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
C••••••• H••• P••••••• L••
Latest filing Jan 8, 2026
First filing on the tape Jan 9, 2013 · 42 filings
SEC status approved since Jan 29, 2013
RAUM
$299M
reported, Item 5.F
Discretionary
38%
of RAUM
Private clients
95%
$284M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$299M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$299M as of Jan 8, 2026
Mar 28, 2014$70.9M then
HNW client RAUM$249M as of Jan 8, 2026
Jan 24, 2018$183M then
State-registered IARs (5.B.3)1 as of Jan 8, 2026
Mar 28, 20142 then
Employees (5.A)1 as of Jan 8, 2026
Mar 28, 20142 then
Private funds: no history
RAUM -10% over the last fiscal year+5.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 8, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $299MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 183derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.0MderivedHNW RAUM over HNW clients
- Average account
- $784,137derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 38%derivedof RAUM
- Institutional
- 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- 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$249M83%
- Individuals$35.2M12%
- Pension and profit-sharing plans$14.9M5.0%
- Individual clients
- 152reported
- HNW clients
- 31reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 381reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| R•••••• N•• M••••• | Saratoga Springs, Ny | Oct 5, 2021 | 37 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
- R•••••• N•• M••••• from V••• R••••••••• A•••••••• L••Sep 24, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• R••••••• N•• · Ccocontrolsince 11/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Jan 8, 2026HNW RAUM per HNW client of $8,019,421 against a peer median of $2,404,040 (4940 comparable advisers, 99.0th percentile, 3.8 robust deviations)peers: independent wealth managers, $100M to $500M (4,940) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 348 to 381Sep 30, 2025 to Jan 8, 2026
- HNW clients · 28 to 31Sep 30, 2025 to Jan 8, 2026
- Individual clients · 165 to 152Sep 30, 2025 to Jan 8, 2026
- Discretionary RAUM · $107M to $115MSep 30, 2025 to Jan 8, 2026
- HNW RAUM · $214M to $249MSep 30, 2025 to Jan 8, 2026
- Individual RAUM · $34.3M to $35.2MSep 30, 2025 to Jan 8, 2026
- Non-discretionary RAUM · $157M to $184MSep 30, 2025 to Jan 8, 2026
- Pension RAUM · $15.2M to $14.9MSep 30, 2025 to Jan 8, 2026
- RAUM · $264M to $299MSep 30, 2025 to Jan 8, 2026
- Accounts · 447 to 348Jan 15, 2025 to Sep 30, 2025
- HNW RAUM · $284M to $214MJan 15, 2025 to Sep 30, 2025
- Non-discretionary RAUM · $227M to $157MJan 15, 2025 to Sep 30, 2025
- RAUM · $334M to $264MJan 15, 2025 to Sep 30, 2025
- Accounts · 459 to 447Jan 17, 2024 to Jan 15, 2025
- Individual clients · 182 to 165Jan 17, 2024 to Jan 15, 2025
- Pension plan clients · 1 to 2Jan 17, 2024 to Jan 15, 2025
- Financial planning clients · 26-50 to 26-50Jan 17, 2024 to Jan 15, 2025
- Discretionary RAUM · $104M to $107MJan 17, 2024 to Jan 15, 2025
- HNW RAUM · $241M to $284MJan 17, 2024 to Jan 15, 2025
- Individual RAUM · $40.2M to $34.3MJan 17, 2024 to Jan 15, 2025
- Non-discretionary RAUM · $189M to $227MJan 17, 2024 to Jan 15, 2025
- Pension RAUM · $10.6M to $15.2MJan 17, 2024 to Jan 15, 2025
- RAUM · $292M to $334MJan 17, 2024 to Jan 15, 2025
- Accounts · 463 to 459Nov 28, 2023 to Jan 17, 2024
- HNW clients · 27 to 28Nov 28, 2023 to Jan 17, 2024
- Individual clients · 191 to 182Nov 28, 2023 to Jan 17, 2024
- Discretionary RAUM · $89.6M to $104MNov 28, 2023 to Jan 17, 2024
- HNW RAUM · $208M to $241MNov 28, 2023 to Jan 17, 2024
- Individual RAUM · $36.6M to $40.2MNov 28, 2023 to Jan 17, 2024
- Non-discretionary RAUM · $165M to $189MNov 28, 2023 to Jan 17, 2024
- Pension RAUM · $10.2M to $10.6MNov 28, 2023 to Jan 17, 2024
- RAUM · $254M to $292MNov 28, 2023 to Jan 17, 2024
- Accounts · 498 to 463Feb 10, 2022 to Jan 19, 2023
- HNW clients · 31 to 27Feb 10, 2022 to Jan 19, 2023
- Individual clients · 197 to 191Feb 10, 2022 to Jan 19, 2023
- Pension plan clients · 0 to 1Feb 10, 2022 to Jan 19, 2023
- Discretionary RAUM · $108M to $89.6MFeb 10, 2022 to Jan 19, 2023
- HNW RAUM · $258M to $208MFeb 10, 2022 to Jan 19, 2023
- Individual RAUM · $38.1M to $36.6MFeb 10, 2022 to Jan 19, 2023
- Non-discretionary RAUM · $188M to $165MFeb 10, 2022 to Jan 19, 2023
Signals
1 dated events
- S••• H••• P••••••• L•• filed its initial SEC registration (Form ADV)Jan 9, 2013 · 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
- 866-744-3705reportedpublic record, Form ADV, Jan 8, 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
- $299Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026