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••• P••••• A•••••••• L••
Latest filing Apr 27, 2026
First filing on the tape May 26, 2020 · 28 filings
SEC status approved since Jun 26, 2020
RAUM
$40.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$39.6M individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$3.1M
derived; firm RAUM over IAPD count
Employees
12
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$40.0M as of Apr 27, 2026
Mar 31, 2021$143M then
HNW client RAUM$23.7M as of Apr 27, 2026
Mar 31, 2021$17.9M then
State-registered IARs (5.B.3)10 as of Apr 27, 2026
Mar 31, 20212 then
Employees (5.A)12 as of Apr 27, 2026
Mar 31, 20215 then
Private funds: no history
RAUM +8.2% over the last fiscal year+8.0% a year over threeIARs 5 to 10
Practice profile
derived from the filing of Apr 27, 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
- $3.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 8derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $765,909derivedHNW RAUM over HNW clients
- Average account
- $234,010derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$23.7M59%
- Individuals$15.8M40%
- Corporations and businesses$422,6631.1%
- Individual clients
- 67reported
- HNW clients
- 31reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 171reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=10.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• R••• M••••• | New York, Ny | Mar 4, 2021 | 22 y | 3 |
| A••••• P•••••• D•••• | New York, Ny | May 1, 2021 | 30 y | 0 |
| K••• E•••• C••• | New York, Ny | May 3, 2021 | 29 y | 2 |
| K•••• W•••••• F•••• | Brooklyn, Ny | Jan 28, 2022 | 27 y | 1 |
| M•••••• O••••••• | New York, Ny | Sep 28, 2022 | 33 y | 0 |
| W•••••• G•••Certified Financial Planner, Chartered Financial Analyst | Newtown Square, Pa | Feb 15, 2024 | 12 y | 0 |
| D•••••• W•••• M••••••• | New York, Ny | May 9, 2024 | 26 y | 0 |
| E••••• J• M••••••• | New York, Ny | Mar 17, 2025 | 34 y | 0 |
| K•••• R•••••• W••• | New York, Ny | Jun 20, 2025 | 23 y | 5 |
| D•••• J••••• H•••• | Tampa, Fl | Nov 6, 2025 | 12 y | 0 |
| E•••• P••• C••• | New York, Ny | Jan 26, 2026 | 32 y | 1 |
| A•••••••• S••••• | New York, Ny | Mar 25, 2026 | 19 y | 6 |
| A•••••• L••••••• P•••• | New York, Ny | Jul 27, 2026 | 12 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
- S••••• J•••• A•••••• to M•••• A•••• W••••• M••••••••• •••• I•••Jan 3, 2023 · Other
Joined, latest
- A•••••••• S••••• from O•••• F•• I•••Mar 25, 2026 · Affiliated broker-dealer or bank to independent RIA
- E•••• P••• C••• from T•• I••••••••• M••••••••• C•••••• L••Jan 26, 2026 · Other
- K•••• R•••••• W••• from J••• M••••• S••••••••• L••Jun 20, 2025 · Wirehouse to independent RIA
- K••• E•••• C••• from G•••••• F•••••••• C••••May 3, 2021 · Other
- G••• R••• M••••• from W•••• F•••• A•••••••Mar 4, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• G•••• R••• · Ceo, Chief Compliance Officercontrolsince 11/2014 · owns 50% to 75%
- M••••••• M••••••• C••••••••• · Membercontrolsince 04/2011 · owns 25% to 50% of 5• H•••••••• L••
Entity owners
- 5• H•••••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- F••• P••••• C•••••• P••••••• L••broker-dealern
- F••• P••••• I•••••••• A••••• L••real estaten
- M•• F•••••••• C•••investment advisernRAUM $98.0M
- P••••••• S••••• H••••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 13 | 5 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count surgeChange between filings · filing Apr 27, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 10.0 (+100.0%) between the annual amendments of 2025-03-17 and 2026-04-27; the peer median change was 0.0% (57 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, under $100M (57) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 131 to 171Nov 3, 2025 to Mar 25, 2026
- Advisory employees · 7 to 11Nov 3, 2025 to Mar 25, 2026
- BD registered reps · 6 to 10Nov 3, 2025 to Mar 25, 2026
- HNW clients · 29 to 31Nov 3, 2025 to Mar 25, 2026
- Individual clients · 52 to 67Nov 3, 2025 to Mar 25, 2026
- Employees · 7 to 12Nov 3, 2025 to Mar 25, 2026
- State-registered IARs · 5 to 10Nov 3, 2025 to Mar 25, 2026
- Discretionary RAUM · $36.8M to $40.0MNov 3, 2025 to Mar 25, 2026
- HNW RAUM · $26.6M to $23.7MNov 3, 2025 to Mar 25, 2026
- Individual RAUM · $10.4M to $15.8MNov 3, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $245,030 to $10,053Nov 3, 2025 to Mar 25, 2026
- RAUM · $37.0M to $40.0MNov 3, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Jul 8, 2025 to Nov 3, 2025
- Accounts · 122 to 131Sep 25, 2024 to Mar 4, 2025
- Advisory employees · 5 to 7Sep 25, 2024 to Mar 4, 2025
- BD registered reps · 4 to 6Sep 25, 2024 to Mar 4, 2025
- HNW clients · 31 to 29Sep 25, 2024 to Mar 4, 2025
- Individual clients · 49 to 52Sep 25, 2024 to Mar 4, 2025
- Employees · 6 to 7Sep 25, 2024 to Mar 4, 2025
- State-registered IARs · 4 to 5Sep 25, 2024 to Mar 4, 2025
- Discretionary RAUM · $30.2M to $36.8MSep 25, 2024 to Mar 4, 2025
- HNW RAUM · $20.5M to $26.6MSep 25, 2024 to Mar 4, 2025
- Individual RAUM · $8.9M to $10.4MSep 25, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $350,768 to $245,030Sep 25, 2024 to Mar 4, 2025
- Pension RAUM · 1234996.0 to unsetSep 25, 2024 to Mar 4, 2025
- RAUM · $30.6M to $37.0MSep 25, 2024 to Mar 4, 2025
- Accounts · 148 to 122Jan 23, 2024 to Feb 14, 2024
- Advisory employees · 3 to 5Jan 23, 2024 to Feb 14, 2024
- HNW clients · 42 to 31Jan 23, 2024 to Feb 14, 2024
- Individual clients · 60 to 49Jan 23, 2024 to Feb 14, 2024
- Employees · 5 to 6Jan 23, 2024 to Feb 14, 2024
- Discretionary RAUM · $31.5M to $30.2MJan 23, 2024 to Feb 14, 2024
- HNW RAUM · $20.4M to $20.5MJan 23, 2024 to Feb 14, 2024
- Individual RAUM · $10.4M to $8.9MJan 23, 2024 to Feb 14, 2024
- Non-discretionary RAUM · $324,635 to $350,768Jan 23, 2024 to Feb 14, 2024
- Pension RAUM · $1.0M to $1.2MJan 23, 2024 to Feb 14, 2024
- RAUM · $31.8M to $30.6MJan 23, 2024 to Feb 14, 2024
- Accounts · 163 to 148Sep 8, 2022 to Mar 31, 2023
- Advisory employees · 4 to 3Sep 8, 2022 to Mar 31, 2023
- HNW clients · 61 to 42Sep 8, 2022 to Mar 31, 2023
Signals
4 dated events
- J•••• S••••• A•••••• (Director Of Investments) no longer on Schedule A of F••• P••••• A•••••••• L•• (listed 2022-09-08, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- S••••• J•••• A•••••• left F••• P••••• A•••••••• L•• for M•••• A•••• W••••• M••••••••• •••• I••• (registered 2021-11-01)Jan 3, 2023 · Advisor changed firm · fact
- F••• P••••• A•••••••• L•• reported RAUM $33.9M, down 76% from $143.2M (2021-03-31 to 2021-06-11)Jun 11, 2021 · RAUM change · derived
- F••• P••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 26, 2020 · 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
- Firm profile
- linkedin.com/company/4pointsadvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- 4pointsgroup.coreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-300-6129reportedpublic record, Form ADV, Apr 27, 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
- $3.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026