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
A••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape May 6, 2016 · 17 filings
SEC status approved since May 13, 2016
RAUM
$306M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
84%
$257M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$76.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$306M as of Mar 31, 2026
Apr 1, 2017$182M then
HNW client RAUM$251M as of Mar 31, 2026
Apr 6, 2018$145M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Apr 1, 20170 then
Employees (5.A)3 as of Mar 31, 2026
Apr 1, 20174 then
Private funds1 as of Mar 31, 2026
Apr 6, 20181 then
RAUM +12% over the last fiscal year+9.4% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 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
- ria with p•••••• funds · a wealth manager (p••••••-client share at least 50 percent) that reports at least one p•••••• fund on Schedule D 7.B.(1)
- RAUM per advisor
- $76.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $39.1M, 24 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$251M82%
- Charitable organizations$37.7M12%
- Corporations and businesses$7.9M2.6%
- Individuals$6.9M2.2%
- Pension and profit-sharing plans$1.8M0.6%
- Pooled investment vehicles$717,6540.2%
- Individual clients
- 20reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 193reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $39.1M for 24 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.13 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 |
|---|---|---|---|---|
| D•••• E••••• R•••• | New York, Ny | Sep 3, 2021 | 10 y | 0 |
| P•••• A••••• V•••••• | New York, Ny | Sep 3, 2021 | 19 y | 1 |
| M•••••• H••• S••••• | New York, Ny | Sep 3, 2021 | 13 y | 0 |
| Z•• A••••• V•••••• | New York, Ny | Sep 7, 2021 | 10 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
none on the tape
Joined, latest
- P•••• A••••• V•••••• from A••••• I••••••••• M••••••••• I•••Sep 3, 2021 · Other
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• F••• 2•no longer reported | P•••••• Equity Fund | $2.6M | 17 | May 22, 2020 |
| F••• 1• | P•••••• Equity Fund | $2.4M | 14 | Apr 6, 2018 |
| F••• 2• | P•••••• Equity Fund | $950,000 | 10 | Apr 5, 2022 |
| F••• 6• | P•••••• Equity Fund | $700,280 | 8 | Apr 1, 2023 |
| F••• 3• | P•••••• Equity Fund | $500,000 | 12 | Apr 5, 2022 |
| F••• 5• | P•••••• Equity Fund | $202,807 | 3 | Apr 1, 2023 |
| F••• 4• | P•••••• Equity Fund | $168,459 | 14 | Apr 5, 2022 |
Owners and control persons
Schedule A and B, latest filing
- R••••• D••••• E••••• · Membercontrolsince 02/2016 · owns 50% to 75%
- V••••••• Z••• A••••• · Member, Chief Compliance Officercontrolsince 02/2016 · owns 25% to 50%
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 | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 189 to 193Mar 31, 2025 to Mar 31, 2026
- HNW clients · 50 to 53Mar 31, 2025 to Mar 31, 2026
- Individual clients · 21 to 20Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 4 to 1Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $51.6M to $39.1MMar 31, 2025 to Mar 31, 2026
- p•••••• fund count · 4 to 1Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $271M to $303MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $221M to $251MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $5.9M to $6.9MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $2.5M to $2.7MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $1.5M to $1.8MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.5M to $717,654Mar 31, 2025 to Mar 31, 2026
- RAUM · $274M to $306MMar 31, 2025 to Mar 31, 2026
- Accounts · 186 to 189Mar 30, 2024 to Mar 31, 2025
- HNW clients · 55 to 50Mar 30, 2024 to Mar 31, 2025
- Individual clients · 20 to 21Mar 30, 2024 to Mar 31, 2025
- Pooled vehicle clients · 6 to 4Mar 30, 2024 to Mar 31, 2025
- Assets in custody · $52.5M to $51.6MMar 30, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 30, 2024 to Mar 31, 2025
- p•••••• fund count · 6 to 4Mar 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $254M to $271MMar 30, 2024 to Mar 31, 2025
- HNW RAUM · $202M to $221MMar 30, 2024 to Mar 31, 2025
- Individual RAUM · $6.0M to $5.9MMar 30, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $3.7M to $2.5MMar 30, 2024 to Mar 31, 2025
- Pension RAUM · $1.3M to $1.5MMar 30, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $5.0M to $1.5MMar 30, 2024 to Mar 31, 2025
- RAUM · $258M to $274MMar 30, 2024 to Mar 31, 2025
- Accounts · 192 to 186Apr 1, 2023 to Mar 30, 2024
- HNW clients · 51 to 55Apr 1, 2023 to Mar 30, 2024
- Individual clients · 28 to 20Apr 1, 2023 to Mar 30, 2024
- Assets in custody · $42.6M to $52.5MApr 1, 2023 to Mar 30, 2024
- State-registered IARs · 0 to 3Apr 1, 2023 to Mar 30, 2024
- Discretionary RAUM · $227M to $254MApr 1, 2023 to Mar 30, 2024
- HNW RAUM · $180M to $202MApr 1, 2023 to Mar 30, 2024
- Individual RAUM · $6.7M to $6.0MApr 1, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $5.9M to $3.7MApr 1, 2023 to Mar 30, 2024
- Pension RAUM · $1.1M to $1.3MApr 1, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $5.0M to $5.0MApr 1, 2023 to Mar 30, 2024
- RAUM · $233M to $258MApr 1, 2023 to Mar 30, 2024
- Accounts · 190 to 192Jan 19, 2023 to Apr 1, 2023
Signals
1 dated events
- V• A•••• A••••••• L•• filed its initial SEC registration (Form ADV)May 6, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 212-832-5135reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-832-5135reportedpublic record, Form ADV, Mar 31, 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
- $76.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026