFeb 6, 2024 to Mar 29, 2024
- Individual RAUM · $8.0M to $8.5MFeb 6, 2024 to Mar 29, 2024
- Pension RAUM · $15.6M to $16.0MFeb 6, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $172M to $182MFeb 6, 2024 to Mar 29, 2024
- RAUM · $541M to $665MFeb 6, 2024 to Mar 29, 2024
- Private funds · 8 to 9Apr 28, 2023 to Jan 24, 2024
- Accounts · 284 to 279Sep 1, 2022 to Mar 31, 2023
- HNW clients · 200 to 201Sep 1, 2022 to Mar 31, 2023
- Individual clients · 22 to 14Sep 1, 2022 to Mar 31, 2023
- Pooled vehicle clients · 39 to 40Sep 1, 2022 to Mar 31, 2023
Signals
3 dated events
- W•••• A•••• M••••••••• L•• reported RAUM $450.2M, up 33% from $339.5M (2021-06-01 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- W•••• A•••• M••••••••• L•• reported RAUM $291.2M, down 50% from $588.0M (2018-04-27 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- W•••• A•••• M••••••••• L•• reported RAUM $588.0M, up 57% from $373.8M (2017-08-24 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- W•••• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- W•••• A•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- PVW••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-754-5132reportedpublic record, Form ADV, May 4, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $781Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026