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••••••• S•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Aug 27, 2024 · 5 filings
SEC status approved since Sep 26, 2024
RAUM
$26.8M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$26.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$26.8M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$26.8M as of Mar 26, 2026
Mar 7, 2025$29.0M then
HNW client RAUM: $14.5M
State-registered IARs (5.B.3)1 as of Mar 26, 2026
Mar 7, 20251 then
Employees (5.A)1 as of Mar 26, 2026
Mar 7, 20251 then
Private funds: no history
RAUM -7.5% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 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
- $26.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $596,297derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- is an insurance broker or agent (6.A.6)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$14.5M54%
- Individuals$12.2M46%
- Pension and profit-sharing plans$120,0000.4%
- Individual clients
- 36reported
- HNW clients
- 9reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 45reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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 |
|---|---|---|---|---|
| D••••• A• D•••••••Certified Financial Planner | Rhinebeck, Ny | Apr 1, 2022 | 23 y | 1 |
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
- D••••• A• D••••••• from W••••• S••••• S••••••••• I•••Apr 1, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• D•••••• A• · Managing Partner/Chief Compliance Officercontrolsince 08/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 44 to 45Jun 4, 2025 to Mar 26, 2026
- HNW clients · unset to 9.0Jun 4, 2025 to Mar 26, 2026
- Individual clients · 44 to 36Jun 4, 2025 to Mar 26, 2026
- Pension plan clients · unset to 1.0Jun 4, 2025 to Mar 26, 2026
- HNW RAUM · unset to 14478539.0Jun 4, 2025 to Mar 26, 2026
- Individual RAUM · $29.0M to $12.2MJun 4, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $29.0M to $26.8MJun 4, 2025 to Mar 26, 2026
- Pension RAUM · unset to 120000.0Jun 4, 2025 to Mar 26, 2026
- RAUM · $29.0M to $26.8MJun 4, 2025 to Mar 26, 2026
- Financial planning clients · 1-10 to 1-10Mar 7, 2025 to Jun 4, 2025
- HNW clients · 7.0 to unsetAug 29, 2024 to Mar 7, 2025
- Individual clients · 37 to 44Aug 29, 2024 to Mar 7, 2025
- HNW RAUM · 10500000.0 to unsetAug 29, 2024 to Mar 7, 2025
- Individual RAUM · $24.3M to $29.0MAug 29, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $34.8M to $29.0MAug 29, 2024 to Mar 7, 2025
- RAUM · $34.8M to $29.0MAug 29, 2024 to Mar 7, 2025
Signals
1 dated events
- D•• A••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Aug 27, 2024 · 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
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-234-4881reportedpublic record, Form ADV, Mar 26, 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
- $26.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026