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
P••••••••
Legal name P•••••••• A•••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Aug 29, 2013 · 27 filings
SEC status approved since Sep 9, 2013
RAUM
$762M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$741M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$190M
derived; firm RAUM over IAPD count
Employees
5
4 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$762M as of Mar 2, 2026
Mar 28, 2014$74.5M then
HNW client RAUM$739M as of Mar 2, 2026
Mar 12, 2018$227M then
State-registered IARs (5.B.3)2 as of Mar 2, 2026
Mar 28, 20143 then
Employees (5.A)5 as of Mar 2, 2026
Mar 28, 20143 then
Private funds: no history
RAUM +14% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 2, 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
- RAUM per advisor
- $190MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.7MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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$739M97%
- Corporations and businesses$11.8M1.5%
- Charitable organizations$8.8M1.2%
- Individuals$1.9M0.3%
- Individual clients
- 6reported
- HNW clients
- 111reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 493reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 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 |
|---|---|---|---|---|
| S•••• F•••••••• S••••••• | New York, Ny | Jan 20, 2016 | 13 y | 0 |
| S•••••• M•••• | New York, Ny | Jan 20, 2016 | 13 y | 0 |
| C•••• J••••• H••••• | New York, Ny | Jan 20, 2016 | 13 y | 0 |
| M•••••• E•••••• L••• | New York, Ny | Oct 18, 2023 | 22 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• C••••• J••••• · Managing Partner And Chief Compliance Officercontrolsince 07/2013 · owns 25% to 50%
- M••••• S•••••• · Partnercontrolsince 09/2013 · owns 10% to 25%
- S•••••••• S••••• F•••••••• · Managing Partnercontrolsince 07/2013 · owns 25% to 50%
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 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 458 to 493Feb 13, 2025 to Mar 2, 2026
- Charity clients · 1 to 3Feb 13, 2025 to Mar 2, 2026
- Corporate clients · 2 to 3Feb 13, 2025 to Mar 2, 2026
- HNW clients · 110 to 111Feb 13, 2025 to Mar 2, 2026
- Individual clients · 7 to 6Feb 13, 2025 to Mar 2, 2026
- Discretionary RAUM · $662M to $757MFeb 13, 2025 to Mar 2, 2026
- HNW RAUM · $644M to $739MFeb 13, 2025 to Mar 2, 2026
- Individual RAUM · $9.5M to $1.9MFeb 13, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $4.6M to $4.9MFeb 13, 2025 to Mar 2, 2026
- RAUM · $667M to $762MFeb 13, 2025 to Mar 2, 2026
- Accounts · 435 to 458Jan 10, 2025 to Feb 13, 2025
- Financial planning clients · 101-250 to 101-250Jan 10, 2025 to Feb 13, 2025
- Discretionary RAUM · $586M to $662MJan 10, 2025 to Feb 13, 2025
- HNW RAUM · $572M to $644MJan 10, 2025 to Feb 13, 2025
- Individual RAUM · $8.5M to $9.5MJan 10, 2025 to Feb 13, 2025
- Non-discretionary RAUM · $5.2M to $4.6MJan 10, 2025 to Feb 13, 2025
- RAUM · $592M to $667MJan 10, 2025 to Feb 13, 2025
- Accounts · 497 to 435Mar 22, 2023 to Mar 5, 2024
- Advisory employees · 3 to 4Mar 22, 2023 to Mar 5, 2024
- Corporate clients · 5 to 2Mar 22, 2023 to Mar 5, 2024
- HNW clients · 102 to 110Mar 22, 2023 to Mar 5, 2024
- Individual clients · 8 to 7Mar 22, 2023 to Mar 5, 2024
- Employees · 4 to 5Mar 22, 2023 to Mar 5, 2024
- State-registered IARs · 3 to 2Mar 22, 2023 to Mar 5, 2024
- Discretionary RAUM · $451M to $586MMar 22, 2023 to Mar 5, 2024
- HNW RAUM · $437M to $572MMar 22, 2023 to Mar 5, 2024
- Individual RAUM · $7.2M to $8.5MMar 22, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $5.0M to $5.2MMar 22, 2023 to Mar 5, 2024
- RAUM · $456M to $592MMar 22, 2023 to Mar 5, 2024
- Accounts · 540 to 497Jan 25, 2023 to Mar 22, 2023
- HNW clients · 100 to 102Jan 25, 2023 to Mar 22, 2023
- Employees · 5 to 4Jan 25, 2023 to Mar 22, 2023
- State-registered IARs · 4 to 3Jan 25, 2023 to Mar 22, 2023
- Discretionary RAUM · $485M to $451MJan 25, 2023 to Mar 22, 2023
- HNW RAUM · $467M to $437MJan 25, 2023 to Mar 22, 2023
- Individual RAUM · $4.4M to $7.2MJan 25, 2023 to Mar 22, 2023
- Non-discretionary RAUM · $5.2M to $5.0MJan 25, 2023 to Mar 22, 2023
- RAUM · $490M to $456MJan 25, 2023 to Mar 22, 2023
- Accounts · 354 to 540Mar 4, 2021 to Feb 7, 2022
- Corporate clients · 4 to 5Mar 4, 2021 to Feb 7, 2022
Signals
2 dated events
- Perennial reported RAUM $591.7M, up 30% from $455.9M (2023-03-22 to 2024-03-05)Mar 5, 2024 · RAUM change · derived
- P•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Aug 29, 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
- Business email
- info@perennial.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-652-3900reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/10144223reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-652-3900reportedpublic record, Form ADV, Mar 2, 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
- $190Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026