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
C••••••••• W•••••
Legal name T•• S•••••• G•••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 5, 2016 · 26 filings
SEC status approved since Feb 9, 2016
RAUM
$210M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$210M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$52.4M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$210M as of Mar 27, 2026
Feb 28, 2017$32.0M then
HNW client RAUM$150M as of Mar 27, 2026
May 2, 2018$13.1M then
State-registered IARs (5.B.3)4 as of Mar 27, 2026
Feb 28, 20170 then
Employees (5.A)5 as of Mar 27, 2026
Feb 28, 20171 then
Private funds: no history
RAUM +26% over the last fiscal year+34% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $52.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $291,761derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $62.7M, 89 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$150M71%
- Individuals$60.2M29%
- Individual clients
- 111reported
- HNW clients
- 64reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 719reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $62.7M for 89 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••• E•••••••• S•••••Certified Financial Planner | Forest Hills, Ny | Jun 18, 2018 | 10 y | 0 |
| S••• B••• S••••••Certified Financial Planner | Montauk, Ny | Apr 11, 2019 | 18 y | 2 |
| C••••••• Y••••Certified Financial Planner | Brooklyn, Ny | Dec 21, 2023 | 13 y | 0 |
| H••• W••••• | Newcastle, Me | Mar 6, 2025 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount2 left over 36 months
Left, latest
- R•••••• J• I••••••• to H•• P••••••• F••••••Apr 28, 2026 · RIA to a state-registered adviser
- A••••• K•••••••• E•••••• to A•••••••••Mar 17, 2025 · RIA to a newly registered adviser
- S•••••• K••••• H••••• to C••• P•••••••Oct 26, 2022 · RIA to RIA
- N••••••• L• B••• to E••••• A••••••• L••Sep 26, 2022 · RIA to RIA
Joined, latest
- S•••••• K••••• H••••• from H••••• A••••••• L••Sep 1, 2020 · Other
- N••••••• L• B••• from I••••••••• F•••••••• P••••••• L••Oct 1, 2019 · Other
- S••• B••• S•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 11, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• S•••• B••• · Principal & Chief Compliance Officercontrolsince 12/2015 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Montauk, Ny | 4 | 0 | 0 | ||
| Chicago, Il | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 27, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-03, yes on the filing of 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 605 to 719Mar 3, 2025 to Mar 27, 2026
- Advisory employees · 6 to 5Mar 3, 2025 to Mar 27, 2026
- Corporate clients · 1.0 to unsetMar 3, 2025 to Mar 27, 2026
- HNW clients · 47 to 64Mar 3, 2025 to Mar 27, 2026
- Individual clients · 125 to 111Mar 3, 2025 to Mar 27, 2026
- Assets in custody · unset to 62740972.0Mar 3, 2025 to Mar 27, 2026
- Custody of client assets · false to trueMar 3, 2025 to Mar 27, 2026
- Employees · 6 to 5Mar 3, 2025 to Mar 27, 2026
- State-registered IARs · 5 to 4Mar 3, 2025 to Mar 27, 2026
- Discretionary RAUM · $167M to $210MMar 3, 2025 to Mar 27, 2026
- HNW RAUM · $103M to $150MMar 3, 2025 to Mar 27, 2026
- Individual RAUM · $63.3M to $60.2MMar 3, 2025 to Mar 27, 2026
- RAUM · $167M to $210MMar 3, 2025 to Mar 27, 2026
- Accounts · 589 to 605Mar 19, 2024 to Mar 3, 2025
- Advisory employees · 5 to 6Mar 19, 2024 to Mar 3, 2025
- Advisory activities · 4 to 3Mar 19, 2024 to Mar 3, 2025
- HNW clients · 53 to 47Mar 19, 2024 to Mar 3, 2025
- Individual clients · 118 to 125Mar 19, 2024 to Mar 3, 2025
- Pension plan clients · 2.0 to unsetMar 19, 2024 to Mar 3, 2025
- Employees · 5 to 6Mar 19, 2024 to Mar 3, 2025
- Financial planning clients · 101-250 to 101-250Mar 19, 2024 to Mar 3, 2025
- HQ city · unset to Mar 19, 2024 to Mar 3, 2025
- HQ state · unset to Mar 19, 2024 to Mar 3, 2025
- Discretionary RAUM · $131M to $167MMar 19, 2024 to Mar 3, 2025
- HNW RAUM · $77.2M to $103MMar 19, 2024 to Mar 3, 2025
- Individual RAUM · $53.4M to $63.3MMar 19, 2024 to Mar 3, 2025
- Pension RAUM · 391000.0 to unsetMar 19, 2024 to Mar 3, 2025
- RAUM · $131M to $167MMar 19, 2024 to Mar 3, 2025
- Accounts · 531 to 589Apr 10, 2023 to Mar 19, 2024
- Advisory employees · 3 to 5Apr 10, 2023 to Mar 19, 2024
- Corporate clients · unset to 1.0Apr 10, 2023 to Mar 19, 2024
- HNW clients · 55 to 53Apr 10, 2023 to Mar 19, 2024
- Individual clients · 110 to 118Apr 10, 2023 to Mar 19, 2024
- State-registered IARs · 3 to 5Apr 10, 2023 to Mar 19, 2024
- Discretionary RAUM · $88.1M to $131MApr 10, 2023 to Mar 19, 2024
- HNW RAUM · $58.4M to $77.2MApr 10, 2023 to Mar 19, 2024
- Individual RAUM · $29.5M to $53.4MApr 10, 2023 to Mar 19, 2024
- Pension RAUM · $200,000 to $391,000Apr 10, 2023 to Mar 19, 2024
- RAUM · $88.1M to $131MApr 10, 2023 to Mar 19, 2024
- Accounts · 444 to 531Sep 8, 2022 to Mar 27, 2023
Signals
5 dated events
- R•••••• J• I••••••• left C••••••••• W••••• for H•• P••••••• F•••••• (registered 2026-05-07)Apr 28, 2026 · Advisor changed firm · fact
- A••••• K•••••••• E•••••• left C••••••••• W••••• for Adviceonly (registered 2025-03-28)Mar 17, 2025 · Advisor changed firm · fact
- S•••••• K••••• H••••• left C••••••••• W••••• for C••• P••••••• (registered 2023-04-10)Oct 26, 2022 · Advisor changed firm · fact
- N••••••• L• B••• left C••••••••• W••••• for E••••• A••••••• L•• (registered 2022-09-26)Sep 26, 2022 · Advisor changed firm · fact
- T•• S•••••• G•••• L•• filed its initial SEC registration (Form ADV)Feb 5, 2016 · 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 email
- info@napfa.orgreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- bones@napfa.orgreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- casasn@napfa.orgreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- conference@napfa.orgreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- editor@napfa.orgreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- fusilerot@napfa.orgreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- ganzec@napfa.orgreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- groverc@napfa.orgreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- hooksj@napfa.orgreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- arendst@napfa.orgreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- membership@napfa.orgreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- tennanth@napfa.orgreportedpublished 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $52.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026