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
S•••• W•••••• L••
Latest filing Jul 15, 2026
First filing on the tape Apr 13, 2017 · 27 filings
SEC status approved since Jan 11, 2024
RAUM
$51.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$51.7M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$17.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$51.7M as of Jul 15, 2026
Mar 29, 2018$11.9M then
HNW client RAUM: $5.3M
State-registered IARs (5.B.3)3 as of Jul 15, 2026
Mar 29, 20183 then
Employees (5.A)3 as of Jul 15, 2026
Mar 29, 20183 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Jul 15, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $17.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $93,858derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$51.7M100%
- Individual clients
- 174reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 551reported
- Financial planning clients
- 11-25reported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• S••••••• M••••• | New York, Ny | Feb 4, 2022 | 20 y | 1 |
| C•••••••• M•••• M•••••••Certified Financial Planner | Norwalk, Ct | Jul 28, 2023 | 12 y | 1 |
| A•••• A•••• A••••• G•••••••••Certified Financial Planner | New York, Ny | May 7, 2026 | 17 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 headcount1 left over 36 months
Left, latest
- B•••• D•••• H••••••• to P••• A••••• S••••••••• L••Nov 10, 2023 · RIA to affiliated broker-dealer or bank
- J••••••• R• D••• to C•••••• F••••• O•••••• I•••Sep 23, 2022 · RIA to RIA
- R••••• T••••• K•••••••• to M••••• L••Aug 12, 2022 · RIA to RIA
Joined, latest
- C•••••••• M•••• M••••••• from U•• F•••••••• S••••••• I•••Jul 28, 2023 · Wirehouse to independent RIA
- B•••• D•••• H••••••• from V••••••• A•••••••• I•••Nov 4, 2022 · Affiliated broker-dealer or bank to independent RIA
- J••••••• R• D••• from M••••• S••••••Aug 1, 2022 · Wirehouse to independent RIA
- P•••• S••••••• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 4, 2022 · Wirehouse to independent RIA
- R••••• T••••• K•••••••• from M••••• S••••••Aug 25, 2018 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• P••••• S••••••• · Founder And Ceo, Ccocontrolsince 04/2013 · 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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Mar 3, 2026 to Jul 15, 2026
- Insurance-licensed employees · 0 to 1Mar 3, 2026 to Jul 15, 2026
- State-registered IARs · 2 to 3Mar 3, 2026 to Jul 15, 2026
- Accounts · 606 to 551Dec 22, 2025 to Mar 3, 2026
- Individual clients · 202 to 174Dec 22, 2025 to Mar 3, 2026
- Financial planning clients · 26-50 to 11-25Dec 22, 2025 to Mar 3, 2026
- Discretionary RAUM · $41.1M to $51.7MDec 22, 2025 to Mar 3, 2026
- Individual RAUM · $41.1M to $51.7MDec 22, 2025 to Mar 3, 2026
- RAUM · $41.1M to $51.7MDec 22, 2025 to Mar 3, 2026
- Accounts · 567 to 606Nov 14, 2024 to Mar 12, 2025
- Advisory employees · 3 to 2Nov 14, 2024 to Mar 12, 2025
- HNW clients · 3.0 to unsetNov 14, 2024 to Mar 12, 2025
- Individual clients · 308 to 202Nov 14, 2024 to Mar 12, 2025
- Employees · 7 to 3Nov 14, 2024 to Mar 12, 2025
- Financial planning clients · 101-250 to 26-50Nov 14, 2024 to Mar 12, 2025
- State-registered IARs · 3 to 2Nov 14, 2024 to Mar 12, 2025
- Discretionary RAUM · $44.0M to $41.1MNov 14, 2024 to Mar 12, 2025
- HNW RAUM · 5266010.0 to unsetNov 14, 2024 to Mar 12, 2025
- Individual RAUM · $38.8M to $41.1MNov 14, 2024 to Mar 12, 2025
- RAUM · $44.0M to $41.1MNov 14, 2024 to Mar 12, 2025
- Accounts · 629 to 567Dec 12, 2023 to Mar 27, 2024
- Individual clients · 222 to 308Dec 12, 2023 to Mar 27, 2024
- Discretionary RAUM · $39.5M to $44.0MDec 12, 2023 to Mar 27, 2024
- HNW RAUM · $6.2M to $5.3MDec 12, 2023 to Mar 27, 2024
- Individual RAUM · $33.3M to $38.8MDec 12, 2023 to Mar 27, 2024
- RAUM · $39.5M to $44.0MDec 12, 2023 to Mar 27, 2024
- Accounts · 531 to 629May 28, 2019 to Dec 12, 2023
- HNW clients · unset to 3.0May 28, 2019 to Dec 12, 2023
- Individual clients · 188 to 222May 28, 2019 to Dec 12, 2023
- Employees · 3 to 7May 28, 2019 to Dec 12, 2023
- Financial planning clients · 251-500 to 101-250May 28, 2019 to Dec 12, 2023
- HQ city · unset to NEW YORKMay 28, 2019 to Dec 12, 2023
- HQ state · unset to NYMay 28, 2019 to Dec 12, 2023
- Discretionary RAUM · $18.7M to $39.5MMay 28, 2019 to Dec 12, 2023
- HNW RAUM · unset to 6204411.0May 28, 2019 to Dec 12, 2023
- Individual RAUM · $18.7M to $33.3MMay 28, 2019 to Dec 12, 2023
- RAUM · $18.7M to $39.5MMay 28, 2019 to Dec 12, 2023
- Accounts · 438 to 531Feb 20, 2019 to Mar 30, 2019
- Individual clients · 144 to 188Feb 20, 2019 to Mar 30, 2019
- Financial planning clients · 101-250 to 251-500Feb 20, 2019 to Mar 30, 2019
Signals
4 dated events
- B•••• D•••• H••••••• left S•••• W•••••• L•• for P••• A••••• S••••••••• L•• (registered 2024-01-02)Nov 10, 2023 · Advisor changed firm · fact
- J••••••• R• D••• left S•••• W•••••• L•• for C•••••• F••••• O•••••• I••• (registered 2022-11-14)Sep 23, 2022 · Advisor changed firm · fact
- R••••• T••••• K•••••••• left S•••• W•••••• L•• for M••••• L•• (registered 2023-01-17)Aug 12, 2022 · Advisor changed firm · fact
- S•••• W•••••• L•• filed its initial SEC registration (Form ADV)Apr 13, 2017 · 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 email
- hey@stashwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-913-9904reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/S•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-913-9904reportedpublic record, Form ADV, Jul 15, 2026
- Team page
- stashwealth.com/leadership-teamreportedpublished 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
- $17.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026