DFX Intelligence
RIA Intelligence
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SEC-registered adviser
F•••• S•• P•••••• W••••• M••••••••• L••
Latest filing Feb 12, 2026
First filing on the tape May 22, 2017 · 37 filings
SEC status approved since Jun 22, 2017
RAUM
$160M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
100%
$159M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$53.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$160M as of Feb 12, 2026
Feb 27, 2018$47.4M then
HNW client RAUM$152M as of Feb 12, 2026
Feb 27, 2018$39.6M then
State-registered IARs (5.B.3)3 as of Feb 12, 2026
Feb 27, 20181 then
Employees (5.A)3 as of Feb 12, 2026
Feb 27, 20181 then
Private funds: no history
RAUM +9.1% over the last fiscal year+11% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Feb 12, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $53.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $496,236derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$152M95%
- Individuals$7.6M4.7%
- Pension and profit-sharing plans$774,7580.5%
- Corporations and businesses$12,6270.0%
- Individual clients
- 19reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 323reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I•• A••••• P•••Certified Financial Planner, Chartered Financial Analyst | Harrison, Ny | Apr 7, 2021 | 32 y | 0 |
| S••• J•• V•••••••• | Harrison, Ny | Jun 9, 2021 | 34 y | 2 |
| M•••• F•••••• K•••• | Boynton Beach, Fl | May 19, 2025 | 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
none on the tape
Joined, latest
- S••• J•• V•••••••• from N•••• C••••• A•••••••• L••Jun 9, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••• I••• A••••• · Managing Member/Chief Compliance Officercontrolsince 01/2006 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Harrison, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Harrison, NY1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 310 to 323May 7, 2025 to Jan 8, 2026
- Advisory employees · 2 to 3May 7, 2025 to Jan 8, 2026
- HNW clients · 43 to 44May 7, 2025 to Jan 8, 2026
- Individual clients · 20 to 19May 7, 2025 to Jan 8, 2026
- State-registered IARs · 2 to 3May 7, 2025 to Jan 8, 2026
- Discretionary RAUM · $136M to $148MMay 7, 2025 to Jan 8, 2026
- HNW RAUM · $138M to $152MMay 7, 2025 to Jan 8, 2026
- Individual RAUM · $7.5M to $7.6MMay 7, 2025 to Jan 8, 2026
- Non-discretionary RAUM · $10.6M to $12.7MMay 7, 2025 to Jan 8, 2026
- Pension RAUM · $1.8M to $774,758May 7, 2025 to Jan 8, 2026
- RAUM · $147M to $160MMay 7, 2025 to Jan 8, 2026
- Financial planning clients · 51-100 to 51-100Apr 30, 2025 to May 7, 2025
- Accounts · 346 to 310Apr 30, 2024 to Jan 8, 2025
- HNW clients · 39 to 43Apr 30, 2024 to Jan 8, 2025
- Individual clients · 29 to 20Apr 30, 2024 to Jan 8, 2025
- HQ city · unset to Apr 30, 2024 to Jan 8, 2025
- HQ state · unset to Apr 30, 2024 to Jan 8, 2025
- Discretionary RAUM · $126M to $136MApr 30, 2024 to Jan 8, 2025
- HNW RAUM · $128M to $138MApr 30, 2024 to Jan 8, 2025
- Individual RAUM · $11.0M to $7.5MApr 30, 2024 to Jan 8, 2025
- Non-discretionary RAUM · $15.4M to $10.6MApr 30, 2024 to Jan 8, 2025
- Pension RAUM · $2.2M to $1.8MApr 30, 2024 to Jan 8, 2025
- RAUM · $141M to $147MApr 30, 2024 to Jan 8, 2025
- HQ city · LARCHMONT to unsetMar 13, 2024 to Apr 30, 2024
- HQ state · NY to unsetMar 13, 2024 to Apr 30, 2024
- Accounts · 338 to 346Sep 7, 2023 to Jan 10, 2024
- HNW clients · 31 to 39Sep 7, 2023 to Jan 10, 2024
- Individual clients · 33 to 29Sep 7, 2023 to Jan 10, 2024
- Discretionary RAUM · $103M to $126MSep 7, 2023 to Jan 10, 2024
- HNW RAUM · $99.4M to $128MSep 7, 2023 to Jan 10, 2024
- Individual RAUM · $14.9M to $11.0MSep 7, 2023 to Jan 10, 2024
- Non-discretionary RAUM · $13.4M to $15.4MSep 7, 2023 to Jan 10, 2024
- Pension RAUM · $2.0M to $2.2MSep 7, 2023 to Jan 10, 2024
- RAUM · $116M to $141MSep 7, 2023 to Jan 10, 2024
- Accounts · 274 to 338Jul 26, 2022 to Jan 4, 2023
- HNW clients · 35 to 31Jul 26, 2022 to Jan 4, 2023
- Individual clients · 31 to 33Jul 26, 2022 to Jan 4, 2023
- Discretionary RAUM · $111M to $103MJul 26, 2022 to Jan 4, 2023
- HNW RAUM · $123M to $99.4MJul 26, 2022 to Jan 4, 2023
- Individual RAUM · $13.8M to $14.9MJul 26, 2022 to Jan 4, 2023
Signals
1 dated events
- F•••• S•• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)May 22, 2017 · 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
- Business phone
- 631-793-6457reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 646-572-8737reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 646-783-9717reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- fifthsetwealth.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 646-783-9717reportedpublic record, Form ADV, Feb 12, 2026
- Contact form
- fifthsetwealth.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- fifthsetwealth.com/who-we-arereportedpublished by the firm, firm site, Sep 16, 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
- $53.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026