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
W••••••• A•••• M•••••••••
Legal name R••• A••••••• L••
Latest filing Feb 18, 2026
First filing on the tape Aug 28, 2012 · 35 filings
SEC status approved since Sep 13, 2012
RAUM
$54.5M
reported, Item 5.F
Discretionary
55%
of RAUM
Private clients
100%
$54.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$54.5M
derived; firm RAUM over IAPD count
Employees
1
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$54.5M as of Feb 18, 2026
Jan 7, 2013$37.0M then
HNW client RAUM$51.1M as of Feb 18, 2026
Jan 24, 2018$29.7M then
State-registered IARs (5.B.3)0 as of Feb 18, 2026
Jan 7, 20132 then
Employees (5.A)1 as of Feb 18, 2026
Jan 7, 20132 then
Private funds: no history
RAUM +12% over the last fiscal year+5.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 18, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $54.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $17.0MderivedHNW RAUM over HNW clients
- Average account
- $893,152derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 55%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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +40%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, otherreportedItem 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$51.1M94%
- Individuals$3.4M6.2%
- Individual clients
- 4reported
- HNW clients
- 3reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 61reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• P•••••• C•••••• | Pearl River, Ny | Aug 16, 2021 | 16 y | 2 |
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
- C•••••• P•••••• C•••••• from U•• F•••••••• S••••••• I•••Aug 16, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• C••••••• P•••••• · Member/Chief Compliance Officercontrolsince 05/2012 · owns 75% or more
- C••••••• S•••••• C••••••• · Ownersince 09/2014 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 58 to 61Feb 18, 2025 to Feb 18, 2026
- Individual clients · 2 to 4Feb 18, 2025 to Feb 18, 2026
- Discretionary RAUM · $25.6M to $30.2MFeb 18, 2025 to Feb 18, 2026
- HNW RAUM · $47.2M to $51.1MFeb 18, 2025 to Feb 18, 2026
- Individual RAUM · $1.3M to $3.4MFeb 18, 2025 to Feb 18, 2026
- Non-discretionary RAUM · $22.8M to $24.3MFeb 18, 2025 to Feb 18, 2026
- RAUM · $48.5M to $54.5MFeb 18, 2025 to Feb 18, 2026
- Accounts · 52 to 58Feb 12, 2024 to Feb 18, 2025
- Financial planning clients · unset to Feb 12, 2024 to Feb 18, 2025
- Discretionary RAUM · $31.1M to $25.6MFeb 12, 2024 to Feb 18, 2025
- HNW RAUM · $47.7M to $47.2MFeb 12, 2024 to Feb 18, 2025
- Individual RAUM · $880,836 to $1.3MFeb 12, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $17.5M to $22.8MFeb 12, 2024 to Feb 18, 2025
- RAUM · $48.6M to $48.5MFeb 12, 2024 to Feb 18, 2025
- Accounts · 63 to 52Oct 3, 2023 to Feb 12, 2024
- Discretionary RAUM · $32.2M to $31.1MOct 3, 2023 to Feb 12, 2024
- HNW RAUM · $48.6M to $47.7MOct 3, 2023 to Feb 12, 2024
- Individual RAUM · $691,390 to $880,836Oct 3, 2023 to Feb 12, 2024
- Non-discretionary RAUM · $17.1M to $17.5MOct 3, 2023 to Feb 12, 2024
- RAUM · $49.3M to $48.6MOct 3, 2023 to Feb 12, 2024
- Advisory activities · 1 to 3Sep 18, 2023 to Oct 3, 2023
- Accounts · 62 to 63Jun 29, 2023 to Sep 18, 2023
- HNW clients · 2 to 3Jun 29, 2023 to Sep 18, 2023
- Discretionary RAUM · $32.8M to $32.2MJun 29, 2023 to Sep 18, 2023
- HNW RAUM · $45.7M to $48.6MJun 29, 2023 to Sep 18, 2023
- Individual RAUM · $644,419 to $691,390Jun 29, 2023 to Sep 18, 2023
- Non-discretionary RAUM · $13.5M to $17.1MJun 29, 2023 to Sep 18, 2023
- RAUM · $46.3M to $49.3MJun 29, 2023 to Sep 18, 2023
- Accounts · 53 to 62Mar 7, 2023 to Jun 29, 2023
- HNW clients · 3 to 2Mar 7, 2023 to Jun 29, 2023
- Discretionary RAUM · $46.9M to $32.8MMar 7, 2023 to Jun 29, 2023
- HNW RAUM · $46.2M to $45.7MMar 7, 2023 to Jun 29, 2023
- Individual RAUM · $628,264 to $644,419Mar 7, 2023 to Jun 29, 2023
- Non-discretionary RAUM · $0 to $13.5MMar 7, 2023 to Jun 29, 2023
- RAUM · $46.9M to $46.3MMar 7, 2023 to Jun 29, 2023
- Accounts · 34 to 53Aug 5, 2022 to Mar 7, 2023
- Discretionary RAUM · $56.3M to $46.9MAug 5, 2022 to Mar 7, 2023
- HNW RAUM · $55.5M to $46.2MAug 5, 2022 to Mar 7, 2023
- Individual RAUM · $823,430 to $628,264Aug 5, 2022 to Mar 7, 2023
- RAUM · $56.3M to $46.9MAug 5, 2022 to Mar 7, 2023
Signals
1 dated events
- R••• A••••••• filed its initial SEC registration (Form ADV)Aug 28, 2012 · 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
- Website
- W•••••••AM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 347-308-7886reportedpublic record, Form ADV, Feb 18, 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
- $54.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026