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
N•• W••••• M••••••••• L••
Latest filing Feb 24, 2026
First filing on the tape Mar 30, 2025 · 2 filings
SEC status approved since Apr 29, 2025
RAUM
$108M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$108M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$108M
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$108M as of Feb 24, 2026
Mar 30, 2025$107M then
HNW client RAUM$39.1M as of Feb 24, 2026
Mar 30, 2025$38.1M then
State-registered IARs (5.B.3)1 as of Feb 24, 2026
Mar 30, 20251 then
Employees (5.A)5 as of Feb 24, 2026
Mar 30, 20254 then
Private funds: no history
RAUM +0.8% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $108MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 225derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $478,667derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $77.8M, 346 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$68.6M64%
- High-net-worth individuals$39.1M36%
- Individual clients
- 200reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 225reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $77.8M for 346 clientsreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• A•••• N••Certified Financial Planner, Chartered Financial Consultant | Hudson, Oh | Mar 14, 2014 | 40 y | 3 |
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
- E••• A•••• N•• from N•••••Mar 14, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••• E•••• A•••• · President, Chief Compliance Officercontrolsince 01/2014 · 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
- custody status changedChange between filings · filing Feb 24, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-30, yes on the filing of 2026-02-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 232 to 225Mar 30, 2025 to Feb 24, 2026
- Advisory activities · 3 to 4Mar 30, 2025 to Feb 24, 2026
- HNW clients · 23 to 25Mar 30, 2025 to Feb 24, 2026
- Individual clients · 209 to 200Mar 30, 2025 to Feb 24, 2026
- Assets in custody · $66.2M to $77.8MMar 30, 2025 to Feb 24, 2026
- Custody of client assets · false to trueMar 30, 2025 to Feb 24, 2026
- Employees · 4 to 5Mar 30, 2025 to Feb 24, 2026
- Discretionary RAUM · $107M to $108MMar 30, 2025 to Feb 24, 2026
- HNW RAUM · $38.1M to $39.1MMar 30, 2025 to Feb 24, 2026
- Individual RAUM · $68.8M to $68.6MMar 30, 2025 to Feb 24, 2026
- RAUM · $107M to $108MMar 30, 2025 to Feb 24, 2026
Signals
No event on the tape.
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 phone
- 800-837-8848reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 330-650-6360reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 330-656-0005reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/nye-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- NYEWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (330) 656-0007reportedpublic record, Form ADV, Feb 24, 2026
- Contact form
- nyewealth.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $108Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026