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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••••••••• W••••• M••••••••• L••
Latest filing Jun 2, 2026
First filing on the tape Jun 27, 2014 · 42 filings
SEC status approved since Feb 27, 2017
RAUM
$495M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$495M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$495M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$495M as of Jun 2, 2026
Feb 23, 2017$37.5M then
HNW client RAUM$493M as of Jun 2, 2026
Feb 20, 2018$59.8M then
State-registered IARs (5.B.3)1 as of Jun 2, 2026
Feb 23, 20171 then
Employees (5.A)3 as of Jun 2, 2026
Feb 23, 20171 then
Private funds: no history
RAUM +22% over the last fiscal year+29% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $495MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.5MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 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
- 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
- High-net-worth individuals$493M100%
- Individuals$2.1M0.4%
- Individual clients
- n/areported
- HNW clients
- 76reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 314reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| J••••• I•• S•••••• | Montclair, Nj | Jan 7, 2015 | 16 y | 1 |
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
- S••••••• J•••••• I•• · Chief Compliance Officer & Managing Membercontrolsince 08/2014 · 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.
What changed
consecutive filings, newest first
- HQ city · HOBOKEN to MONTCLAIRJan 23, 2026 to Jun 2, 2026
- Accounts · 279 to 314Jan 28, 2025 to Jan 23, 2026
- HNW clients · 75 to 76Jan 28, 2025 to Jan 23, 2026
- Discretionary RAUM · $407M to $495MJan 28, 2025 to Jan 23, 2026
- HNW RAUM · $405M to $493MJan 28, 2025 to Jan 23, 2026
- Individual RAUM · $2.4M to $2.1MJan 28, 2025 to Jan 23, 2026
- RAUM · $407M to $495MJan 28, 2025 to Jan 23, 2026
- Accounts · 260 to 279Mar 18, 2024 to Jan 28, 2025
- HNW clients · 74 to 75Mar 18, 2024 to Jan 28, 2025
- Employees · 2 to 3Mar 18, 2024 to Jan 28, 2025
- Financial planning clients · 1-10 to 1-10Mar 18, 2024 to Jan 28, 2025
- Discretionary RAUM · $328M to $407MMar 18, 2024 to Jan 28, 2025
- HNW RAUM · $326M to $405MMar 18, 2024 to Jan 28, 2025
- Individual RAUM · $2.0M to $2.4MMar 18, 2024 to Jan 28, 2025
- RAUM · $328M to $407MMar 18, 2024 to Jan 28, 2025
- Accounts · 253 to 260Oct 16, 2023 to Jan 30, 2024
- Discretionary RAUM · $232M to $328MOct 16, 2023 to Jan 30, 2024
- HNW RAUM · $231M to $326MOct 16, 2023 to Jan 30, 2024
- Individual RAUM · $1.6M to $2.0MOct 16, 2023 to Jan 30, 2024
- RAUM · $232M to $328MOct 16, 2023 to Jan 30, 2024
- Accounts · 244 to 253May 26, 2022 to Feb 3, 2023
- Employees · 1 to 2May 26, 2022 to Feb 3, 2023
- Financial planning clients · 51-100 to 1-10May 26, 2022 to Feb 3, 2023
- HQ city · NEW ROCHELLE to HOBOKENMay 26, 2022 to Feb 3, 2023
- HQ state · NY to NJMay 26, 2022 to Feb 3, 2023
- Discretionary RAUM · $253M to $232MMay 26, 2022 to Feb 3, 2023
- HNW RAUM · $252M to $231MMay 26, 2022 to Feb 3, 2023
- Individual RAUM · $2.0M to $1.6MMay 26, 2022 to Feb 3, 2023
- Non-discretionary RAUM · $953,139 to $0May 26, 2022 to Feb 3, 2023
- RAUM · $254M to $232MMay 26, 2022 to Feb 3, 2023
- Accounts · 243 to 244Apr 12, 2022 to May 26, 2022
- Discretionary RAUM · $254M to $253MApr 12, 2022 to May 26, 2022
- HNW RAUM · $252M to $252MApr 12, 2022 to May 26, 2022
- Non-discretionary RAUM · $0 to $953,139Apr 12, 2022 to May 26, 2022
- RAUM · $254M to $254MApr 12, 2022 to May 26, 2022
- Accounts · 261 to 243Oct 29, 2021 to Jan 18, 2022
- HNW clients · 66 to 74Oct 29, 2021 to Jan 18, 2022
- Discretionary RAUM · $142M to $254MOct 29, 2021 to Jan 18, 2022
- HNW RAUM · $140M to $252MOct 29, 2021 to Jan 18, 2022
- Individual RAUM · $2.6M to $2.0MOct 29, 2021 to Jan 18, 2022
Signals
2 dated events
- C••••••••• W••••• M••••••••• L•• reported RAUM $253.9M, up 79% from $142.2M (2021-10-29 to 2022-01-18)Jan 18, 2022 · RAUM change · derived
- C••••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Jun 27, 2014 · 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
- Website
- C•••••••••WM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (917) 838-7507reportedpublic record, Form ADV, Jun 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
- $495Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026