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
V•••• I••••••••• P••••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Jul 7, 2022 · 11 filings
SEC status approved since Aug 5, 2022
RAUM
$247M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$244M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$61.7M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$247M as of Mar 3, 2026
Feb 10, 2023$42.4M then
HNW client RAUM$219M as of Mar 3, 2026
Feb 10, 2023$36.1M then
State-registered IARs (5.B.3)4 as of Mar 3, 2026
Feb 10, 20231 then
Employees (5.A)4 as of Mar 3, 2026
Feb 10, 20231 then
Private funds: no history
RAUM +74% over the last fiscal year+80% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 3, 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
- $61.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +74%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +93%derived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, 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)
- 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$219M89%
- Individuals$25.8M10%
- Pension and profit-sharing plans$2.3M0.9%
- Individual clients
- 90reported
- HNW clients
- 66reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 158reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• W•••••• H•••••Chartered Financial Analyst | New York, Ny | Aug 21, 2021 | 14 y | 0 |
| J••• M• G•••••••Certified Financial Planner | New York, Ny | Dec 4, 2023 | 30 y | 2 |
| T•••••• M•••••••Certified Financial Planner | Bronx, Ny | Feb 5, 2025 | 25 y | 3 |
| M•••••• A••••• Z•••• | New York, Ny | Jan 1, 2026 | 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
- T•••••• M••••••• from T•• C•••••• G••••• L••Feb 5, 2025 · RIA to RIA
- J••• M• G••••••• from F•••••••• A•••• M••••••••• L•••Dec 4, 2023 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• A•••••• W•••••• · Managing Member, Chief Compliance Officercontrolsince 06/2012 · 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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 3, 2026RAUM (Item 5.F) moved from $141,944,731 to $246,737,018 (+74.0%) between the annual amendments of 2025-02-05 and 2026-03-03; the peer median change was +15.0% (4550 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 83 to 158Feb 5, 2025 to Mar 3, 2026
- HNW clients · 40 to 66Feb 5, 2025 to Mar 3, 2026
- Individual clients · 41 to 90Feb 5, 2025 to Mar 3, 2026
- Insurance-licensed employees · 1 to 0Feb 5, 2025 to Mar 3, 2026
- Discretionary RAUM · $142M to $247MFeb 5, 2025 to Mar 3, 2026
- HNW RAUM · $128M to $219MFeb 5, 2025 to Mar 3, 2026
- Individual RAUM · $11.3M to $25.8MFeb 5, 2025 to Mar 3, 2026
- Pension RAUM · $2.7M to $2.3MFeb 5, 2025 to Mar 3, 2026
- RAUM · $142M to $247MFeb 5, 2025 to Mar 3, 2026
- Accounts · 75 to 83Feb 12, 2024 to Feb 5, 2025
- Advisory employees · 3 to 4Feb 12, 2024 to Feb 5, 2025
- HNW clients · 37 to 40Feb 12, 2024 to Feb 5, 2025
- Individual clients · 38 to 41Feb 12, 2024 to Feb 5, 2025
- Pension plan clients · 0 to 2Feb 12, 2024 to Feb 5, 2025
- Employees · 3 to 4Feb 12, 2024 to Feb 5, 2025
- Financial planning clients · unset to Feb 12, 2024 to Feb 5, 2025
- State-registered IARs · 3 to 4Feb 12, 2024 to Feb 5, 2025
- Other offices · 3 to 4Feb 12, 2024 to Feb 5, 2025
- Discretionary RAUM · $126M to $142MFeb 12, 2024 to Feb 5, 2025
- HNW RAUM · $115M to $128MFeb 12, 2024 to Feb 5, 2025
- Individual RAUM · $11.1M to $11.3MFeb 12, 2024 to Feb 5, 2025
- Pension RAUM · $0 to $2.7MFeb 12, 2024 to Feb 5, 2025
- RAUM · $126M to $142MFeb 12, 2024 to Feb 5, 2025
- Accounts · 109 to 75Jan 10, 2024 to Feb 12, 2024
- HNW clients · 15 to 37Jan 10, 2024 to Feb 12, 2024
- Individual clients · 19 to 38Jan 10, 2024 to Feb 12, 2024
- Pension plan clients · 1 to 0Jan 10, 2024 to Feb 12, 2024
- Discretionary RAUM · $45.0M to $126MJan 10, 2024 to Feb 12, 2024
- HNW RAUM · $38.5M to $115MJan 10, 2024 to Feb 12, 2024
- Individual RAUM · $4.5M to $11.1MJan 10, 2024 to Feb 12, 2024
- Pension RAUM · $2.0M to $0Jan 10, 2024 to Feb 12, 2024
- RAUM · $45.0M to $126MJan 10, 2024 to Feb 12, 2024
- Related adviser · true to falseJan 10, 2024 to Feb 12, 2024
- Accounts · 104 to 109Apr 17, 2023 to Nov 30, 2023
- Advisory employees · 2 to 3Apr 17, 2023 to Nov 30, 2023
- Individual clients · 18 to 19Apr 17, 2023 to Nov 30, 2023
- Employees · 2 to 3Apr 17, 2023 to Nov 30, 2023
- Insurance-licensed employees · 0 to 1Apr 17, 2023 to Nov 30, 2023
- State-registered IARs · 2 to 3Apr 17, 2023 to Nov 30, 2023
- Other offices · 2 to 3Apr 17, 2023 to Nov 30, 2023
Signals
2 dated events
- V•••• I••••••••• P••••••••• L•• reported RAUM $246.7M, up 74% from $141.9M (2025-02-05 to 2026-03-03)Mar 3, 2026 · RAUM change · derived
- V•••• I••••••••• P••••••••• L•• filed its initial SEC registration (Form ADV)Jul 7, 2022 · 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
- 646-383-7757reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 646-383-7806reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- V••••INVESTMENTP•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-383-7757reportedpublic record, Form ADV, Mar 3, 2026
- Contact form
- v•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- v•••••••••.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
- $61.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026