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
F•••••• W••••• M••••••••• I•••
Latest filing Mar 23, 2026
First filing on the tape Mar 27, 2012 · 40 filings
SEC status approved since Nov 5, 2010
RAUM
$2.3B
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
55%
$1.3B individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$206M
derived; firm RAUM over IAPD count
Employees
19
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$2.3B as of Mar 23, 2026
Mar 27, 2012$216M then
HNW client RAUM$816M as of Mar 23, 2026
Mar 26, 2018$216M then
State-registered IARs (5.B.3)8 as of Mar 23, 2026
Mar 27, 20120 then
Employees (5.A)19 as of Mar 23, 2026
Mar 22, 201310 then
Private funds: no history
RAUM +20% over the last fiscal year+34% a year over threeIARs 10 to 8
Practice profile
derived from the filing of Mar 23, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $206MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 197derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $395,750derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 27%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $1.3BreportedItem 5.I
- Custody
- $15.4M, 57 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$816M36%
- Pension and profit-sharing plans$602M27%
- Individuals$437M19%
- Corporations and businesses$397M17%
- State and municipal entities$11.8M0.5%
- Charitable organizations$5.7M0.2%
- Individual clients
- 1,867reported
- HNW clients
- 296reported
- Pension plan clients
- 133reported
- Charitable clients
- 7reported
- Accounts
- 5,733reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $3.4M managedreported
- Custody of client assets
- $15.4M for 57 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.55 fund_share=0.0 institutional_share=0.27 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• S••••• Y•••••• | Newburgh, Ny | Apr 20, 2016 | 20 y | 0 |
| P••••• J••••• D••••••• | Newburgh, Ny | May 8, 2017 | 26 y | 1 |
| M•••••• R•••••• P•••••••Certified Financial Planner | Newburgh, Ny | Apr 27, 2018 | 19 y | 0 |
| R••• M•••••• S•••••• | Newburgh, Ny | Oct 12, 2021 | 13 y | 0 |
| J•••• M•••••• B•••• | Newburgh, Ny | Oct 12, 2021 | 15 y | 0 |
| A•••••• D•••••• | Newburgh, Ny | Oct 12, 2021 | 11 y | 2 |
| Z•••••• M•••••• M•••••• | Newburgh, Ny | Oct 21, 2021 | 13 y | 0 |
| M•••••• J••••• W•••• | Newburgh, Ny | Sep 12, 2023 | 13 y | 0 |
| P•••••• A••••• S••• | Newburgh, Ny | Jan 22, 2024 | 13 y | 0 |
| M•••• F••••••• M••••••• A•••••• | Newburgh, Ny | Jan 2, 2025 | 11 y | 0 |
| J••• L•••• D•• B••• | Newburgh, Ny | Mar 19, 2026 | 11 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
- D•••••• E•••• M••••••••• to F•••••• F•••••••• A•••••••• L••Mar 31, 2020 · RIA to affiliated broker-dealer or bank
- J•••• B•••••• F••••••• to A•••••• P••••••• W••••• M•••••••••Mar 4, 2020 · RIA to RIA
- J••••• W••• to M••••• S••••••Oct 16, 2017 · Other
Joined, latest
- A•••••• D•••••• from S••••••••• A•••••• A•••••••• I•••Oct 12, 2021 · Affiliated broker-dealer or bank to independent RIA
- P••••• J••••• D••••••• from P••••••• A••••••••• L••May 8, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• P•••••• J••••• · Managing Directorcontrolsince 08/2010 · owns 75% or more
- M••••••• Z••••••• M•••••• · Chief Compliance Officercontrolsince 07/2025 · owns less than 5%
- B••••• B••••• H••••• · Chief Compliance Officersince 06/2020 · owns less than 5%
- B••••• J••••• M•••••• · Senior Vice Presidentsince 07/2019 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Newburgh, Ny · principal | 11 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 23, 2026M••••••• Z••••••• M•••••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2020-03-26 and 2026-03-23peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Advisory activities · 4 to 5Nov 19, 2025 to Mar 23, 2026
- Accounts · 5,215 to 5,733Nov 19, 2025 to Mar 23, 2026
- Charity clients · 5 to 7Nov 19, 2025 to Mar 23, 2026
- Corporate clients · 20 to 23Nov 19, 2025 to Mar 23, 2026
- HNW clients · 243 to 296Nov 19, 2025 to Mar 23, 2026
- Individual clients · 1,751 to 1,867Nov 19, 2025 to Mar 23, 2026
- Pension plan clients · 94 to 133Nov 19, 2025 to Mar 23, 2026
- Assets in custody · $7.7M to $15.4MNov 19, 2025 to Mar 23, 2026
- Discretionary RAUM · $1.6B to $1.9BNov 19, 2025 to Mar 23, 2026
- HNW RAUM · $634M to $816MNov 19, 2025 to Mar 23, 2026
- Individual RAUM · $387M to $437MNov 19, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $290M to $325MNov 19, 2025 to Mar 23, 2026
- Pension RAUM · $501M to $602MNov 19, 2025 to Mar 23, 2026
- RAUM · $1.9B to $2.3BNov 19, 2025 to Mar 23, 2026
- Wrap assets (manager) · $0 to $3.4MNov 19, 2025 to Mar 23, 2026
- Advisory employees · 13 to 8Jul 18, 2025 to Nov 19, 2025
- BD registered reps · 10 to 8Jul 18, 2025 to Nov 19, 2025
- State-registered IARs · 10 to 8Jul 18, 2025 to Nov 19, 2025
- Financial planning clients · 1-10 to 1-10Jun 10, 2025 to Jul 18, 2025
- Accounts · 1,980 to 5,215Jan 10, 2025 to Apr 30, 2025
- Advisory activities · 3 to 4Jan 10, 2025 to Apr 30, 2025
- Charity clients · 3 to 5Jan 10, 2025 to Apr 30, 2025
- Corporate clients · 17 to 20Jan 10, 2025 to Apr 30, 2025
- HNW clients · 231 to 243Jan 10, 2025 to Apr 30, 2025
- Individual clients · 1,329 to 1,751Jan 10, 2025 to Apr 30, 2025
- Pension plan clients · 89 to 94Jan 10, 2025 to Apr 30, 2025
- Assets in custody · $6.7M to $7.7MJan 10, 2025 to Apr 30, 2025
- Discretionary RAUM · $1.2B to $1.6BJan 10, 2025 to Apr 30, 2025
- HNW RAUM · $427M to $634MJan 10, 2025 to Apr 30, 2025
- Individual RAUM · $246M to $387MJan 10, 2025 to Apr 30, 2025
- Non-discretionary RAUM · $0 to $290MJan 10, 2025 to Apr 30, 2025
- Pension RAUM · $452M to $501MJan 10, 2025 to Apr 30, 2025
- RAUM · $1.2B to $1.9BJan 10, 2025 to Apr 30, 2025
- Advisory employees · 12 to 13Oct 1, 2024 to Jan 10, 2025
- BD registered reps · 9 to 10Oct 1, 2024 to Jan 10, 2025
- Employees · 18 to 19Oct 1, 2024 to Jan 10, 2025
- State-registered IARs · 9 to 10Oct 1, 2024 to Jan 10, 2025
- Accounts · 1,943 to 1,980Sep 26, 2023 to Mar 21, 2024
- BD registered reps · 8 to 9Sep 26, 2023 to Mar 21, 2024
- Corporate clients · 24 to 17Sep 26, 2023 to Mar 21, 2024
Signals
4 dated events
- F•••••• W••••• M••••••••• I••• reported RAUM $1.9B, up 60% from $1.2B (2025-01-10 to 2025-04-30)Apr 30, 2025 · RAUM change · derived
- Monique Schulman (Chief Compliance Officer) no longer on Schedule A of F•••••• W••••• M••••••••• I••• (listed 2020-05-28, absent 2020-06-17)Jun 17, 2020 · Control person left · inference
- J••••• Salvatore Timperio (Chief Operating Officer) no longer on Schedule A of F•••••• W••••• M••••••••• I••• (listed 2019-03-12, absent 2019-09-12)Sep 12, 2019 · Control person left · inference
- F•••••• W••••• M••••••••• I••• reported RAUM $685.5M, up 32% from $518.8M (2017-05-25 to 2018-03-26)Mar 26, 2018 · 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
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/F••••••-WEALTH-MANAGEMENT-Sreportedpublic record, Form ADV, Sep 18, 2026
- Website
- F••••••WEALTHMGMT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 845-691-4035reportedpublic record, Form ADV, Mar 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
- $206Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026