DFX Intelligence
RIA Intelligence
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SEC-registered adviser
R•••• O••••••••• I•••
Latest filing Mar 23, 2026
First filing on the tape Sep 9, 2014 · 17 filings
SEC status approved since Sep 22, 2014
RAUM
$200M
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
98%
$196M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$66.7M
derived; firm RAUM over IAPD count
Employees
4
3 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$200M as of Mar 23, 2026
Feb 17, 2015$80.0M then
HNW client RAUM$196M as of Mar 23, 2026
Feb 27, 2018$135M then
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Feb 17, 20152 then
Employees (5.A)4 as of Mar 23, 2026
Feb 17, 20154 then
Private funds: no history
RAUM +8.6% over the last fiscal year+15% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $66.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 70%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.6%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$196M98%
- Charitable organizations$2.6M1.3%
- Pension and profit-sharing plans$1.4M0.7%
- Individual clients
- n/areported
- HNW clients
- 90reported
- Pension plan clients
- 3reported
- Charitable clients
- 2reported
- Accounts
- 145reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• J••••• K•••• | New York, Ny | Sep 3, 2021 | 23 y | 0 |
| L•••• S••••••••• M•••••• | New York, Ny | Sep 3, 2021 | 28 y | 0 |
| J•••• F•••• O••••••••• | New York, Ny | Sep 7, 2021 | 10 y | 0 |
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
- K••••• J•••• J••••• · Director/Chief Compliance Officercontrolsince 08/2014 · owns 50% to 75%
- M••••••• L••••• S••••••••• · Directorcontrolsince 08/2014 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 73 to 145Mar 14, 2025 to Mar 23, 2026
- Charity clients · 3 to 2Mar 14, 2025 to Mar 23, 2026
- HNW clients · 69 to 90Mar 14, 2025 to Mar 23, 2026
- Pension plan clients · 1 to 3Mar 14, 2025 to Mar 23, 2026
- Discretionary RAUM · $135M to $139MMar 14, 2025 to Mar 23, 2026
- HNW RAUM · $180M to $196MMar 14, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $49.2M to $60.9MMar 14, 2025 to Mar 23, 2026
- Pension RAUM · $270,771 to $1.4MMar 14, 2025 to Mar 23, 2026
- RAUM · $184M to $200MMar 14, 2025 to Mar 23, 2026
- Accounts · 156 to 73Mar 27, 2024 to Mar 14, 2025
- Charity clients · 1 to 3Mar 27, 2024 to Mar 14, 2025
- HNW clients · 95 to 69Mar 27, 2024 to Mar 14, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 14, 2025
- Discretionary RAUM · $109M to $135MMar 27, 2024 to Mar 14, 2025
- HNW RAUM · $142M to $180MMar 27, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $35.2M to $49.2MMar 27, 2024 to Mar 14, 2025
- Pension RAUM · $268,879 to $270,771Mar 27, 2024 to Mar 14, 2025
- RAUM · $144M to $184MMar 27, 2024 to Mar 14, 2025
- Accounts · 169 to 156Mar 29, 2023 to Mar 27, 2024
- Charity clients · unset to 1.0Mar 29, 2023 to Mar 27, 2024
- HNW clients · 99 to 95Mar 29, 2023 to Mar 27, 2024
- Pension plan clients · unset to 1.0Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $108M to $109MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $130M to $142MMar 29, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $23.9M to $35.2MMar 29, 2023 to Mar 27, 2024
- Pension RAUM · $226,350 to $268,879Mar 29, 2023 to Mar 27, 2024
- RAUM · $132M to $144MMar 29, 2023 to Mar 27, 2024
- Accounts · 149 to 169Mar 18, 2022 to Mar 29, 2023
- HNW clients · 96 to 99Mar 18, 2022 to Mar 29, 2023
- Employees · 5 to 4Mar 18, 2022 to Mar 29, 2023
- Discretionary RAUM · $134M to $108MMar 18, 2022 to Mar 29, 2023
- HNW RAUM · $174M to $130MMar 18, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $43.4M to $23.9MMar 18, 2022 to Mar 29, 2023
- Pension RAUM · $340,911 to $226,350Mar 18, 2022 to Mar 29, 2023
- RAUM · $178M to $132MMar 18, 2022 to Mar 29, 2023
- Accounts · 142 to 149Mar 12, 2021 to Mar 18, 2022
- HNW clients · 78 to 96Mar 12, 2021 to Mar 18, 2022
- State-registered IARs · 0 to 3Mar 12, 2021 to Mar 18, 2022
- Discretionary RAUM · $117M to $134MMar 12, 2021 to Mar 18, 2022
- HNW RAUM · $153M to $174MMar 12, 2021 to Mar 18, 2022
Signals
1 dated events
- R•••• O••••••••• I••• filed its initial SEC registration (Form ADV)Sep 9, 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
- Principal office phone
- 212-697-9141reportedpublic record, Form ADV, Mar 23, 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
- $66.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026