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
R• F• L••••••• • C••• I•••
Latest filing Aug 28, 2026
First filing on the tape Mar 9, 2016 · 41 filings
SEC status approved since Apr 1, 2016
RAUM
$130M
reported, Item 5.F
Discretionary
55%
of RAUM
Private clients
100%
$130M individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$8.7M
derived; firm RAUM over IAPD count
Employees
80
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$130M as of Aug 28, 2026
Mar 9, 2017$61.5M then
HNW client RAUM$130M as of Aug 28, 2026
Mar 13, 2018$44.5M then
State-registered IARs (5.B.3)10 as of Aug 28, 2026
Mar 9, 201710 then
Employees (5.A)80 as of Aug 28, 2026
Mar 9, 201775 then
Private funds: no history
RAUM -15% over the last fiscal year+56% a year over threeIARs 10 to 10offices 2 to 1
Practice profile
derived from the filing of Aug 28, 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)
- RAUM per advisor
- $8.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $701,748derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 55%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.3derivedItem 5.A over advisors
- Advisors per office
- 7.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -15%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, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$130M100%
- Individual clients
- n/areported
- HNW clients
- 125reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 185reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=78.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| V•• D••••• O•••••••Certified Financial Planner | New York, Ny | Feb 26, 2016 | 45 y | 2 |
| R••••• M•••••• H••••• | Delray Beach, Fl | Feb 29, 2016 | 29 y | 0 |
| A••••••••• T•••••• | New York, Ny | Mar 1, 2016 | 30 y | 6 |
| R••••• J••••• S••••••••• | Potomac Falls, Va | Apr 1, 2016 | 30 y | 2 |
| J••••• A••••• G••••••• | Chadds Ford, Pa | Apr 1, 2016 | 44 y | 2 |
| L•••• J••••• C••••••••• | Downington, Pa | Apr 1, 2016 | 19 y | 3 |
| W•••••• A•••••• D••••••• | New York, Ny | Aug 25, 2016 | 23 y | 2 |
| V••••• S••••••• | Manalapan, Nj | Jan 4, 2017 | 22 y | 0 |
| H•••• B••••• | South River, Nj | Dec 20, 2017 | 26 y | 0 |
| J••• F•••••••• H•••••••••Chartered Financial Analyst | New York, Ny | Mar 2, 2018 | 45 y | 0 |
| J•••• M• M•••••• | New York, Ny | Oct 1, 2021 | 22 y | 5 |
| L••• M•••• R••• | San Diego, Ca | Jan 13, 2023 | 35 y | 2 |
| J••• P• M•••••• | New York, Ny | Oct 30, 2024 | 26 y | 1 |
| E••• R•••••• B••• | New York, Ny | Nov 21, 2024 | 18 y | 0 |
| D•••• P•••• R•••• | Westport, Ct | Jan 22, 2025 | 10 y | 2 |
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•••••• J•••• B••••••••• to A••••••••• F•••••••• S•••••••• L••Dec 14, 2022 · RIA to affiliated broker-dealer or bank
- C••••••••• G••••• H••••••• to E••••• F•••••••• M••••••••• C••••••• L••Feb 25, 2019 · RIA to RIA
- G••••• G•••••• C•••• to M•••••• S••••••••• A•••• M••••••••• L••Jun 23, 2016 · Other
- J••• G••• E•••• to H••••• C•••••• M••••••••• I•••Mar 2, 2016 · Other
- D••••• B• G••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 24, 2010 · Other
- M••• F•••• to C•••••• F•••••••• S•••••••• I•••Dec 31, 2008 · Other
Joined, latest
- D•••• P•••• R•••• from I••••••••• A••••• I••••••••• M••••••••• L••Jan 22, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••• P• M•••••• from H•••• I••••••••• A••••••• I•••Oct 30, 2024 · Other
- L••• M•••• R••• from X••• F•••••••• L••Jan 13, 2023 · Other
- J•••• M• M•••••• from T••••••••• A••••••• I••Oct 1, 2021 · Other
- W•••••• A•••••• D••••••• from W•••• F•••• A•••••••Aug 25, 2016 · Other
- G••••• G•••••• C•••• from F•••••• A••••••• S•••••••• L••Apr 1, 2016 · Other
- J••••• A••••• G••••••• from F•••••• A••••••• S•••••••• L••Apr 1, 2016 · Other
- R••••• J••••• S••••••••• from F•••••• A••••••• S•••••••• L••Apr 1, 2016 · Other
- L•••• J••••• C••••••••• from F•••••• A••••••• S•••••••• L••Apr 1, 2016 · Other
- M•••••• J•••• B••••••••• from F•••••• A••••••• S•••••••• L••Mar 1, 2016 · Other
- A••••••••• T•••••• from F•••••• A••••••• S•••••••• L••Mar 1, 2016 · Other
- V•• D••••• O••••••• from F•••••• A••••••• S•••••••• L••Feb 26, 2016 · Other
- J••• G••• E•••• from G••••• S•••• I••••••••• A••••••• S•••••••• L••Apr 7, 2009 · Other
- M••• F•••• from L••• K••• • C••••••Sep 11, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from F•••••• A••••••• S•••••••• L••Feb 26, 2016 · Radnor, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• H•••• · President, Chief Compliance Officer Of Broker Dealercontrolsince 10/1980 · owns 75% or more
- H•••••• R••••• M•••••• · Vice President, Chief Compliance Officer Of Riacontrolsince 03/2010 · owns less than 5%
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 | 15 | 0 | 0 | ||
| Chadds Ford, Pa | 3 | 0 | 0 | ||
| Boca Raton, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Radnor, PA4 employees
- Oldsmar, FL2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 9, 2026discretionary share of RAUM moved from 100.0% to 55.0% between the annual amendments of 2025-04-01 and 2026-03-09peers: affiliated wealth managers (187)
What changed
consecutive filings, newest first
- Accounts · 175 to 185Feb 9, 2026 to Mar 9, 2026
- Corporate clients · 8 to 0Feb 9, 2026 to Mar 9, 2026
- HNW clients · 175 to 125Feb 9, 2026 to Mar 9, 2026
- Other offices · 2 to 1Feb 9, 2026 to Mar 9, 2026
- Discretionary RAUM · $153M to $71.0MFeb 9, 2026 to Mar 9, 2026
- HNW RAUM · $153M to $130MFeb 9, 2026 to Mar 9, 2026
- Non-discretionary RAUM · $0 to $58.8MFeb 9, 2026 to Mar 9, 2026
- RAUM · $153M to $130MFeb 9, 2026 to Mar 9, 2026
- Financial planning clients · 101-250 to 101-250Apr 1, 2025 to Jul 16, 2025
- Accounts · 148 to 175Jan 30, 2025 to Apr 1, 2025
- Advisory employees · 6 to 10Jan 30, 2025 to Apr 1, 2025
- Advisory activities · 2 to 3Jan 30, 2025 to Apr 1, 2025
- BD registered reps · 65 to 78Jan 30, 2025 to Apr 1, 2025
- HNW clients · 148 to 175Jan 30, 2025 to Apr 1, 2025
- Employees · 67 to 80Jan 30, 2025 to Apr 1, 2025
- Insurance-licensed employees · 1 to 0Jan 30, 2025 to Apr 1, 2025
- Financial planning clients · 0 to 101-250Jan 30, 2025 to Apr 1, 2025
- State-registered IARs · 6 to 10Jan 30, 2025 to Apr 1, 2025
- Discretionary RAUM · $90.9M to $153MJan 30, 2025 to Apr 1, 2025
- HNW RAUM · $90.9M to $153MJan 30, 2025 to Apr 1, 2025
- RAUM · $90.9M to $153MJan 30, 2025 to Apr 1, 2025
- Related broker-dealer · false to trueJan 30, 2025 to Apr 1, 2025
- Accounts · 104 to 148Mar 27, 2024 to Apr 2, 2024
- Advisory employees · 5 to 6Mar 27, 2024 to Apr 2, 2024
- BD registered reps · 16 to 65Mar 27, 2024 to Apr 2, 2024
- HNW clients · 43 to 148Mar 27, 2024 to Apr 2, 2024
- Individual clients · 52.0 to unsetMar 27, 2024 to Apr 2, 2024
- Employees · 16 to 67Mar 27, 2024 to Apr 2, 2024
- State-registered IARs · 0 to 6Mar 27, 2024 to Apr 2, 2024
- Discretionary RAUM · $34.1M to $90.9MMar 27, 2024 to Apr 2, 2024
- HNW RAUM · $20.4M to $90.9MMar 27, 2024 to Apr 2, 2024
- Individual RAUM · 9736782.0 to unsetMar 27, 2024 to Apr 2, 2024
- RAUM · $34.1M to $90.9MMar 27, 2024 to Apr 2, 2024
- Accounts · 159 to 104Feb 14, 2023 to Mar 31, 2023
- Advisory employees · 7 to 5Feb 14, 2023 to Mar 31, 2023
- BD registered reps · 70 to 16Feb 14, 2023 to Mar 31, 2023
- Corporate clients · 17 to 8Feb 14, 2023 to Mar 31, 2023
- HNW clients · 105 to 43Feb 14, 2023 to Mar 31, 2023
- Individual clients · 37 to 52Feb 14, 2023 to Mar 31, 2023
- Employees · 70 to 16Feb 14, 2023 to Mar 31, 2023
Signals
2 dated events
- M•••••• J•••• B••••••••• left R• F• L••••••• • C••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-12-09)Dec 14, 2022 · Advisor changed firm · fact
- R• F• L••••••• • C••• I••• filed its initial SEC registration (Form ADV)Mar 9, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R.F. Lafferty & Co. · Independent Sponsorsshared crd · intermediary
- R• F• L••••••• • C••• I••• · Private Equityshared crd · intermediary
- R.F. Lafferty & Co. · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Business email
- i•••@r•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-293-9090reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- RFL•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-293-9090reportedpublic record, Form ADV, Aug 28, 2026
- Contact form
- r•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $8.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
R• F• L••••••• • C••• I••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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