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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
Y••••••••• W••••• P•••••••• L••
Latest filing Mar 24, 2023
First filing on the tape May 9, 2016 · 32 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
95%
$963M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.0B as of Mar 24, 2023
Mar 1, 2017$713M then
HNW client RAUM$959M as of Mar 24, 2023
Mar 16, 2018$745M then
State-registered IARs (5.B.3)6 as of Mar 24, 2023
Mar 1, 20173 then
Employees (5.A)9 as of Mar 24, 2023
Mar 1, 20178 then
Private funds: no history
RAUM -12% over the last fiscal year+4.5% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Mar 24, 2023; every figure names its basis
- RAUM per advisor
- $169MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $851,056derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -43%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$959M95%
- Corporations and businesses$20.5M2.0%
- Charitable organizations$15.2M1.5%
- Pension and profit-sharing plans$13.6M1.3%
- Individuals$4.4M0.4%
- Individual clients
- 15reported
- HNW clients
- 288reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 1,190reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- L•••• T••••• M••••• to B••••• P••••• A•••••••• L••Apr 24, 2023 · RIA to RIA
- A••••• L••• S•••• to B••••• P••••• A•••••••• L••Apr 21, 2023 · RIA to RIA
- T••••••• F••••••• D•••••• to B••••• P••••• A•••••••• L••Apr 21, 2023 · RIA to RIA
- C••••• G••••••• M••••• to B••••• P••••• A•••••••• L••Apr 21, 2023 · RIA to RIA
- D•••••• S•••••••• to N•••••••• B••••• B• L••Jul 11, 2022 · Other
- B•••••• L•• D•••• to S•••• W••••• M••••••••• L••Jul 2, 2018 · RIA to RIA
Joined, latest
- A••••• L••• S•••• from L•••••••• W••••• A•••••••• L••Mar 10, 2020 · Other
- B•••••• L•• D•••• from L•••••••• A•••• M••••••••• L••Jan 20, 2017 · Other
- L•••• T••••• M••••• from L•••••••• W••••• A•••••••• L••Jan 17, 2017 · Other
- C••••• G••••••• M••••• from L•••••••• W••••• A•••••••• L••Jul 25, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for B••••• P••••• A•••••••• L••Apr 21, 2023 · New York, Ny · Firm absorbed
- 3 joined from L•••••••• W••••• A•••••••• L••Oct 6, 2016 · New York, Ny · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••• J••••••• B•••• · Partnercontrolsince 06/2016 · owns 5% to 10%
- M•••••• C•••••• G••••••• · Managing Membercontrolsince 06/2016 · owns 25% to 50%
- S••••• S•••• A• · Chief Compliance Officercontrolsince 03/2019 · owns less than 5%
- S••••• A•••••• L••• · Managing Membercontrolsince 06/2016 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Bridgehampton, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 1,113 to 1,190Mar 23, 2022 to Mar 24, 2023
- Advisory employees · 7 to 6Mar 23, 2022 to Mar 24, 2023
- Charity clients · 7.0 to unsetMar 23, 2022 to Mar 24, 2023
- Corporate clients · 4 to 6Mar 23, 2022 to Mar 24, 2023
- HNW clients · 310 to 288Mar 23, 2022 to Mar 24, 2023
- Individual clients · 217 to 15Mar 23, 2022 to Mar 24, 2023
- Pension plan clients · 16 to 8Mar 23, 2022 to Mar 24, 2023
- Assets in custody · 816538765.0 to unsetMar 23, 2022 to Mar 24, 2023
- Custody of client assets · true to falseMar 23, 2022 to Mar 24, 2023
- Employees · 10 to 9Mar 23, 2022 to Mar 24, 2023
- State-registered IARs · 7 to 6Mar 23, 2022 to Mar 24, 2023
- Discretionary RAUM · $1.1B to $957MMar 23, 2022 to Mar 24, 2023
- HNW RAUM · $1.0B to $959MMar 23, 2022 to Mar 24, 2023
- Individual RAUM · $52.9M to $4.4MMar 23, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $70.1M to $55.5MMar 23, 2022 to Mar 24, 2023
- Pension RAUM · $25.4M to $13.6MMar 23, 2022 to Mar 24, 2023
- RAUM · $1.2B to $1.0BMar 23, 2022 to Mar 24, 2023
- Accounts · 967 to 1,113Nov 12, 2021 to Mar 23, 2022
- Advisory employees · 6 to 7Nov 12, 2021 to Mar 23, 2022
- Charity clients · 6 to 7Nov 12, 2021 to Mar 23, 2022
- HNW clients · 180 to 310Nov 12, 2021 to Mar 23, 2022
- Individual clients · 123 to 217Nov 12, 2021 to Mar 23, 2022
- Pension plan clients · 11 to 16Nov 12, 2021 to Mar 23, 2022
- Assets in custody · $653M to $817MNov 12, 2021 to Mar 23, 2022
- Employees · 9 to 10Nov 12, 2021 to Mar 23, 2022
- State-registered IARs · 6 to 7Nov 12, 2021 to Mar 23, 2022
- Discretionary RAUM · $926M to $1.1BNov 12, 2021 to Mar 23, 2022
- HNW RAUM · $919M to $1.0BNov 12, 2021 to Mar 23, 2022
- Individual RAUM · $34.4M to $52.9MNov 12, 2021 to Mar 23, 2022
- Non-discretionary RAUM · $69.8M to $70.1MNov 12, 2021 to Mar 23, 2022
- Pension RAUM · $16.1M to $25.4MNov 12, 2021 to Mar 23, 2022
- RAUM · $995M to $1.2BNov 12, 2021 to Mar 23, 2022
- Accounts · 835 to 967Nov 30, 2020 to Mar 16, 2021
- Advisory employees · 5 to 6Nov 30, 2020 to Mar 16, 2021
- Charity clients · 3 to 6Nov 30, 2020 to Mar 16, 2021
- Corporate clients · unset to 4.0Nov 30, 2020 to Mar 16, 2021
- HNW clients · 121 to 180Nov 30, 2020 to Mar 16, 2021
- Individual clients · 130 to 123Nov 30, 2020 to Mar 16, 2021
- Pension plan clients · 7 to 11Nov 30, 2020 to Mar 16, 2021
- Assets in custody · $22.5M to $653MNov 30, 2020 to Mar 16, 2021
Signals
8 dated events
- L•••• T••••• M••••• left Y••••••••• W••••• P•••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2023-04-28)Apr 24, 2023 · Advisor changed firm · fact
- C••••• G••••••• M••••• left Y••••••••• W••••• P•••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2023-04-27)Apr 21, 2023 · Advisor changed firm · fact
- T••••••• F••••••• D•••••• left Y••••••••• W••••• P•••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2023-04-27)Apr 21, 2023 · Advisor changed firm · fact
- A••••• L••• S•••• left Y••••••••• W••••• P•••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2023-04-27)Apr 21, 2023 · Advisor changed firm · fact
- Y••••••••• W••••• P•••••••• L••'s advisors moved to B••••• P••••• A•••••••• L•• (New York, NY): 4 of 4 registered, within 3 daysApr 21, 2023 · Firm absorbed (people side) · derived
- D•••••• S•••••••• left Y••••••••• W••••• P•••••••• L•• for N•••••••• B••••• B• L•• (registered 2022-07-13)Jul 11, 2022 · Advisor changed firm · fact
- A Seth Scher (Chief Compliance Officer) appeared on Schedule A of Y••••••••• W••••• P•••••••• L••Apr 12, 2019 · Control person joined · fact
- T•• E••••• G•••• filed its initial SEC registration (Form ADV)May 9, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Y••••••••• W••••• P•••••••• L•• · Private Equityshared crd · intermediary
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026