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
R•• C•••••• M••••••••• L••
Latest filing Aug 4, 2026
First filing on the tape Feb 5, 2016 · 35 filings
SEC status approved since Feb 9, 2016
RAUM
$74.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$71.7M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$24.8M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$74.3M as of Aug 4, 2026
Mar 8, 2016$105M then
HNW client RAUM$71.0M as of Aug 4, 2026
Mar 30, 2018$180M then
State-registered IARs (5.B.3)1 as of Aug 4, 2026
Mar 8, 20162 then
Employees (5.A)2 as of Aug 4, 2026
Mar 8, 20163 then
Private funds: no history
RAUM -5.2% over the last fiscal year-7.1% a year over threeIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Aug 4, 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
- $24.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $525,810derivedHNW RAUM over HNW clients
- Average account
- $502,231derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assets, otherreportedItem 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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$71.0M95%
- Corporations and businesses$2.1M2.8%
- Individuals$683,2430.9%
- Pension and profit-sharing plans$501,0260.7%
- Charitable organizations$43,6850.1%
- Individual clients
- 5reported
- HNW clients
- 135reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 148reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| P••• P••••• M••••••• | Corona Del Mar, Ca | Jun 22, 2012 | 44 y | 0 |
| M•••••• M••• N•••••• | Corona Del Mar, Ca | Jun 19, 2017 | 14 y | 0 |
| S•••• M••• G•••••••• | Hackensack, Nj | Feb 19, 2026 | 40 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- E••• V•••••• Y•••• to E••••••• W•••••Mar 3, 2021 · RIA to RIA
- R••••• A•••• D•••••••• to D•••• W••••• M••••••••• L••Nov 2, 2015 · Other
Joined, latest
- S•••• M••• G•••••••• from H•••••• J• S••• C•••••• M••••••••• I•••Feb 19, 2026 · RIA to RIA
- R••••• A•••• D•••••••• from G•••••••• I••••••••• M••••••••• I•••Jul 26, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• T••••• K••• · Chief Compliance Officercontrolsince 08/2023 · owns less than 5%
- D••••••••• R•••••• A•••• · Ownercontrolsince 06/2012 · owns 25% to 50%
- N••••••• M••••••• M••• · Managing Member, Partnercontrolsince 06/2012 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Corona Del Mar, Ca | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · RYE BROOK to Apr 21, 2026 to May 20, 2026
- HQ state · NY to Apr 21, 2026 to May 20, 2026
- Accounts · 171 to 148Oct 1, 2025 to Jan 13, 2026
- Charity clients · unset to 1.0Oct 1, 2025 to Jan 13, 2026
- Corporate clients · 8 to 6Oct 1, 2025 to Jan 13, 2026
- HNW clients · 153 to 135Oct 1, 2025 to Jan 13, 2026
- Individual clients · 8 to 5Oct 1, 2025 to Jan 13, 2026
- Pension plan clients · unset to 1.0Oct 1, 2025 to Jan 13, 2026
- State-registered IARs · 2 to 1Oct 1, 2025 to Jan 13, 2026
- Discretionary RAUM · $78.3M to $74.3MOct 1, 2025 to Jan 13, 2026
- HNW RAUM · $74.2M to $71.0MOct 1, 2025 to Jan 13, 2026
- Individual RAUM · $1.3M to $683,243Oct 1, 2025 to Jan 13, 2026
- Non-discretionary RAUM · $122,992 to $0Oct 1, 2025 to Jan 13, 2026
- Pension RAUM · $425,667 to $501,026Oct 1, 2025 to Jan 13, 2026
- RAUM · $78.4M to $74.3MOct 1, 2025 to Jan 13, 2026
- Assets in custody · 111270.0 to unsetJun 3, 2025 to Jul 8, 2025
- Custody of client assets · true to falseJun 3, 2025 to Jul 8, 2025
- Financial planning clients · unset to Jun 3, 2025 to Jul 8, 2025
- State-registered IARs · 1 to 2Jun 3, 2025 to Jul 8, 2025
- Other offices · 0 to 1Jun 3, 2025 to Jul 8, 2025
- Accounts · 178 to 171Mar 29, 2024 to Mar 31, 2025
- Corporate clients · 10 to 8Mar 29, 2024 to Mar 31, 2025
- HNW clients · 159 to 153Mar 29, 2024 to Mar 31, 2025
- Assets in custody · unset to 111270.0Mar 29, 2024 to Mar 31, 2025
- Custody of client assets · false to trueMar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $85.8M to $78.3MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $78.3M to $74.2MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $2.1M to $1.3MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $120,400 to $122,992Mar 29, 2024 to Mar 31, 2025
- Pension RAUM · unset to 425667.0Mar 29, 2024 to Mar 31, 2025
- RAUM · $85.9M to $78.4MMar 29, 2024 to Mar 31, 2025
- Accounts · 190 to 178Jun 8, 2023 to Mar 29, 2024
- Corporate clients · 8 to 10Jun 8, 2023 to Mar 29, 2024
- HNW clients · 173 to 159Jun 8, 2023 to Mar 29, 2024
- Individual clients · 7 to 8Jun 8, 2023 to Mar 29, 2024
- Employees · 1 to 2Jun 8, 2023 to Mar 29, 2024
- Discretionary RAUM · $92.0M to $85.8MJun 8, 2023 to Mar 29, 2024
- HNW RAUM · $86.4M to $78.3MJun 8, 2023 to Mar 29, 2024
- Individual RAUM · $1.6M to $2.1MJun 8, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $649,287 to $120,400Jun 8, 2023 to Mar 29, 2024
Signals
4 dated events
- Kate Tracy Abbott (Chief Compliance Officer) appeared on Schedule A of R•• C•••••• M••••••••• L••Mar 29, 2024 · Control person joined · fact
- Cooper Ashleigh Swayze (Cco) no longer on Schedule A of R•• C•••••• M••••••••• L•• (listed 2023-06-08, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Allan Robert Defruscio (Owner) appeared on Schedule A of R•• C•••••• M••••••••• L••Mar 29, 2022 · Control person joined · fact
- R•• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 5, 2016 · 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
- 203-992-1100reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.r•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-992-1100reportedpublic record, Form ADV, Aug 4, 2026
- Contact form
- r•••••••••.comreportedpublished 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
- $24.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026