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
Douglas C. Lane & Associates
Legal name Douglas Lane & Associates, LLC
Latest filing Mar 30, 2026
First filing on the tape Jan 8, 2016 · 32 filings
SEC status approved since Jan 1, 2016
RAUM
$8.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$7.7B individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$528M
derived; firm RAUM over IAPD count
Employees
37
17 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$8.4B as of Mar 30, 2026
Mar 29, 2016$4.4B then
HNW client RAUM$7.6B as of Mar 30, 2026
Mar 27, 2018$4.4B then
State-registered IARs (5.B.3)17 as of Mar 30, 2026
Mar 29, 20160 then
Employees (5.A)37 as of Mar 30, 2026
Mar 29, 201634 then
Private funds: no history
RAUM +2.6% over the last fiscal year+6.2% a year over threeIARs 17 to 17
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $528MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.7MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 5.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $7.9B, 1,207 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$7.6B90%
- Pension and profit-sharing plans$313M3.7%
- Charitable organizations$201M2.4%
- Corporations and businesses$197M2.3%
- Individuals$101M1.2%
- Individual clients
- 210reported
- HNW clients
- 874reported
- Pension plan clients
- 27reported
- Charitable clients
- 14reported
- Accounts
- 5,556reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.9B for 1,207 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.06 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Sarat SethiChartered Financial Analyst, Chartered Investment Counselor | New York, Ny | Feb 17, 2016 | 10 y | 0 |
| Edward Dakin DeweesChartered Financial Analyst, Chartered Investment Counselor | New York, Ny | Feb 17, 2016 | 20 y | 1 |
| John Ralph Sini | New York, Ny | Feb 18, 2016 | 10 y | 0 |
| Douglas Calder Lane | Boca Grande, Fl | Mar 2, 2016 | 34 y | 0 |
| Michael S Razewski | New York, Ny | Nov 16, 2021 | 23 y | 1 |
| Marc Vance MilicCertified Financial Planner | New York, Ny | Nov 18, 2021 | 24 y | 0 |
| Charles Francis BustinChartered Financial Analyst | New York, Ny | Nov 18, 2021 | 16 y | 0 |
| Kelleen KielyChartered Financial Analyst | New York, Ny | Nov 18, 2021 | 20 y | 0 |
| Frasier EstyCertified Financial Planner | New York, Ny | Nov 18, 2021 | 11 y | 0 |
| Daniel MenesesChartered Financial Analyst | New York, Ny | Nov 18, 2021 | 10 y | 0 |
| Matthew Lee VettoChartered Financial Analyst | New York, Ny | Nov 18, 2021 | 28 y | 0 |
| Kaitlin R WeidnerChartered Financial Analyst | New York, Ny | Aug 22, 2023 | 13 y | 0 |
| Jeremy WittenbergCertified Financial Planner | New York, Ny | Jun 26, 2024 | 13 y | 4 |
| Michael S JensenCertified Financial Planner, Chartered Financial Consultant | New York, Ny | Dec 23, 2024 | 13 y | 0 |
| Robert David Lane | Boca Grande, Fl | Oct 1, 2025 | 46 y | 3 |
| Kevin Edward WaldenChartered Financial Analyst | Laguna Beach, Ca | Oct 30, 2025 | 18 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- Thomas Decker to Cerity Partners LLCJun 30, 2025 · RIA to RIA
- Amanda A Tappen to First Manhattan Co. LLCMar 27, 2024 · RIA to affiliated broker-dealer or bank
- Emma Keidy Mcgraw to First Manhattan CoJul 20, 2022 · RIA to RIA
- Stephanie Torosian to Wells Fargo AdvisorsJun 28, 2022 · RIA to wirehouse
Joined, latest
- Kevin Edward Walden from Levasseur Capital Partners LLCOct 30, 2025 · RIA to RIA
- Robert David Lane from Morgan StanleyOct 1, 2025 · Wirehouse to independent RIA
- Jeremy Wittenberg from CorientJun 26, 2024 · RIA to RIA
- Michael S Razewski from Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 16, 2021 · Wirehouse to independent RIA
- Stephanie Torosian from Gary Goldberg Planning ServicesJul 29, 2021 · RIA to RIA
- Thomas Decker from Morgan StanleyJul 28, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Dakin Edward Dewees · Managing Partnercontrolsince 01/2016 · owns less than 5%
- Sarat Sethi · Managing Partnercontrolsince 01/2016 · owns less than 5%
- Anne Nicole Solinga-Stasi · Chief Compliance Officercontrolsince 01/2016 · owns less than 5%
Entity owners
- Focus Operating, LLC · Memberdirect · owns 75% or more
- Cd&R Ferdinand Co-Investor, L.P. · Partnerindirect · owns 25% to 50% of Cd&R Ferdinand Holdings, L.P
- Cd&R Ferdinand Holdings, L.P · Partnerindirect · owns 50% to 75% of Ferdinand Ffp Ultimate Holdings, LP
- Clayton Dubilier & Rice Fund Xii, L.P. · Partnerindirect · owns 50% to 75% of Cd&R Ferdinand Holdings, L.P
- Ferdinand Ffp Acquisition, LLC · Shareholder, Class A Common Stockindirect · owns 75% or more of Focus Financial Partners, LLC
- Ferdinand Ffp Intermediate Holdings, LLC · Memberindirect · owns 75% or more of Ferdinand Ffp Acquisition, LLC
- Ferdinand Ffp Parent, Inc. · Memberindirect · owns 75% or more of Ferdinand Ffp Intermediate Holdings, LLC
- Ferdinand Ffp Ultimate Holdings, LP · Shareholder, Class B Common Stockindirect · owns 75% or more of Focus Financial Partners Inc.
- Ferdinand Ffp Ultimate Holdings, LP · Shareholderindirect · owns 75% or more of Ferdinand Ffp Parent, Inc.
- Focus Financial Partners Inc. · Memberindirect · owns 75% or more of Focus Financial Partners, LLC
- Focus Financial Partners, LLC · Memberindirect · owns 75% or more of Focus Operating, LLC
Related persons
Schedule D 7.A
- Focus Risk Solutions, LLCreal estaten
Advisers that list Douglas C. Lane & Associates as a related person
- 122258 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 14 | 1 | 0 | ||
| Boca Grande, Fl | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boca Grande, FL2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 5,608 to 5,556Feb 9, 2026 to Mar 30, 2026
- Corporate clients · 24 to 19Feb 9, 2026 to Mar 30, 2026
- HNW clients · 909 to 874Feb 9, 2026 to Mar 30, 2026
- Individual clients · 241 to 210Feb 9, 2026 to Mar 30, 2026
- Pension plan clients · 32 to 27Feb 9, 2026 to Mar 30, 2026
- Assets in custody · $7.4B to $7.9BFeb 9, 2026 to Mar 30, 2026
- Discretionary RAUM · $8.2B to $8.4BFeb 9, 2026 to Mar 30, 2026
- HNW RAUM · $7.1B to $7.6BFeb 9, 2026 to Mar 30, 2026
- Individual RAUM · $133M to $101MFeb 9, 2026 to Mar 30, 2026
- Pension RAUM · $588M to $313MFeb 9, 2026 to Mar 30, 2026
- RAUM · $8.2B to $8.4BFeb 9, 2026 to Mar 30, 2026
- Advisory activities · 4 to 5Apr 8, 2025 to Feb 9, 2026
- Accounts · 5,520 to 5,608Mar 27, 2024 to Apr 8, 2025
- Advisory employees · 16 to 17Mar 27, 2024 to Apr 8, 2025
- HNW clients · 899 to 909Mar 27, 2024 to Apr 8, 2025
- Individual clients · 261 to 241Mar 27, 2024 to Apr 8, 2025
- Pension plan clients · 33 to 32Mar 27, 2024 to Apr 8, 2025
- Assets in custody · $6.8B to $7.4BMar 27, 2024 to Apr 8, 2025
- Employees · 38 to 37Mar 27, 2024 to Apr 8, 2025
- Financial planning clients · 101-250 to 101-250Mar 27, 2024 to Apr 8, 2025
- State-registered IARs · 16 to 17Mar 27, 2024 to Apr 8, 2025
- Discretionary RAUM · $7.6B to $8.2BMar 27, 2024 to Apr 8, 2025
- HNW RAUM · $6.5B to $7.1BMar 27, 2024 to Apr 8, 2025
- Individual RAUM · $140M to $133MMar 27, 2024 to Apr 8, 2025
- Pension RAUM · $529M to $588MMar 27, 2024 to Apr 8, 2025
- RAUM · $7.6B to $8.2BMar 27, 2024 to Apr 8, 2025
- Related insurance company · false to trueMar 27, 2024 to Apr 8, 2025
- Accounts · 5,653 to 5,520Sep 25, 2023 to Mar 21, 2024
- Advisory employees · 14 to 16Sep 25, 2023 to Mar 21, 2024
- Charity clients · 15 to 14Sep 25, 2023 to Mar 21, 2024
- Corporate clients · 28 to 24Sep 25, 2023 to Mar 21, 2024
- HNW clients · 895 to 899Sep 25, 2023 to Mar 21, 2024
- Individual clients · 295 to 261Sep 25, 2023 to Mar 21, 2024
- Assets in custody · $6.3B to $6.8BSep 25, 2023 to Mar 21, 2024
- Employees · 36 to 38Sep 25, 2023 to Mar 21, 2024
- State-registered IARs · 13 to 16Sep 25, 2023 to Mar 21, 2024
- Discretionary RAUM · $7.0B to $7.6BSep 25, 2023 to Mar 21, 2024
- HNW RAUM · $5.9B to $6.5BSep 25, 2023 to Mar 21, 2024
- Individual RAUM · $161M to $140MSep 25, 2023 to Mar 21, 2024
- Pension RAUM · $477M to $529MSep 25, 2023 to Mar 21, 2024
Signals
8 dated events
- Thomas Decker left Douglas C. Lane & Associates for Cerity Partners Llc (registered 2023-01-06)Jun 30, 2025 · Advisor changed firm · fact
- Amanda A Tappen left Douglas C. Lane & Associates for First Manhattan Co. Llc (registered 2024-06-05)Mar 27, 2024 · Advisor changed firm · fact
- Emma Keidy Mcgraw left Douglas C. Lane & Associates for First Manhattan Co (registered 2022-09-29)Jul 20, 2022 · Advisor changed firm · fact
- Stephanie Torosian left Douglas C. Lane & Associates for Wells Fargo Advisors (registered 2022-07-26)Jun 28, 2022 · Advisor changed firm · fact
- Douglas C. Lane & Associates reported 15 state-registered advisory representatives, up from 5 (2021-07-09 to 2022-03-30)Mar 30, 2022 · Advisor headcount change · derived
- Douglas C. Lane & Associates reported RAUM $6.3B, up 29% from $4.9B (2019-03-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Douglas Lane & Associates, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 8, 2016 · Succession (Item 4) · fact
- Douglas Lane & Associates, Llc filed its initial SEC registration (Form ADV)Jan 8, 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
- update@dclainc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-262-7670reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/FOCUS-FINANCIAL-PARTNERSreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/DOUGLAS-C.-LANE-&-ASSOCIATESreportedpublic record, Form ADV, Sep 17, 2026
- Website
- DCLAINC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-262-7670reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- dclainc.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- dclainc.com/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
- $528Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026