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.
SEC-registered adviser
Proficio Capital Partners LLC
Latest filing Sep 1, 2026
First filing on the tape Jul 27, 2015 · 30 filings
SEC status approved since Jul 31, 2015
RAUM
$8.2B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
88%
$7.2B individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$4.1B
derived; firm RAUM over IAPD count
Employees
25
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$5.3B as of Apr 27, 2026
Mar 28, 2016$374M then
HNW client RAUM$4.4B as of Apr 27, 2026
Feb 26, 2018$828M then
State-registered IARs (5.B.3)1 as of Apr 27, 2026
Mar 28, 20160 then
Employees (5.A)23 as of Apr 27, 2026
Mar 28, 20165 then
Private funds8 as of Apr 27, 2026
Mar 29, 20211 then
RAUM +127% over the last fiscal year+37% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Sep 1, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $4.1BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $50.2MderivedHNW RAUM over HNW clients
- Average account
- $5.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 12.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +46%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 fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- $798M, 20 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$7.2B88%
- Corporations and businesses$506M6.2%
- Pooled investment vehicles$339M4.1%
- Investment companies$95.3M1.2%
- Other investment advisers$55.1M0.7%
- Individual clients
- n/areported
- HNW clients
- 143reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,538reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $798M for 20 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.88 fund_share=0.06 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Peter Walter Kronberg | Newton, Ma | Sep 23, 2015 | 17 y | 2 |
| Taylor Lynn KaleCertified Financial Planner | Newton, Ma | Jan 14, 2025 | 12 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
none on the tape
Joined, latest
- Taylor Lynn Kale from Twin Focus Capital Partners, LLCJan 14, 2025 · RIA to RIA
- Peter Walter Kronberg from Haber Trilix Advisors, LPSep 23, 2015 · Other
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Proficio Alternative Opportunities Fund | Other Private Fund | $135M | 87 | Aug 7, 2020 |
| Proficio Long-Term Alternative Series Of The Proficio Gateway Fund LLC | Other Private Fund | $69.5M | 61 | Mar 31, 2023 |
| Proficio Clean Horizons Series Of The Proficio Gateway Fund LLC | $38.3M | 45 | Sep 1, 2026 | |
| Proficio Canadian Alternative Real Estate Fund LP | Real Estate Fund | $20.4M | 57 | Mar 31, 2023 |
| Proficio Dynamic Balanced Fund LP | Other Private Fund | $9.1M | 2 | Mar 31, 2023 |
| Proficio Renew Green Energy Income LP | Other Private Fund | $8.5M | 53 | Mar 31, 2023 |
| Proficio Special Investment 1 LP | Venture Capital Fund | $4.6M | 47 | Mar 31, 2023 |
| Proficio Motor Mart Garage Fund LP | Real Estate Fund | $208,754 | 22 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Arthur Richard Blond · Managing Partner - Floridacontrolsince 09/2022 · owns less than 5%
- Gregory Burke · Partner Portfolio Managercontrolsince 12/2024 · owns less than 5%
- Elizabeth Lauren Denklau · Chief Administration Officercontrolsince 12/2019 · owns less than 5%
- J Robert Haber · Chief Investment Officer, Membercontrolsince 08/2014 · owns 10% to 25%
- Sheldon Hanau · Chief Strategy Officercontrolsince 02/2019 · owns less than 5%
- Chines Kathleen Herr · Chief Financial Officercontrolsince 01/2024 · owns less than 5%
- Walter Peter Kronberg · General Counsel/Chief Compliance Officercontrolsince 06/2015 · owns less than 5%
- Onnie Warren Mayshak · Partner, Portfolio Managementcontrolsince 12/2024 · owns less than 5%
- Thompson Justin Sussman · Chief Operating Officer/Partnercontrolsince 09/2015 · owns 5% to 10%
- Harrison Matthew Wosk · Managing Membercontrolsince 08/2014 · owns 75% or more
Entity owners
- Katz Family 2014 Limited · Member Class Cdirect · owns 10% to 25%
- Katz Family 2014 Limited Partnership · Member Class C Sharesdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Newton, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Miami, FL1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 1, 2026MAYSHAK, WARREN, ONNIE (PARTNER, PORTFOLIO MANAGEMENT) appeared on Schedule A between the filings of 2024-03-13 and 2026-09-01peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Sep 1, 2026Burke, Gregory (PARTNER PORTFOLIO MANAGER) appeared on Schedule A between the filings of 2024-03-13 and 2026-09-01peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 1,427 to 1,538Apr 27, 2026 to Sep 1, 2026
- HNW clients · 138 to 143Apr 27, 2026 to Sep 1, 2026
- Assets in custody · $607M to $798MApr 27, 2026 to Sep 1, 2026
- Employees · 23 to 25Apr 27, 2026 to Sep 1, 2026
- Financial planning clients · to unsetApr 27, 2026 to Sep 1, 2026
- State-registered IARs · 1 to 2Apr 27, 2026 to Sep 1, 2026
- Private funds · 8 to unsetApr 27, 2026 to Sep 1, 2026
- Discretionary RAUM · $4.9B to $7.6BApr 27, 2026 to Sep 1, 2026
- HNW RAUM · $4.4B to $7.2BApr 27, 2026 to Sep 1, 2026
- Non-discretionary RAUM · $370M to $536MApr 27, 2026 to Sep 1, 2026
- Pooled vehicle RAUM · $346M to $339MApr 27, 2026 to Sep 1, 2026
- RAUM · $5.3B to $8.2BApr 27, 2026 to Sep 1, 2026
- Related adviser · false to unsetApr 27, 2026 to Sep 1, 2026
- Related bank · false to unsetApr 27, 2026 to Sep 1, 2026
- Related broker-dealer · false to unsetApr 27, 2026 to Sep 1, 2026
- Related insurance company · false to unsetApr 27, 2026 to Sep 1, 2026
- Succession · false to unsetApr 27, 2026 to Sep 1, 2026
- Accounts · 1,302 to 1,427Aug 27, 2025 to Mar 30, 2026
- Advisory employees · 10 to 11Aug 27, 2025 to Mar 30, 2026
- Advisory activities · 4 to 5Aug 27, 2025 to Mar 30, 2026
- HNW clients · 129 to 138Aug 27, 2025 to Mar 30, 2026
- Assets in custody · $447M to $607MAug 27, 2025 to Mar 30, 2026
- Employees · 21 to 23Aug 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.6B to $4.9BAug 27, 2025 to Mar 30, 2026
- HNW RAUM · $3.1B to $4.4BAug 27, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $421M to $370MAug 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $326M to $346MAug 27, 2025 to Mar 30, 2026
- RAUM · $4.0B to $5.3BAug 27, 2025 to Mar 30, 2026
- Accounts · 1,325 to 1,302Mar 25, 2025 to Jun 11, 2025
- HNW clients · 135 to 129Mar 25, 2025 to Jun 11, 2025
- Assets in custody · $437M to $447MMar 25, 2025 to Jun 11, 2025
- Financial planning clients · unset to Mar 25, 2025 to Jun 11, 2025
- Discretionary RAUM · $3.1B to $3.6BMar 25, 2025 to Jun 11, 2025
- HNW RAUM · $2.8B to $3.1BMar 25, 2025 to Jun 11, 2025
- Non-discretionary RAUM · $474M to $421MMar 25, 2025 to Jun 11, 2025
- Pooled vehicle RAUM · $324M to $326MMar 25, 2025 to Jun 11, 2025
- RAUM · $3.6B to $4.0BMar 25, 2025 to Jun 11, 2025
- Accounts · 1,194 to 1,325Apr 8, 2024 to Mar 25, 2025
- Advisory employees · 11 to 10Apr 8, 2024 to Mar 25, 2025
- HNW clients · 121 to 135Apr 8, 2024 to Mar 25, 2025
Signals
9 dated events
- Proficio Capital Partners Llc reported RAUM $8.2B, up 55% from $5.3B (2026-04-27 to 2026-09-01)Sep 1, 2026 · RAUM change · derived
- Proficio Capital Partners Llc reported RAUM $5.3B, up 32% from $4.0B (2025-08-27 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Chines Kathleen Herr (Chief Financial Officer) appeared on Schedule A of Proficio Capital Partners LlcMar 13, 2024 · Control person joined · fact
- Arthur Richard Blond (Managing Partner - Florida) appeared on Schedule A of Proficio Capital Partners LlcMar 31, 2023 · Control person joined · fact
- Proficio Capital Partners Llc reported RAUM $2.0B, up 81% from $1.1B (2020-05-07 to 2020-08-07)Aug 7, 2020 · RAUM change · derived
- Proficio Capital Partners Llc reported RAUM $1.1B, up 32% from $827.8M (2019-03-29 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- Elizabeth Lauren Denklau (Chief Administration Officer) appeared on Schedule A of Proficio Capital Partners LlcMar 31, 2020 · Control person joined · fact
- Sheldon Hanau (Chief Strategy Officer) appeared on Schedule A of Proficio Capital Partners LlcMar 29, 2019 · Control person joined · fact
- Proficio Capital Partners Llc filed its initial SEC registration (Form ADV)Jul 27, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Proficio Capital Partners LLC · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@proficiocap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- akehm@proficiocap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- akielar@proficiocap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- bhaber@proficiocap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- gburke@proficiocap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- gpuskar@proficiocap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- hwu@proficiocap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jaronson@proficiocap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jfeda@proficiocap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jsussman@proficiocap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- kherr@proficiocap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- lcovello@proficiocap.comreportedpublished by the firm, firm site, Sep 15, 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
- $4.1Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Proficio Capital Partners LLC 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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