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
D•••• A•••• C•••••••••
Latest filing Jun 16, 2026
First filing on the tape Jul 15, 2021 · 13 filings
SEC status approved since Aug 16, 2021
RAUM
$187M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
92%
$172M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$23.4M
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$187M as of Jun 16, 2026
Mar 31, 2022$30.5M then
HNW client RAUM$127M as of Jun 16, 2026
Mar 31, 2022$19.1M then
State-registered IARs (5.B.3)8 as of Jun 16, 2026
Mar 31, 20223 then
Employees (5.A)10 as of Jun 16, 2026
Mar 31, 20223 then
Private funds: no history
RAUM +105% over the last fiscal year+61% a year over threeIARs 4 to 8offices 0 to 1
Practice profile
derived from the filing of Jun 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $23.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $423,760derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +105%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +94%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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$127M68%
- Individuals$44.5M24%
- Pension and profit-sharing plans$6.7M3.6%
- Insurance companies$5.3M2.8%
- Corporations and businesses$3.0M1.6%
- Individual clients
- 159reported
- HNW clients
- 60reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 441reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• L• O••••• | Selkirk, Ny | Feb 26, 2016 | 18 y | 6 |
| C••••• B••••Certified Financial Planner | Selkirk, Ny | Apr 17, 2018 | 16 y | 3 |
| T••••• J• G•••••••Certified Financial Planner | Cary, Nc | Oct 31, 2022 | 26 y | 1 |
| T•••• W•••••• R••• | Selkirk, Ny | Jun 6, 2025 | 14 y | 2 |
| G••• W•••••• B••••••Certified Financial Planner | Selkirk, Ny | Dec 11, 2025 | 41 y | 3 |
| P•••••• K•• L•••• | Blanding, Ut | Feb 17, 2026 | 35 y | 2 |
| E••• J••••• | Phoenix, Az | Mar 18, 2026 | 10 y | 0 |
| D•••• C••••••••• J•••• | Selkirk, Ny | Apr 20, 2026 | 11 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- P•••••• K•• L•••• from S••• R•••• C••••••Feb 17, 2026 · Other
- G••• W•••••• B•••••• from C••••• I••••••••• A••••••• L••Dec 11, 2025 · Affiliated broker-dealer or bank to independent RIA
- T•••• W•••••• R••• from B••••••• A•••••• G••••Jun 6, 2025 · RIA to RIA
- T••••• J• G••••••• from S•••••••• W••••• M••••••••• L••Oct 31, 2022 · RIA to RIA
- C••••• B•••• from L•• F•••••••• L••Apr 17, 2018 · Other
- R•••••• L• O••••• from S••••• M•••••••••Feb 26, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• C••••• · Presdent/Chief Compliance Officercontrolsince 02/2014 · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Selkirk, Ny · principal | 8 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Apr 14, 2026individual and HNW clients (Item 5.D) moved from 113.0 to 219.0 (+94.0%) between the annual amendments of 2025-03-04 and 2026-04-14; the peer median change was +3.0% (3309 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 99% percentile
- account count surgeChange between filings · filing Apr 14, 2026accounts (Item 5.F.2.f) moved from 233.0 to 441.0 (+89.0%) between the annual amendments of 2025-03-04 and 2026-04-14; the peer median change was +5.0% (3687 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 97% percentile
- RAUM up 50 %Change between filings · filing Apr 14, 2026RAUM (Item 5.F) moved from $91,091,678 to $186,877,957 (+105.0%) between the annual amendments of 2025-03-04 and 2026-04-14; the peer median change was +15.0% (4550 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 233 to 441Jun 12, 2025 to Mar 28, 2026
- Advisory employees · 4 to 8Jun 12, 2025 to Mar 28, 2026
- Corporate clients · 2 to 3Jun 12, 2025 to Mar 28, 2026
- HNW clients · 28 to 60Jun 12, 2025 to Mar 28, 2026
- Individual clients · 85 to 159Jun 12, 2025 to Mar 28, 2026
- Pension plan clients · 3 to 5Jun 12, 2025 to Mar 28, 2026
- Employees · 4 to 10Jun 12, 2025 to Mar 28, 2026
- State-registered IARs · 4 to 8Jun 12, 2025 to Mar 28, 2026
- Other offices · 0 to 1Jun 12, 2025 to Mar 28, 2026
- Discretionary RAUM · $90.0M to $182MJun 12, 2025 to Mar 28, 2026
- HNW RAUM · $58.4M to $127MJun 12, 2025 to Mar 28, 2026
- Individual RAUM · $25.1M to $44.5MJun 12, 2025 to Mar 28, 2026
- Non-discretionary RAUM · $1.1M to $4.5MJun 12, 2025 to Mar 28, 2026
- Pension RAUM · $2.6M to $6.7MJun 12, 2025 to Mar 28, 2026
- RAUM · $91.1M to $187MJun 12, 2025 to Mar 28, 2026
- Related insurance company · false to trueJun 12, 2025 to Mar 28, 2026
- HQ city · ALBANY to SELKIRKMar 4, 2025 to Jun 12, 2025
- Financial planning clients · 1-10 to 1-10Mar 4, 2025 to Jun 12, 2025
- Accounts · 207 to 233Oct 4, 2024 to Mar 4, 2025
- Advisory employees · 3 to 4Oct 4, 2024 to Mar 4, 2025
- Corporate clients · unset to 2.0Oct 4, 2024 to Mar 4, 2025
- HNW clients · 27 to 28Oct 4, 2024 to Mar 4, 2025
- Individual clients · 71 to 85Oct 4, 2024 to Mar 4, 2025
- Employees · 3 to 4Oct 4, 2024 to Mar 4, 2025
- Financial planning clients · 0 to 1-10Oct 4, 2024 to Mar 4, 2025
- State-registered IARs · 3 to 4Oct 4, 2024 to Mar 4, 2025
- Discretionary RAUM · $68.5M to $90.0MOct 4, 2024 to Mar 4, 2025
- HNW RAUM · $42.9M to $58.4MOct 4, 2024 to Mar 4, 2025
- Individual RAUM · $22.1M to $25.1MOct 4, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $1.4M to $1.1MOct 4, 2024 to Mar 4, 2025
- Pension RAUM · $2.6M to $2.6MOct 4, 2024 to Mar 4, 2025
- RAUM · $69.9M to $91.1MOct 4, 2024 to Mar 4, 2025
- Accounts · 194 to 207Mar 29, 2023 to Mar 28, 2024
- HNW clients · 25 to 27Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $43.6M to $68.5MMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $28.3M to $42.9MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $13.8M to $22.1MMar 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $1.6M to $1.4MMar 29, 2023 to Mar 28, 2024
- Pension RAUM · $2.0M to $2.6MMar 29, 2023 to Mar 28, 2024
- RAUM · $45.1M to $69.9MMar 29, 2023 to Mar 28, 2024
Signals
1 dated events
- D•••• A•••• C••••••••• filed its initial SEC registration (Form ADV)Jul 15, 2021 · 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 phone
- 518-478-8077reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/dutchassetreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 518-478-8077reportedpublic record, Form ADV, Jun 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
- $23.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026