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
T••••••••• T••••••• S••••••••• I•••
Latest filing Jan 30, 2026
First filing on the tape Feb 21, 2012 · 44 filings
SEC status approved since Aug 5, 2011
RAUM
$515M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
49%
$254M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$515M
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
44 filings and snapshots on the tape
RAUM$515M as of Jan 30, 2026
Feb 21, 2012$117M then
HNW client RAUM$254M as of Jan 30, 2026
May 30, 2018$609M then
State-registered IARs (5.B.3)1 as of Jan 30, 2026
Feb 21, 20120 then
Employees (5.A)1 as of Jan 30, 2026
Apr 17, 20139 then
Private funds: no history
RAUM +14% over the last fiscal year+1.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $515MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.1MderivedHNW RAUM over HNW clients
- Average account
- $9.4MderivedRAUM 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
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.5%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$254M65%
- Corporations and businesses$139M35%
- Individual clients
- 0reported
- HNW clients
- 21reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 55reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.49 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• K•••• A••••••• | Scarsdale, Ny | Jul 31, 2020 | 17 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• A•••••••• · President, Treasurer, Ceocontrolsince 01/2020 · owns 50% to 75% of T••••••••• H••••••• I•••
- G•••••• E••• · Vice President, Secretarycontrolsince 01/2020 · owns 50% to 75% of T••••••••• H••••••• I•••
- A•••••••• R••••••• K•••• · Chief Compliance Officersince 02/2012 · owns less than 5%
Entity owners
- T••••••••• H••••••• I••• · Ownerdirect · 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.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Jan 30, 2026RAUM per account of $9,368,386 against a peer median of $610,947 (1443 comparable advisers, 99.0th percentile, 5.9 robust deviations)peers: independent wealth managers, $500M to $1B (1,443) · 99% percentile
- low discretionary shareStatic outlier · filing Jan 30, 2026discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 56 to 55Jan 16, 2025 to Jan 30, 2026
- HNW clients · 22 to 21Jan 16, 2025 to Jan 30, 2026
- HNW RAUM · $209M to $254MJan 16, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $450M to $515MJan 16, 2025 to Jan 30, 2026
- RAUM · $450M to $515MJan 16, 2025 to Jan 30, 2026
- Accounts · 61 to 56Jan 22, 2024 to Jan 16, 2025
- Corporate clients · 8 to 7Jan 22, 2024 to Jan 16, 2025
- Financial planning clients · unset to Jan 22, 2024 to Jan 16, 2025
- HQ city · unset to Jan 22, 2024 to Jan 16, 2025
- HQ state · unset to Jan 22, 2024 to Jan 16, 2025
- HNW RAUM · $199M to $209MJan 22, 2024 to Jan 16, 2025
- Non-discretionary RAUM · $460M to $450MJan 22, 2024 to Jan 16, 2025
- RAUM · $460M to $450MJan 22, 2024 to Jan 16, 2025
- Accounts · 63 to 61Jan 17, 2023 to Jan 22, 2024
- HNW RAUM · $185M to $199MJan 17, 2023 to Jan 22, 2024
- Non-discretionary RAUM · $500M to $460MJan 17, 2023 to Jan 22, 2024
- RAUM · $500M to $460MJan 17, 2023 to Jan 22, 2024
- Accounts · 65 to 63Oct 19, 2022 to Jan 17, 2023
- HNW clients · 24 to 22Oct 19, 2022 to Jan 17, 2023
- HNW RAUM · $206M to $185MOct 19, 2022 to Jan 17, 2023
- Non-discretionary RAUM · $531M to $500MOct 19, 2022 to Jan 17, 2023
- RAUM · $531M to $500MOct 19, 2022 to Jan 17, 2023
- Corporate clients · 9 to 8Sep 23, 2021 to May 23, 2022
- HNW RAUM · $226M to $206MSep 23, 2021 to May 23, 2022
- Non-discretionary RAUM · $585M to $531MSep 23, 2021 to May 23, 2022
- RAUM · $585M to $531MSep 23, 2021 to May 23, 2022
- Employees · 3 to 1Aug 10, 2021 to Sep 23, 2021
- Employees · 4 to 3Jun 15, 2021 to Aug 10, 2021
- State-registered IARs · 2 to 1Jun 15, 2021 to Aug 10, 2021
- Accounts · 69 to 65May 29, 2020 to Jun 7, 2021
- HNW clients · 25 to 24May 29, 2020 to Jun 7, 2021
- Employees · 2 to 4May 29, 2020 to Jun 7, 2021
- HNW RAUM · $151M to $226MMay 29, 2020 to Jun 7, 2021
- Non-discretionary RAUM · $436M to $585MMay 29, 2020 to Jun 7, 2021
- RAUM · $436M to $585MMay 29, 2020 to Jun 7, 2021
- Accounts · 68 to 69Dec 9, 2019 to May 29, 2020
- Charity clients · unset to 0.0Dec 9, 2019 to May 29, 2020
- Corporate clients · 6 to 9Dec 9, 2019 to May 29, 2020
- Individual clients · unset to 0.0Dec 9, 2019 to May 29, 2020
- Pension plan clients · unset to 0.0Dec 9, 2019 to May 29, 2020
Signals
4 dated events
- T••••••••• T••••••• S••••••••• I••• reported RAUM $585.3M, up 34% from $436.5M (2020-05-29 to 2021-06-07)Jun 7, 2021 · RAUM change · derived
- Neil Robert G••••• (Ceo) no longer on Schedule A of T••••••••• T••••••• S••••••••• I••• (listed 2019-12-09, absent 2020-05-29)May 29, 2020 · Control person left · inference
- E••• G••••• (Co-President And Co-Ceo) appeared on Schedule A of T••••••••• T••••••• S••••••••• I•••May 29, 2020 · Control person joined · fact
- A•••••••• G••••• (Co-President And Co-Ceo) appeared on Schedule A of T••••••••• T••••••• S••••••••• I•••May 29, 2020 · Control person joined · 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
- Principal office phone
- 914-589-6152reportedpublic record, Form ADV, Jan 30, 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
- $515Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026