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•••••••• A•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jul 22, 2015 · 17 filings
SEC status approved since Aug 10, 2015
RAUM
$116M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$116M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$58.0M
derived; firm RAUM over IAPD count
Employees
11
2 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$116M as of Mar 26, 2026
Mar 8, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Mar 8, 20161 then
Employees (5.A)11 as of Mar 26, 2026
Mar 8, 20163 then
Private funds: no history
RAUM +21% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 26, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $58.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $3,416derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%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, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 29,500reportedItem 5.H
- Wrap fee program
- $116MreportedItem 5.I
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$116M100%
- Individual clients
- 29,460reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 33,945reported
- Financial planning clients
- 29,500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• A•••••• G••••• | New York, Ny | Apr 6, 2016 | 11 y | 0 |
| M•••••••• B••••••• | El Paso, Tx | May 13, 2022 | 14 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
- M•••• A• R•••••••• to W••••••• C••••••Apr 12, 2022 · RIA to RIA
Joined, latest
- M•••• A• R•••••••• from W•••• F•••• A•••••••May 20, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• C•••••• A•••••• · Managing Member/Ccocontrolsince 08/2014 · owns less than 5%
- G•••••• C•••••• A•••••• · Shareholdercontrolsince 03/2015 · owns 25% to 50% of F••••••••• I•••
Entity owners
- F••••••••• I••• · Memberdirect · owns 75% or more
- E••• S•••• L• · Shareholderindirect · owns 25% to 50% of F••••••••• I•••
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
- Accounts · 36,714 to 33,945Sep 15, 2025 to Mar 26, 2026
- Advisory employees · 1 to 2Sep 15, 2025 to Mar 26, 2026
- Individual clients · 34,671 to 29,460Sep 15, 2025 to Mar 26, 2026
- Financial planning clients · 0 to More than 500Sep 15, 2025 to Mar 26, 2026
- Discretionary RAUM · $96.1M to $116MSep 15, 2025 to Mar 26, 2026
- Individual RAUM · $96.1M to $116MSep 15, 2025 to Mar 26, 2026
- RAUM · $96.1M to $116MSep 15, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Feb 5, 2025 to Sep 15, 2025
- Accounts · 56,145 to 36,714Feb 26, 2024 to Feb 5, 2025
- Individual clients · 44,993 to 34,671Feb 26, 2024 to Feb 5, 2025
- Pension plan clients · 5.0 to unsetFeb 26, 2024 to Feb 5, 2025
- Employees · 15 to 11Feb 26, 2024 to Feb 5, 2025
- Discretionary RAUM · $82.4M to $96.1MFeb 26, 2024 to Feb 5, 2025
- Individual RAUM · $82.3M to $96.1MFeb 26, 2024 to Feb 5, 2025
- Pension RAUM · 101687.0 to unsetFeb 26, 2024 to Feb 5, 2025
- RAUM · $82.4M to $96.1MFeb 26, 2024 to Feb 5, 2025
- Accounts · 57,662 to 56,145Mar 24, 2023 to Feb 26, 2024
- Individual clients · 45,889 to 44,993Mar 24, 2023 to Feb 26, 2024
- Pension plan clients · unset to 5.0Mar 24, 2023 to Feb 26, 2024
- Discretionary RAUM · $72.1M to $82.4MMar 24, 2023 to Feb 26, 2024
- Individual RAUM · $72.0M to $82.3MMar 24, 2023 to Feb 26, 2024
- Pension RAUM · $94,420 to $101,687Mar 24, 2023 to Feb 26, 2024
- RAUM · $72.1M to $82.4MMar 24, 2023 to Feb 26, 2024
- Accounts · 106,300 to 57,662Mar 30, 2022 to Mar 24, 2023
- Individual clients · 79,109 to 45,889Mar 30, 2022 to Mar 24, 2023
- State-registered IARs · 1 to 2Mar 30, 2022 to Mar 24, 2023
- Discretionary RAUM · $70.6M to $72.1MMar 30, 2022 to Mar 24, 2023
- Individual RAUM · $70.6M to $72.0MMar 30, 2022 to Mar 24, 2023
- Pension RAUM · unset to 94420.0Mar 30, 2022 to Mar 24, 2023
- RAUM · $70.6M to $72.1MMar 30, 2022 to Mar 24, 2023
- Accounts · 91,020 to 106,300Jul 29, 2021 to Mar 30, 2022
- Advisory employees · 2 to 1Jul 29, 2021 to Mar 30, 2022
- Advisory activities · 1 to 2Jul 29, 2021 to Mar 30, 2022
- Individual clients · 69,210 to 79,109Jul 29, 2021 to Mar 30, 2022
- Employees · 10 to 15Jul 29, 2021 to Mar 30, 2022
- State-registered IARs · 2 to 1Jul 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $65.3M to $70.6MJul 29, 2021 to Mar 30, 2022
- Individual RAUM · $65.3M to $70.6MJul 29, 2021 to Mar 30, 2022
- RAUM · $65.3M to $70.6MJul 29, 2021 to Mar 30, 2022
- Accounts · 83,724 to 91,020Mar 25, 2021 to Jul 29, 2021
Signals
2 dated events
- M•••• A• R•••••••• left F•••••••• A•••••••• L•• for W••••••• C•••••• (registered 2022-04-19)Apr 12, 2022 · Advisor changed firm · fact
- F•••••••• I••• filed its initial SEC registration (Form ADV)Jul 22, 2015 · 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
- 800-492-1175reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/10298952reportedpublic record, Form ADV, Sep 18, 2026
- Website
- F••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-596-7292reportedpublic record, Form ADV, Mar 26, 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
- $58.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026