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
I•••••• I••••••••• M••••••••• L••
Latest filing Jul 6, 2026
First filing on the tape Dec 15, 2011 · 50 filings
SEC status approved since Aug 21, 1968
RAUM
$7.8B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
87%
$6.8B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
50
50 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
3
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$7.8B as of Jul 6, 2026
Dec 15, 2011$2.2B then
HNW client RAUM$5.8B as of Jul 6, 2026
Dec 26, 2017$2.4B then
State-registered IARs (5.B.3)50 as of Jul 6, 2026
Nov 15, 20121 then
Employees (5.A)50 as of Jul 6, 2026
Nov 15, 201236 then
Private funds3 as of Jul 6, 2026
Dec 15, 20113 then
RAUM +50% over the last fiscal year+19% a year over threeIARs 45 to 50
Practice profile
derived from the filing of Jul 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $157MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 16.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, educational seminars, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $4.5B, 2,322 clientsreportedItem 9.A
- 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- the adviser acts as qualified custodian (9.D.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$5.8B74%
- Individuals$1.0B13%
- Corporations and businesses$315M4.0%
- Other investment advisers$264M3.4%
- Pooled investment vehicles$189M2.4%
- Charitable organizations$134M1.7%
- Pension and profit-sharing plans$103M1.3%
- Individual clients
- 3,155reported
- HNW clients
- 1,090reported
- Pension plan clients
- 51reported
- Charitable clients
- 59reported
- Accounts
- 4,453reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $472M managedreported
- Custody of client assets
- $4.5B for 2,322 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.87 fund_share=0.06 institutional_share=0.03 related_bd=true related_bank=false bd_reps=35.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 days0 left over 36 months
Left, latest
- J••• H•••• D••• to C••••• A•••• M••••••••• L••Jan 9, 2018 · RIA to RIA
- R•••••• P••••• D••••••• to D••••••• I••••••••• L••Jul 8, 2005 · Other
Joined, latest
- G••••••• H•••• from G•••••• L••Mar 20, 2026 · RIA to RIA
- M•••••• R••• from R•••• C••••••Jul 3, 2025 · RIA to RIA
- M•••••• B••• from C••••••Aug 12, 2024 · RIA to RIA
- S••••• C••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 22, 2024 · Wirehouse to independent RIA
- H•••• W••••••••• G••••••• from J••• M••••• P•••••• W••••• A••••••• L••Feb 8, 2024 · Affiliated broker-dealer or bank to independent RIA
- T•••••• M•••••• G••••••• from I•••••••• C••••••• L••Nov 12, 2021 · RIA to RIA
- H••••• M•• W••••• from M••••••• S•••• A••••••••• L••Sep 15, 2021 · Other
- J•••• S•••• M•••• from C•••••• F•••••••• G••••• I•••Feb 23, 2017 · Other
- J••• H• H••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 9, 2016 · Other
- J••• H•••• D••• from B• C• Z•••••• A•• C••••••Jan 15, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 12 left for I•••••• I••••••••• M••••••••• L••Aug 10, 2026 · New York, Ny · Firm absorbed
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•••••• • S••••• V•••• P•••••••• L• | Hedge Fund | $93.7M | 37 | Dec 15, 2011 |
| I•• A•••• P••••••• L• | Hedge Fund | $26.3M | 20 | Mar 10, 2022 |
| U•••••••• P•••••••• L• | Hedge Fund | $22.2M | 13 | Dec 15, 2011 |
| M••••• P•••••••• L•no longer reported | Hedge Fund | $16.4M | 20 | Dec 15, 2011 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• T••••• O•••• J• · Managing Directorcontrolsince 01/1996 · owns less than 5%
- C•••• R••••• A•••••• · Chief Executive Officercontrolsince 07/2011 · owns less than 5%
- D••••••••• J••• J••••• · Managing Directorcontrolsince 01/1996 · owns less than 5%
- G•••••••• A•••••••• M••••••• · Managing Directorcontrolsince 03/2012 · owns less than 5%
- G•••••••• A••• F• · Executive Directorcontrolsince 01/2025 · owns less than 5%
- J••••••• A••• D•••• · Managing Directorcontrolsince 01/2023 · owns less than 5%
- L••••••••• K•••• S•••• · Managing Directorcontrolsince 07/2011 · owns less than 5%
- M•••••• A•••• B••••• · Managing Directorcontrolsince 01/2025 · owns less than 5%
- M•••••• S••• P•••••• · Managing Directorcontrolsince 01/2014 · owns less than 5%
- P•••• C•••••••• C•••••• · Executive Directorcontrolsince 01/2020 · owns less than 5%
- R•••••• G•• R••••••• · Managing Directorcontrolsince 07/2011 · owns less than 5%
- S•••••• F•••• · Chief Financial Officercontrolsince 02/2011 · owns 5% to 10%
- T•••••••• J•••• E•••• · Managing Directorcontrolsince 01/2017 · owns less than 5%
- W•••••• C•••••••• E•••••••• · Managing Directorcontrolsince 01/2013 · owns less than 5%
Entity owners
- I•• G••••• L•• · Parent Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- M•••••Town, WV1 employees
- Wellesley, MA1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Jul 6, 2026broker-dealer affiliate (Item 7.A.1): no on the filing of 2025-12-24, yes on the filing of 2026-07-06peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 6, 2026G•••••••• A••• F• (EXECUTIVE DIRECTOR) appeared on Schedule A between the filings of 2023-12-22 and 2026-07-06peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 6, 2026M•••••• A•••• B••••• (MANAGING DIRECTOR) appeared on Schedule A between the filings of 2023-12-22 and 2026-07-06peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 6, 2026S•••••• F•••• (MANAGING DIRECTOR) left Schedule A between the filings of 2023-12-22 and 2026-07-06peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- BD registered reps · 60 to 35Dec 24, 2025 to Jul 6, 2026
- Business name · I•••••• • S••••• L•• to I•••••• I••••••••• M••••••••• L••Dec 24, 2025 to Jul 6, 2026
- Employees · 92 to 50Dec 24, 2025 to Jul 6, 2026
- Legal name · I•••••• • S••••• L•• to I•••••• I••••••••• M••••••••• L••Dec 24, 2025 to Jul 6, 2026
- Related adviser · false to trueDec 24, 2025 to Jul 6, 2026
- Related broker-dealer · false to trueDec 24, 2025 to Jul 6, 2026
- Accounts · 4,189 to 4,453May 16, 2025 to Dec 24, 2025
- BD registered reps · 64 to 60May 16, 2025 to Dec 24, 2025
- Charity clients · 55 to 59May 16, 2025 to Dec 24, 2025
- Corporate clients · 77 to 94May 16, 2025 to Dec 24, 2025
- HNW clients · 817 to 1,090May 16, 2025 to Dec 24, 2025
- Individual clients · 3,184 to 3,155May 16, 2025 to Dec 24, 2025
- Assets in custody · $3.8B to $4.5BMay 16, 2025 to Dec 24, 2025
- Employees · 84 to 92May 16, 2025 to Dec 24, 2025
- Discretionary RAUM · $6.7B to $7.7BMay 16, 2025 to Dec 24, 2025
- HNW RAUM · $4.8B to $5.8BMay 16, 2025 to Dec 24, 2025
- Individual RAUM · $1.1B to $1.0BMay 16, 2025 to Dec 24, 2025
- Non-discretionary RAUM · $153M to $159MMay 16, 2025 to Dec 24, 2025
- Pension RAUM · $106M to $103MMay 16, 2025 to Dec 24, 2025
- Pooled vehicle RAUM · $140M to $189MMay 16, 2025 to Dec 24, 2025
- RAUM · $6.9B to $7.8BMay 16, 2025 to Dec 24, 2025
- Wrap assets (manager) · $499M to $472MMay 16, 2025 to Dec 24, 2025
- Financial planning clients · 11-25 to 11-25Dec 22, 2024 to May 16, 2025
- Accounts · 5,816 to 4,189Sep 5, 2024 to Dec 22, 2024
- Advisory employees · 45 to 50Sep 5, 2024 to Dec 22, 2024
- BD registered reps · 61 to 64Sep 5, 2024 to Dec 22, 2024
- Charity clients · 49 to 55Sep 5, 2024 to Dec 22, 2024
- Corporate clients · 51 to 77Sep 5, 2024 to Dec 22, 2024
- HNW clients · 605 to 817Sep 5, 2024 to Dec 22, 2024
- Individual clients · 3,247 to 3,184Sep 5, 2024 to Dec 22, 2024
- Pension plan clients · 34 to 51Sep 5, 2024 to Dec 22, 2024
- Assets in custody · $3.2B to $3.8BSep 5, 2024 to Dec 22, 2024
- Employees · 82 to 84Sep 5, 2024 to Dec 22, 2024
- Financial planning clients · 1-10 to 11-25Sep 5, 2024 to Dec 22, 2024
- State-registered IARs · 45 to 50Sep 5, 2024 to Dec 22, 2024
- Discretionary RAUM · $5.1B to $6.7BSep 5, 2024 to Dec 22, 2024
- HNW RAUM · $3.1B to $4.8BSep 5, 2024 to Dec 22, 2024
- Individual RAUM · $1.3B to $1.1BSep 5, 2024 to Dec 22, 2024
- Non-discretionary RAUM · $153M to $153MSep 5, 2024 to Dec 22, 2024
- Pension RAUM · $79.8M to $106MSep 5, 2024 to Dec 22, 2024
Signals
9 dated events
- I•••••• I••••••••• M••••••••• L••'s advisors moved to I•••••• I••••••••• M••••••••• L•• (New York, NY): 12 of 13 registered, on the same dayAug 10, 2026 · Firm absorbed (people side) · derived
- I•••••• I••••••••• M••••••••• L•• reported RAUM $6.9B, up 32% from $5.2B (2024-09-05 to 2024-12-22)Dec 22, 2024 · RAUM change · derived
- Adam David Janovic (Managing Director) appeared on Schedule A of I•••••• I••••••••• M••••••••• L••Dec 22, 2023 · Control person joined · fact
- William Reed Simmons (Managing Director) no longer on Schedule A of I•••••• I••••••••• M••••••••• L•• (listed 2023-11-02, absent 2023-12-22)Dec 22, 2023 · Control person left · inference
- Lawton Storrs Lamb (Managing Director) no longer on Schedule A of I•••••• I••••••••• M••••••••• L•• (listed 2022-03-10, absent 2022-12-22)Dec 22, 2022 · Control person left · inference
- I•••••• I••••••••• M••••••••• L•• reported 45 state-registered advisory representatives, up from 0 (2022-03-10 to 2022-12-22)Dec 22, 2022 · Advisor headcount change · derived
- I•••••• I••••••••• M••••••••• L•• reported RAUM $4.7B, up 38% from $3.4B (2021-05-10 to 2021-12-23)Dec 23, 2021 · RAUM change · derived
- James Stewart Slocum (Managing Director) no longer on Schedule A of I•••••• I••••••••• M••••••••• L•• (listed 2020-06-17, absent 2020-12-21)Dec 21, 2020 · Control person left · inference
- Christopher Randall Siege (Managing Director) no longer on Schedule A of I•••••• I••••••••• M••••••••• L•• (listed 2019-02-15, absent 2019-12-23)Dec 23, 2019 · Control person left · inference
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
- 212-269-7800reportedpublic record, Form ADV, Dec 22, 2024
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026