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
A••••
Legal name P•••• B• P•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2020 · 9 filings
SEC status approved since Apr 30, 2020
RAUM
$114M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
90%
$102M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$56.9M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$114M as of Mar 30, 2026
Mar 31, 2021$49.6M then
HNW client RAUM$76.3M as of Mar 30, 2026
Mar 31, 2021$31.9M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 31, 20213 then
Employees (5.A)3 as of Mar 30, 2026
Mar 31, 20213 then
Private funds: no history
RAUM +30% over the last fiscal year+25% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 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
- 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
- $56.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $414,094derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.8%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$76.3M67%
- Individuals$26.0M23%
- Pension and profit-sharing plans$8.3M7.3%
- Charitable organizations$3.2M2.8%
- Individual clients
- 71reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 275reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• T••• R•••••Chartered Financial Analyst | Katonah, Ny | Jul 14, 2017 | 22 y | 0 |
| M•••••• T••Certified Financial Planner | Katonah, Ny | Oct 31, 2021 | 11 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
- R•••••• R••••••• T••• · Principalcontrolsince 08/2014 · owns 25% to 50%
- T••• M•••••• · Principalcontrolsince 06/2015 · owns 25% to 50%
- W•••• J••••••• S•••••• · Principal And Chief Compliance Officercontrolsince 04/2018 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Katonah, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 242 to 275Mar 27, 2025 to Mar 30, 2026
- HNW clients · 24 to 26Mar 27, 2025 to Mar 30, 2026
- Individual clients · 66 to 71Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $71.5M to $90.3MMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $56.0M to $76.3MMar 27, 2025 to Mar 30, 2026
- Individual RAUM · $22.2M to $26.0MMar 27, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $16.0M to $23.6MMar 27, 2025 to Mar 30, 2026
- Pension RAUM · $7.6M to $8.3MMar 27, 2025 to Mar 30, 2026
- RAUM · $87.5M to $114MMar 27, 2025 to Mar 30, 2026
- Accounts · 225 to 242Mar 29, 2024 to Mar 27, 2025
- HNW clients · 68 to 24Mar 29, 2024 to Mar 27, 2025
- Individual clients · 16 to 66Mar 29, 2024 to Mar 27, 2025
- Financial planning clients · 26-50 to 26-50Mar 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $61.3M to $71.5MMar 29, 2024 to Mar 27, 2025
- HNW RAUM · $25.1M to $56.0MMar 29, 2024 to Mar 27, 2025
- Individual RAUM · $41.8M to $22.2MMar 29, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $12.4M to $16.0MMar 29, 2024 to Mar 27, 2025
- Pension RAUM · $1.7M to $7.6MMar 29, 2024 to Mar 27, 2025
- RAUM · $73.7M to $87.5MMar 29, 2024 to Mar 27, 2025
- Accounts · 197 to 225Mar 30, 2023 to Mar 29, 2024
- Advisory employees · 3 to 2Mar 30, 2023 to Mar 29, 2024
- HNW clients · 66 to 68Mar 30, 2023 to Mar 29, 2024
- Individual clients · 13 to 16Mar 30, 2023 to Mar 29, 2024
- State-registered IARs · 3 to 2Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $48.5M to $61.3MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $22.8M to $25.1MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $31.0M to $41.8MMar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $9.6M to $12.4MMar 30, 2023 to Mar 29, 2024
- Pension RAUM · $1.5M to $1.7MMar 30, 2023 to Mar 29, 2024
- RAUM · $58.2M to $73.7MMar 30, 2023 to Mar 29, 2024
- Accounts · 184 to 197Mar 30, 2022 to Mar 30, 2023
- HNW clients · 56 to 66Mar 30, 2022 to Mar 30, 2023
- Individual clients · 17 to 13Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $52.7M to $48.5MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $40.1M to $22.8MMar 30, 2022 to Mar 30, 2023
- Individual RAUM · $17.4M to $31.0MMar 30, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $8.7M to $9.6MMar 30, 2022 to Mar 30, 2023
- Pension RAUM · $2.1M to $1.5MMar 30, 2022 to Mar 30, 2023
- RAUM · $61.4M to $58.2MMar 30, 2022 to Mar 30, 2023
- Accounts · 156 to 184Mar 31, 2021 to Mar 30, 2022
Signals
1 dated events
- Atwob filed its initial SEC registration (Form ADV)Mar 30, 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
- Business email
- info@atwob.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 914-302-3233reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- atwob.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (914) 302-3233reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- atwob.com/team-member/michael-tom-cfa-cfpreportedpublished by the firm, firm site, Sep 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
- $56.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026