DFX Intelligence
RIA Intelligence
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SEC-registered adviser
I•••••••• A••••••• P••••••• L••
Latest filing Mar 28, 2026
First filing on the tape Jun 30, 2023 · 6 filings
SEC status approved since Jul 31, 2023
RAUM
$46.1M
reported, Item 5.F
Discretionary
20%
of RAUM
Private clients
100%
$46.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$23.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$46.1M as of Mar 28, 2026
Mar 8, 2024$36.3M then
HNW client RAUM$39.3M as of Mar 28, 2026
Mar 8, 2024$29.2M then
State-registered IARs (5.B.3)2 as of Mar 28, 2026
Mar 8, 20242 then
Employees (5.A)2 as of Mar 28, 2026
Mar 8, 20242 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 28, 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
- RAUM per advisor
- $23.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $485,347derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 20%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
- 0.7derived3 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
- +8.1%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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$39.3M85%
- Individuals$6.8M15%
- Individual clients
- 25reported
- HNW clients
- 15reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 95reported
- Financial planning clients
- 26-50reported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• S•••• C••• | New York, Ny | Oct 25, 2012 | 22 y | 0 |
| A••• T••• L••••••Personal Financial Specialist | New York, Ny | Oct 14, 2021 | 21 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
- C•••• R•••• S•••• · Managing Member/Chief Compliance Officercontrolsince 02/2012 · owns 50% to 75%
- L••••••• A•••• T••• · Managing Membercontrolsince 02/2012 · owns 50% to 75%
Related persons
Schedule D 7.A
- I•••••••• F•••••••• P•••••••• I•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
- Scarsdale, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 79 to 95Mar 19, 2025 to Mar 28, 2026
- HNW clients · 14 to 15Mar 19, 2025 to Mar 28, 2026
- Individual clients · 23 to 25Mar 19, 2025 to Mar 28, 2026
- Discretionary RAUM · $8.3M to $9.1MMar 19, 2025 to Mar 28, 2026
- HNW RAUM · $33.3M to $39.3MMar 19, 2025 to Mar 28, 2026
- Individual RAUM · $7.0M to $6.8MMar 19, 2025 to Mar 28, 2026
- Non-discretionary RAUM · $32.0M to $37.0MMar 19, 2025 to Mar 28, 2026
- RAUM · $40.3M to $46.1MMar 19, 2025 to Mar 28, 2026
- Accounts · 97 to 79Apr 17, 2024 to Mar 19, 2025
- Individual clients · 26 to 23Apr 17, 2024 to Mar 19, 2025
- Financial planning clients · 26-50 to 26-50Apr 17, 2024 to Mar 19, 2025
- Discretionary RAUM · $7.0M to $8.3MApr 17, 2024 to Mar 19, 2025
- HNW RAUM · $29.2M to $33.3MApr 17, 2024 to Mar 19, 2025
- Individual RAUM · $7.1M to $7.0MApr 17, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $29.3M to $32.0MApr 17, 2024 to Mar 19, 2025
- RAUM · $36.3M to $40.3MApr 17, 2024 to Mar 19, 2025
- Accounts · 109 to 97Aug 1, 2023 to Mar 8, 2024
- HNW clients · 6 to 14Aug 1, 2023 to Mar 8, 2024
- Individual clients · 31 to 26Aug 1, 2023 to Mar 8, 2024
- Discretionary RAUM · $7.3M to $7.0MAug 1, 2023 to Mar 8, 2024
- HNW RAUM · $6.3M to $29.2MAug 1, 2023 to Mar 8, 2024
- Individual RAUM · $27.2M to $7.1MAug 1, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $26.3M to $29.3MAug 1, 2023 to Mar 8, 2024
- RAUM · $33.6M to $36.3MAug 1, 2023 to Mar 8, 2024
Signals
1 dated events
- I•••••••• A••••••• P••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2023 · 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
- Principal office phone
- 646-435-1506reportedpublic record, Form ADV, Mar 28, 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
- $23.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026