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
5c Capital Management, LLC
Latest filing Mar 17, 2026
First filing on the tape Dec 8, 2016 · 30 filings
SEC status approved since Jan 3, 2017
RAUM
$648M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
97%
$628M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$81.0M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$648M as of Mar 17, 2026
Mar 26, 2018$243M then
HNW client RAUM$505M as of Mar 17, 2026
Mar 26, 2018$160M then
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Mar 26, 20180 then
Employees (5.A)7 as of Mar 17, 2026
Mar 26, 20185 then
Private funds: no history
RAUM +21% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 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
- $81.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $341,661derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
- 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$505M78%
- Individuals$123M19%
- Pension and profit-sharing plans$15.8M2.4%
- Corporations and businesses$3.9M0.6%
- Charitable organizations$329,2100.1%
- Individual clients
- 345reported
- HNW clients
- 166reported
- Pension plan clients
- 17reported
- Charitable clients
- 7reported
- Accounts
- 1,897reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Craig R Marson | Woodcliff Lake, Nj | Feb 7, 2017 | 22 y | 4 |
| Michael Robert Sanders | Woodcliff Lake, Nj | Mar 3, 2017 | 32 y | 4 |
| Curtis Randall BrooksCertified Financial Planner, Chartered Financial Consultant | Woodcliff Lake, Nj | Apr 10, 2017 | 41 y | 4 |
| Brandon Troy Velez | White Plains, Ny | Jun 29, 2022 | 10 y | 0 |
| Michael Cardone Duvally | Woodcliff Lake, Nj | Jan 1, 2026 | 10 y | 1 |
| Asher Konigsberg | Woodcliff Lake, Nj | Jan 1, 2026 | 16 y | 0 |
| Susan Jean HunterCertified Financial Planner | Woodcliff Lake, Nj | Jan 1, 2026 | 19 y | 2 |
| Kevin J Mccabe | Woodcliff Lake, Nj | Jan 1, 2026 | 12 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Michael Peter Corelli to Lisanti Capital Growth LLCNov 10, 2021 · Other
- Granthem James Beck to Curi Capital, LLCJul 18, 2019 · RIA to RIA
Joined, latest
- Kevin J Mccabe from Clark Dodge Asset Management, LLCJan 1, 2026 · Other
- Susan Jean Hunter from Clark Dodge Asset Management, LLCJan 1, 2026 · Other
- Michael Cardone Duvally from 4thought Financial Group Inc.Jan 1, 2026 · RIA to RIA
- Curtis Randall Brooks from Usaa Financial Planning ServicesApr 10, 2017 · Other
- Michael Robert Sanders from Clark Dodge Asset Management, LLCMar 3, 2017 · Other
- Craig R Marson from Clark Dodge Asset Management, LLCFeb 7, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Clark Dodge Asset Management, LLCJun 1, 2017 · White Plains, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R Craig Marson · Cco, Principal, Director Of Financial Planningcontrolsince 06/2016 · owns 25% to 50%
- J Kevin Mccabe · Principal, Portfolio Managercontrolsince 01/2021 · owns 10% to 25%
- Robert Michael Sanders · Principal, Chief Investment Officercontrolsince 06/2016 · owns 25% to 50%
- Wilfrid Nicholas Walsh · Principal, Director Of Researchcontrolsince 10/2024 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Woodcliff Lake, Nj · principal | 8 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
- White Plains, NY4 employees
- Westport, CT2 employees
What changed
consecutive filings, newest first
- Accounts · 1,833 to 1,897Apr 14, 2025 to Mar 17, 2026
- Charity clients · 1 to 7Apr 14, 2025 to Mar 17, 2026
- HNW clients · 149 to 166Apr 14, 2025 to Mar 17, 2026
- Individual clients · 330 to 345Apr 14, 2025 to Mar 17, 2026
- Pension plan clients · 18 to 17Apr 14, 2025 to Mar 17, 2026
- Discretionary RAUM · $508M to $619MApr 14, 2025 to Mar 17, 2026
- HNW RAUM · $414M to $505MApr 14, 2025 to Mar 17, 2026
- Individual RAUM · $102M to $123MApr 14, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $29.5M to $29.1MApr 14, 2025 to Mar 17, 2026
- Pension RAUM · $16.0M to $15.8MApr 14, 2025 to Mar 17, 2026
- RAUM · $537M to $648MApr 14, 2025 to Mar 17, 2026
- Accounts · 1,645 to 1,833Nov 19, 2024 to Apr 14, 2025
- Charity clients · unset to 1.0Nov 19, 2024 to Apr 14, 2025
- Corporate clients · unset to 17.0Nov 19, 2024 to Apr 14, 2025
- HNW clients · 140 to 149Nov 19, 2024 to Apr 14, 2025
- Individual clients · 340 to 330Nov 19, 2024 to Apr 14, 2025
- Pension plan clients · 14 to 18Nov 19, 2024 to Apr 14, 2025
- Financial planning clients · 251-500 to 251-500Nov 19, 2024 to Apr 14, 2025
- Discretionary RAUM · $495M to $508MNov 19, 2024 to Apr 14, 2025
- HNW RAUM · $389M to $414MNov 19, 2024 to Apr 14, 2025
- Individual RAUM · $108M to $102MNov 19, 2024 to Apr 14, 2025
- Non-discretionary RAUM · $30.0M to $29.5MNov 19, 2024 to Apr 14, 2025
- Pension RAUM · $17.3M to $16.0MNov 19, 2024 to Apr 14, 2025
- RAUM · $525M to $537MNov 19, 2024 to Apr 14, 2025
- Accounts · 1,591 to 1,645Mar 26, 2024 to Nov 19, 2024
- HNW clients · 131 to 140Mar 26, 2024 to Nov 19, 2024
- Individual clients · 331 to 340Mar 26, 2024 to Nov 19, 2024
- Pension plan clients · 13 to 14Mar 26, 2024 to Nov 19, 2024
- Discretionary RAUM · $450M to $495MMar 26, 2024 to Nov 19, 2024
- HNW RAUM · $351M to $389MMar 26, 2024 to Nov 19, 2024
- Individual RAUM · $97.7M to $108MMar 26, 2024 to Nov 19, 2024
- Non-discretionary RAUM · $24.4M to $30.0MMar 26, 2024 to Nov 19, 2024
- Pension RAUM · $15.6M to $17.3MMar 26, 2024 to Nov 19, 2024
- RAUM · $475M to $525MMar 26, 2024 to Nov 19, 2024
- Accounts · 1,442 to 1,591Mar 27, 2023 to Mar 26, 2024
- Advisory activities · 5 to 6Mar 27, 2023 to Mar 26, 2024
- Charity clients · 5.0 to unsetMar 27, 2023 to Mar 26, 2024
- HNW clients · 126 to 131Mar 27, 2023 to Mar 26, 2024
- Individual clients · 300 to 331Mar 27, 2023 to Mar 26, 2024
- Pension plan clients · 23 to 13Mar 27, 2023 to Mar 26, 2024
Signals
2 dated events
- Wilfrid Nicholas Walsh (Principal, Director Of Research) appeared on Schedule A of 5C Capital Management, LlcNov 19, 2024 · Control person joined · fact
- 5C Capital Management, Llc filed its initial SEC registration (Form ADV)Dec 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 phone
- 201-474-0987reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 347-331-0647reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 347-331-0648reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- 5CWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (347) 331-0648reportedpublic record, Form ADV, Mar 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
- $81.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026