DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C•••••• F••••• A•••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Jun 1, 2016 · 30 filings
SEC status approved since Jun 10, 2016
RAUM
$608M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$608M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$203M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$608M as of Mar 5, 2026
Mar 27, 2017$285M then
HNW client RAUM$608M as of Mar 5, 2026
Mar 19, 2018$199M then
State-registered IARs (5.B.3)2 as of Mar 5, 2026
Mar 27, 20170 then
Employees (5.A)4 as of Mar 5, 2026
Mar 27, 20173 then
Private funds: no history
RAUM +11% over the last fiscal year+22% a year over threeIARs 0 to 2
Practice profile
derived from the filing of Mar 5, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- 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
- $203MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $30.4MderivedHNW RAUM over HNW clients
- Average account
- $30.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$608M100%
- Individual clients
- 0reported
- HNW clients
- 20reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 20reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• A•••••• M•••••• | New York, Ny | Apr 20, 2021 | 39 y | 0 |
| G•••••• A••••• R•••• | New York, Ny | May 7, 2021 | 19 y | 2 |
| E•••• R•••••• | New York, Ny | Jul 20, 2026 | 30 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- E•••• R•••••• from R•• C•••••• M••••••• L••Jul 20, 2026 · Affiliated broker-dealer or bank to independent RIA
- G•••••• A••••• R•••• from C•••••••• G••••• M•••••• I•••May 7, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• M••••••• A•••••• · Managing Member, Chief Compliance Officer And Foundercontrolsince 04/2016 · 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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 5, 2026discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
- business activity changedChange between filings · filing Mar 5, 2026financial planning (Item 5.G.1): no on the filing of 2025-03-07, yes on the filing of 2026-03-05peers: independent wealth managers, $500M to $1B (1,482)
- business activity changedChange between filings · filing Mar 5, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-03-07, yes on the filing of 2026-03-05peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 19 to 20Mar 7, 2025 to Mar 5, 2026
- Advisory employees · 3 to 2Mar 7, 2025 to Mar 5, 2026
- Advisory activities · 2 to 4Mar 7, 2025 to Mar 5, 2026
- HNW clients · 19 to 20Mar 7, 2025 to Mar 5, 2026
- Financial planning clients · 0 to 11-25Mar 7, 2025 to Mar 5, 2026
- State-registered IARs · 0 to 2Mar 7, 2025 to Mar 5, 2026
- HNW RAUM · $550M to $608MMar 7, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $550M to $608MMar 7, 2025 to Mar 5, 2026
- RAUM · $550M to $608MMar 7, 2025 to Mar 5, 2026
- Accounts · 16 to 19Nov 26, 2024 to Mar 7, 2025
- HNW clients · 16 to 19Nov 26, 2024 to Mar 7, 2025
- Employees · 3 to 4Nov 26, 2024 to Mar 7, 2025
- Financial planning clients · 0 to 0Nov 26, 2024 to Mar 7, 2025
- HNW RAUM · $429M to $550MNov 26, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $429M to $550MNov 26, 2024 to Mar 7, 2025
- RAUM · $429M to $550MNov 26, 2024 to Mar 7, 2025
- Advisory activities · 1 to 2May 18, 2023 to Mar 19, 2024
- HNW RAUM · $332M to $429MMay 18, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $332M to $429MMay 18, 2023 to Mar 19, 2024
- RAUM · $332M to $429MMay 18, 2023 to Mar 19, 2024
- Accounts · 13 to 16Nov 4, 2022 to Mar 6, 2023
- HNW clients · 13 to 16Nov 4, 2022 to Mar 6, 2023
- HNW RAUM · $303M to $332MNov 4, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $303M to $332MNov 4, 2022 to Mar 6, 2023
- RAUM · $303M to $332MNov 4, 2022 to Mar 6, 2023
- Advisory employees · 4 to 3Mar 11, 2021 to Mar 2, 2022
- Employees · 4 to 3Mar 11, 2021 to Mar 2, 2022
- HNW RAUM · $286M to $303MMar 11, 2021 to Mar 2, 2022
- Non-discretionary RAUM · $286M to $303MMar 11, 2021 to Mar 2, 2022
- RAUM · $286M to $303MMar 11, 2021 to Mar 2, 2022
- Accounts · 12 to 13Dec 16, 2020 to Mar 11, 2021
- Advisory employees · 2 to 4Dec 16, 2020 to Mar 11, 2021
- HNW clients · 12 to 13Dec 16, 2020 to Mar 11, 2021
- HNW RAUM · $258M to $286MDec 16, 2020 to Mar 11, 2021
- Non-discretionary RAUM · $258M to $286MDec 16, 2020 to Mar 11, 2021
- RAUM · $258M to $286MDec 16, 2020 to Mar 11, 2021
- Advisory employees · 3 to 2Mar 22, 2019 to Mar 9, 2020
- Employees · 3 to 4Mar 22, 2019 to Mar 9, 2020
- Other offices · 1 to 0Mar 22, 2019 to Mar 9, 2020
- HNW RAUM · $229M to $258MMar 22, 2019 to Mar 9, 2020
Signals
2 dated events
- C•••••• F••••• A•••••••• L•• reported RAUM $549.8M, up 28% from $428.6M (2024-11-26 to 2025-03-07)Mar 7, 2025 · RAUM change · derived
- C•••••• F••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 1, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• F••••• A•••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Website
- w••.c•••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 917-993-7115reportedpublic record, Form ADV, Mar 5, 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
- $203Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026