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.

Former SEC-registered adviser

Ariston Wealth Management, L.P.

Former SEC-registered adviserChicago, IllinoisCRD 158220SEC 801-72571IAPD
Latest filing Jul 9, 2013
First filing on the tape Nov 10, 2011 · 24 filings
RAUM
$29.0M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$609,790 gross assets
History
24 filings and snapshots on the tape
RAUM$29.0M as of Apr 1, 2013
Mar 30, 2012$190M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2013
Mar 30, 20120 then
Employees (5.A): 14
Private funds: 1
RAUM -85% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 9, 2013; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$337,574derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
-85%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
86reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
2 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Vitalis Capital Partners IIHedge Fund$609,7905Dec 13, 2012
Vitalis Capital PartnersHedge Fund$100,0001Dec 13, 2012
Owners and control persons
Schedule A and B, latest filing
  • Dale Bradford Szczecinski · President And Ccocontrol
    since 07/2013 · owns less than 5%
  • A Imtiaz Khan · Member
    since 09/2011 · owns 75% or more of 45 Broadway LLC
Entity owners
  • 45 Broadway LLC · General Partner
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Longwood, FL
  • New York, NY
  • New York, NY
What changed
consecutive filings, newest first
  • Business name · ARISTON WEALTH MANAGEMENT, LP to ARISTON WEALTH MANAGEMENT, L.P.
    Jul 5, 2013 to Jul 9, 2013
  • BD registered reps · 14 to 15
    May 29, 2013 to Jul 5, 2013
  • Employees · 14 to 15
    May 29, 2013 to Jul 5, 2013
  • Legal name · ARISTON WEALTH MANAGEMENT, LP to ARISTON WEALTH MANAGEMENT, L.P.
    May 29, 2013 to Jul 5, 2013
  • Accounts · 157 to 86
    Jan 17, 2013 to Apr 1, 2013
  • Advisory employees · 8 to 3
    Jan 17, 2013 to Apr 1, 2013
  • BD registered reps · 15 to 14
    Jan 17, 2013 to Apr 1, 2013
  • Employees · 15 to 14
    Jan 17, 2013 to Apr 1, 2013
  • Insurance-licensed employees · 3 to 0
    Jan 17, 2013 to Apr 1, 2013
  • Financial planning clients · 101-250 to 51-100
    Jan 17, 2013 to Apr 1, 2013
  • State-registered IARs · 15 to 0
    Jan 17, 2013 to Apr 1, 2013
  • Private funds · 2 to 1
    Jan 17, 2013 to Apr 1, 2013
  • Non-discretionary RAUM · $46.4M to $29.0M
    Jan 17, 2013 to Apr 1, 2013
  • RAUM · $46.4M to $29.0M
    Jan 17, 2013 to Apr 1, 2013
  • Related adviser · true to false
    Jan 17, 2013 to Apr 1, 2013
  • Private funds · unset to 2
    Nov 28, 2012 to Dec 13, 2012
  • Related adviser · false to true
    Nov 28, 2012 to Dec 13, 2012
  • Related broker-dealer · false to true
    Nov 28, 2012 to Dec 13, 2012
  • Accounts · 176 to 157
    Oct 1, 2012 to Nov 28, 2012
  • Advisory employees · unset to 8.0
    Oct 1, 2012 to Nov 28, 2012
  • Advisory activities · 5 to 6
    Oct 1, 2012 to Nov 28, 2012
  • BD registered reps · unset to 15.0
    Oct 1, 2012 to Nov 28, 2012
  • Employees · unset to 15.0
    Oct 1, 2012 to Nov 28, 2012
  • Insurance-licensed employees · 0 to 3
    Oct 1, 2012 to Nov 28, 2012
  • State-registered IARs · 0 to 15
    Oct 1, 2012 to Nov 28, 2012
  • Non-discretionary RAUM · $190M to $46.4M
    Oct 1, 2012 to Nov 28, 2012
  • RAUM · $190M to $46.4M
    Oct 1, 2012 to Nov 28, 2012
  • HQ city · NEW YORK to CHICAGO
    Sep 17, 2012 to Oct 1, 2012
  • HQ state · NY to IL
    Sep 17, 2012 to Oct 1, 2012
  • Accounts · 102 to 176
    Mar 2, 2012 to Mar 30, 2012
  • Financial planning clients · 26-50 to 101-250
    Mar 2, 2012 to Mar 30, 2012
  • Non-discretionary RAUM · $32.0M to $190M
    Mar 2, 2012 to Mar 30, 2012
  • RAUM · $32.0M to $190M
    Mar 2, 2012 to Mar 30, 2012
  • Related broker-dealer · true to false
    Feb 21, 2012 to Feb 28, 2012
  • Insurance-licensed employees · unset to 0.0
    Dec 22, 2011 to Jan 25, 2012
  • Financial planning clients · 0 to 26-50
    Dec 22, 2011 to Jan 25, 2012
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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026