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
F•••••••• A•••••• A••••••••
Legal name F•••••••• A•••••• A••••••••• L••
Latest filing Apr 24, 2026
First filing on the tape Oct 28, 2013 · 17 filings
SEC status approved since Nov 21, 2013
RAUM
$106M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
21%
$22.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
17 filings and snapshots on the tape
RAUM$106M as of Apr 24, 2026
Mar 20, 2015$125M then
HNW client RAUM$7.5M as of Apr 24, 2026
May 8, 2018$1.0M then
State-registered IARs (5.B.3)0 as of Apr 24, 2026
Mar 20, 20150 then
Employees (5.A)1 as of Apr 24, 2026
Mar 20, 20151 then
Private funds: no history
RAUM -2.9% over the last fiscal year-0.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- ocio institutional a••••••y · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $500,000derivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 63%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$43.4M41%
- Pension and profit-sharing plans$23.5M22%
- Corporations and businesses$17.5M16%
- Individuals$14.5M14%
- High-net-worth individuals$7.5M7.0%
- Individual clients
- 65reported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 89reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.21 fund_share=0.0 institutional_share=0.63 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
- M•••••• T•••••• P•••••• · Ceo/Chief Compliance Officercontrolsince 07/2013 · 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
- high institutional concentrationStatic outlier · filing Apr 24, 2026institutional share of RAUM of 63% against a peer median of 0% (5678 comparable advisers, 99.0th percentile, 21.1 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 88 to 89Apr 6, 2025 to Apr 24, 2026
- HNW clients · 13 to 15Apr 6, 2025 to Apr 24, 2026
- Individual clients · 66 to 65Apr 6, 2025 to Apr 24, 2026
- Discretionary RAUM · $110M to $106MApr 6, 2025 to Apr 24, 2026
- HNW RAUM · $5.5M to $7.5MApr 6, 2025 to Apr 24, 2026
- Individual RAUM · $13.5M to $14.5MApr 6, 2025 to Apr 24, 2026
- Pension RAUM · $22.5M to $23.5MApr 6, 2025 to Apr 24, 2026
- RAUM · $110M to $106MApr 6, 2025 to Apr 24, 2026
- Accounts · 85 to 88Apr 3, 2024 to Apr 6, 2025
- HNW clients · 10 to 13Apr 3, 2024 to Apr 6, 2025
- Financial planning clients · 1-10 to 1-10Apr 3, 2024 to Apr 6, 2025
- HQ city · unset to Apr 3, 2024 to Apr 6, 2025
- HQ state · unset to Apr 3, 2024 to Apr 6, 2025
- Discretionary RAUM · $112M to $110MApr 3, 2024 to Apr 6, 2025
- HNW RAUM · $5.0M to $5.5MApr 3, 2024 to Apr 6, 2025
- Pension RAUM · $19.0M to $22.5MApr 3, 2024 to Apr 6, 2025
- RAUM · $112M to $110MApr 3, 2024 to Apr 6, 2025
- Accounts · 82 to 85Apr 2, 2023 to Apr 3, 2024
- HNW clients · 12 to 10Apr 2, 2023 to Apr 3, 2024
- Individual clients · 61 to 66Apr 2, 2023 to Apr 3, 2024
- Discretionary RAUM · $107M to $112MApr 2, 2023 to Apr 3, 2024
- HNW RAUM · $5.3M to $5.0MApr 2, 2023 to Apr 3, 2024
- Individual RAUM · $12.3M to $13.5MApr 2, 2023 to Apr 3, 2024
- Pension RAUM · $17.3M to $19.0MApr 2, 2023 to Apr 3, 2024
- RAUM · $107M to $112MApr 2, 2023 to Apr 3, 2024
- Accounts · 76 to 82Apr 19, 2022 to Apr 2, 2023
- HNW clients · 68 to 12Apr 19, 2022 to Apr 2, 2023
- Individual clients · unset to 61.0Apr 19, 2022 to Apr 2, 2023
- Discretionary RAUM · $42.0M to $107MApr 19, 2022 to Apr 2, 2023
- HNW RAUM · $18.0M to $5.3MApr 19, 2022 to Apr 2, 2023
- Individual RAUM · unset to 12250000.0Apr 19, 2022 to Apr 2, 2023
- Non-discretionary RAUM · $60.0M to $0Apr 19, 2022 to Apr 2, 2023
- Pension RAUM · $16.0M to $17.3MApr 19, 2022 to Apr 2, 2023
- RAUM · $102M to $107MApr 19, 2022 to Apr 2, 2023
- Discretionary RAUM · $44.0M to $42.0MMay 1, 2021 to Apr 19, 2022
- RAUM · $104M to $102MMay 1, 2021 to Apr 19, 2022
- Accounts · 80 to 76Jun 30, 2020 to May 1, 2021
- HNW clients · 72 to 68Jun 30, 2020 to May 1, 2021
- Discretionary RAUM · $22.2M to $44.0MJun 30, 2020 to May 1, 2021
- HNW RAUM · $22.2M to $18.0MJun 30, 2020 to May 1, 2021
Signals
1 dated events
- F•••••••• A•••••• A•••••••• filed its initial SEC registration (Form ADV)Oct 28, 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
- m•••••@f•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- p••••••@f•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- FAA••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 914-643-6014reportedpublic record, Form ADV, Apr 24, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026