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
E•••• B•• F••••• O•••••
Legal name E•••• B•• A••••••• L••
Latest filing Apr 15, 2026
First filing on the tape Sep 29, 2015 · 25 filings
SEC status approved since Oct 13, 2015
RAUM
$681M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$681M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$68.1M
derived; firm RAUM over IAPD count
Employees
15
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$681M as of Apr 15, 2026
Mar 31, 2016$169M then
HNW client RAUM$675M as of Apr 15, 2026
Mar 31, 2018$219M then
State-registered IARs (5.B.3)10 as of Apr 15, 2026
Mar 31, 20160 then
Employees (5.A)15 as of Apr 15, 2026
Mar 31, 20165 then
Private funds: no history
RAUM -28% over the last fiscal year-1.9% a year over threeIARs 11 to 10
Practice profile
derived from the filing of Apr 15, 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
- $68.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $18.2MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -28%derivedbetween the last two annual amendments
- Advisor growth, one year
- -9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -51%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $151M, 58 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$675M99%
- Individuals$5.6M0.8%
- Individual clients
- 13reported
- HNW clients
- 37reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 475reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $151M for 58 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• D•••• N•••••Chartered Financial Analyst | San Juan, Pr | Sep 17, 2021 | 21 y | 0 |
| G••••• C•••••• S•••••• | New York, Ny | Sep 17, 2021 | 46 y | 2 |
| T•••••• B••••• M••••••• | New York, Ny | Feb 13, 2023 | 30 y | 0 |
| J••••• L••• B•••••••• | New York, Ny | Mar 2, 2023 | 9 y | 0 |
| C•••••• A•• C••••• N••••• | New York, Ny | Mar 20, 2023 | 27 y | 0 |
| D•••• Z•••Chartered Financial Analyst | Weston, Ct | Jun 27, 2023 | 27 y | 4 |
| G••••• S••••• C••• | New York, Ny | Aug 8, 2024 | 26 y | 0 |
| J•••• L••• S••• | New York, Ny | Oct 7, 2024 | 19 y | 0 |
| K••• B••••• K••• | New York, Ny | Oct 14, 2024 | 11 y | 0 |
| J••••••••• F••••••• C••••• | New York, Ny | Dec 11, 2024 | 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
- T••••• C• H•••• to L••••• A•••• M••••••••• L••Jun 15, 2023 · Other
- J•••• M•••••• A••••• to H••••• C•••••• A•••••••• I•••Jan 17, 2023 · Other
Joined, latest
- D•••• Z••• from Z••• C•••••• M••••••••• L•••Jun 27, 2023 · Other
- J•••• M•••••• A••••• from B•••••• F•••••••• G•••• L••Sep 9, 2022 · RIA to RIA
- G••••• C•••••• S•••••• from W•••• F•••• A•••••••Sep 17, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• N•••••• C••••••• A•• · Chief Compliance Officer, Chief Operating Officercontrolsince 09/2021 · owns less than 5%
- N•••••• M••••••• D•••• · Chief Executive Officer And Chief Investment Officercontrolsince 06/2015 · owns 50% to 75%
- N••••••• D••••• L•••• C••••• · Partnercontrolsince 02/2023 · 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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 10 | 0 | 0 | ||
| San Juan, Pr | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 15, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $948,458,594 to $680,792,794, advisors 11 to 10, private clients 103 to 50, offices 1 to 1 (2025-03-26 to 2026-04-15)peers: independent wealth managers, $500M to $1B (1,482)
- unusually large average HNW clientStatic outlier · filing Apr 15, 2026HNW RAUM per HNW client of $18,248,652 against a peer median of $3,134,900 (1404 comparable advisers, 100.0th percentile, 10.0 robust deviations)peers: independent wealth managers, $500M to $1B (1,404) · 100% percentile
- RAUM down 25 %Change between filings · filing Apr 15, 2026RAUM (Item 5.F) moved from $948,458,594 to $680,792,794 (-28.0%) between the annual amendments of 2025-03-26 and 2026-04-15; the peer median change was +16.0% (1385 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 0.6% percentile
- client count collapseChange between filings · filing Apr 15, 2026individual and HNW clients (Item 5.D) moved from 103.0 to 50.0 (-51.0%) between the annual amendments of 2025-03-26 and 2026-04-15; the peer median change was +5.0% (1216 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,216) · 1.3% percentile
What changed
consecutive filings, newest first
- Accounts · 675 to 475Mar 26, 2025 to Mar 24, 2026
- Advisory employees · 5 to 4Mar 26, 2025 to Mar 24, 2026
- HNW clients · 74 to 37Mar 26, 2025 to Mar 24, 2026
- Individual clients · 29 to 13Mar 26, 2025 to Mar 24, 2026
- State-registered IARs · 11 to 10Mar 26, 2025 to Mar 24, 2026
- Discretionary RAUM · $917M to $681MMar 26, 2025 to Mar 24, 2026
- HNW RAUM · $942M to $675MMar 26, 2025 to Mar 24, 2026
- Individual RAUM · $6.8M to $5.6MMar 26, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $31.2M to $0Mar 26, 2025 to Mar 24, 2026
- RAUM · $948M to $681MMar 26, 2025 to Mar 24, 2026
- Accounts · 637 to 675Dec 26, 2024 to Mar 26, 2025
- Advisory employees · 4 to 5Dec 26, 2024 to Mar 26, 2025
- HNW clients · 72 to 74Dec 26, 2024 to Mar 26, 2025
- Individual clients · 16 to 29Dec 26, 2024 to Mar 26, 2025
- Assets in custody · $142M to $151MDec 26, 2024 to Mar 26, 2025
- Employees · 16 to 15Dec 26, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Dec 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $884M to $917MDec 26, 2024 to Mar 26, 2025
- HNW RAUM · $882M to $942MDec 26, 2024 to Mar 26, 2025
- Individual RAUM · $4.7M to $6.8MDec 26, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $2.5M to $31.2MDec 26, 2024 to Mar 26, 2025
- RAUM · $887M to $948MDec 26, 2024 to Mar 26, 2025
- Assets in custody · unset to 142463878.0Oct 1, 2024 to Dec 26, 2024
- Custody of client assets · false to trueOct 1, 2024 to Dec 26, 2024
- Employees · 15 to 16Oct 1, 2024 to Dec 26, 2024
- State-registered IARs · 10 to 11Oct 1, 2024 to Dec 26, 2024
- State-registered IARs · 7 to 10Jun 24, 2024 to Oct 1, 2024
- Accounts · 565 to 637Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 2 to 4Mar 31, 2023 to Mar 29, 2024
- HNW clients · 52 to 72Mar 31, 2023 to Mar 29, 2024
- Individual clients · 23 to 16Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $721M to $884MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $716M to $882MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $4.9M to $4.7MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $0 to $2.5MMar 31, 2023 to Mar 29, 2024
- RAUM · $721M to $887MMar 31, 2023 to Mar 29, 2024
- Accounts · 929 to 565Feb 23, 2023 to Mar 31, 2023
- Advisory employees · 3 to 2Feb 23, 2023 to Mar 31, 2023
- HNW clients · 46 to 52Feb 23, 2023 to Mar 31, 2023
- Individual clients · 20 to 23Feb 23, 2023 to Mar 31, 2023
Signals
10 dated events
- E•••• B•• F••••• O••••• reported RAUM $680.8M, down 28% from $948.5M (2025-03-26 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- T••••• C• H•••• left E•••• B•• F••••• O••••• for L••••• A•••• M••••••••• L•• (registered 2023-06-08)Jun 15, 2023 · Advisor changed firm · fact
- J•••• M•••••• A••••• left E•••• B•• F••••• O••••• for H••••• C•••••• A•••••••• I••• (registered 2023-02-08)Jan 17, 2023 · Advisor changed firm · fact
- E•••• B•• F••••• O••••• reported RAUM $806.1M, up 59% from $506.9M (2022-02-01 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Ann Cynthia Curtis (Chief Compliance Officer, Chief Operating Officer) appeared on Schedule A of E•••• B•• F••••• O•••••Oct 19, 2021 · Control person joined · fact
- E•••• B•• F••••• O••••• reported RAUM $506.9M, up 26% from $403.8M (2020-06-18 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- E•••• B•• F••••• O••••• reported RAUM $403.8M, up 39% from $290.6M (2019-03-30 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Louis Cleary David Neubert (Chief Investment Officer) appeared on Schedule A of E•••• B•• F••••• O•••••Mar 30, 2020 · Control person joined · fact
- E•••• B•• A••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 29, 2015 · Succession (Item 4) · fact
- E•••• B•• A••••••• L•• filed its initial SEC registration (Form ADV)Sep 29, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E•••• B•• F••••• O••••• · Family Officesshared crd · office
- E•••• B•• F••••• O••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/eagle-bay-family-officereportedpublic record, Form ADV, Sep 18, 2026
- Website
- eaglebayadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-634-7879reportedpublic record, Form ADV, Apr 15, 2026
- Team page
- eaglebayadvisors.com/about/meet-our-teamreportedpublished 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
- $68.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026