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RIA Intelligence

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Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $42.6M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$42.6M
Advisors
1
Net advisor flow, 12 months
0
0 joined, 0 left
RAUM change, 1 year
+20%
Private clients
92%
of RAUM, $39.3M
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 5 Mar 2026, RAUM $35.5M to $42.6M (+20.0%) on the Form ADV filed 5 Mar 2026, while advisors on the filing held at 1 and offices fell 2 to 1.

Every filed figure, and the identifiersCRD 167674 · SEC 801-131417 · 4 filingsShow
CRD 167674SEC 801-131417First filing on the tape Oct 4, 2024, latest Mar 5, 2026SEC status approved since Nov 4, 2024IAPD
RAUM
$42.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$39.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$42.6M
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
4 filings and snapshots on the tape

RAUM +20% over the last fiscal year · the tape starts Oct 4, 2024

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$42.6M as of Mar 5, 2026
Feb 1, 2025$35.5M then
HNW client RAUM$29.8M as of Mar 5, 2026
Feb 1, 2025$24.1M then
State-registered IARs (5.B.3)1 as of Mar 5, 2026
Feb 1, 20251 then
Employees (5.A)1 as of Mar 5, 2026
Feb 1, 20251 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 1 to 1offices 2 to 1
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShow
  • 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, and at most 25 employees (Item 5.A)
RAUM per advisor
$42.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
29derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$698,316derivedRAUM 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
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.3%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisers, publications, 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

75% high-net-worth individuals, 24% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow
  • High-net-worth individuals$29.8M75%
  • Individuals$9.5M24%
  • Corporations and businesses$713,0361.8%
Individual clients
19reported
HNW clients
10reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
61reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
RAUM: 92% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Every departureEvery arrival
    Advisors registered through the firm
    1 on IAPD today; the longest tenured first
    NameBranchHere sinceIn industryPrior firms
    R•••••• A••••• N•••••New York, Ny Apr 15, 202138 y1
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • N•••••• R••••••• A••••• · Managing Member And Chief Compliance Officercontrol
      since 02/2013 · owns 75% or more
    Who runs the funds
    related persons named most often on the Form D filings of the firm's funds
    No Form D related person is on record for this firm's funds.
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • New York, NY1 employee
    • , 1 employee
    What changed
    consecutive filings, newest first
    • Accounts · 58 to 61
      Jun 30, 2025 to Mar 5, 2026
    • HNW clients · 9 to 10
      Jun 30, 2025 to Mar 5, 2026
    • Individual clients · 21 to 19
      Jun 30, 2025 to Mar 5, 2026
    • Other offices · 2 to 1
      Jun 30, 2025 to Mar 5, 2026
    • Discretionary RAUM · $35.5M to $42.6M
      Jun 30, 2025 to Mar 5, 2026
    Full history · 18 changes
    • HNW RAUM · $24.1M to $29.8M
      Jun 30, 2025 to Mar 5, 2026
    • Individual RAUM · $7.9M to $9.5M
      Jun 30, 2025 to Mar 5, 2026
    • RAUM · $35.5M to $42.6M
      Jun 30, 2025 to Mar 5, 2026
    • Financial planning clients · unset to
      Feb 1, 2025 to Jun 30, 2025
    • Corporate clients · unset to 2.0
      Oct 4, 2024 to Feb 1, 2025
    • HNW clients · 8 to 9
      Oct 4, 2024 to Feb 1, 2025
    • Individual clients · 22 to 21
      Oct 4, 2024 to Feb 1, 2025
    • HQ city · unset to
      Oct 4, 2024 to Feb 1, 2025
    • HQ state · unset to
      Oct 4, 2024 to Feb 1, 2025
    • Discretionary RAUM · $30.5M to $35.5M
      Oct 4, 2024 to Feb 1, 2025
    • HNW RAUM · $19.8M to $24.1M
      Oct 4, 2024 to Feb 1, 2025
    • Individual RAUM · $8.4M to $7.9M
      Oct 4, 2024 to Feb 1, 2025
    • RAUM · $30.5M to $35.5M
      Oct 4, 2024 to Feb 1, 2025
    Signals
    2 dated events
    • ••• Locked
      Mar 5, 2026 · ria office closed · derived
    • ••• Locked
      Oct 4, 2024 · 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
    ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
    Business phone
    ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
    Website
    ••• Lockedreportedpublic record, Form ADV, Mar 5, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Mar 5, 2026
    Provenance
    Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
    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
    $42.6Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026