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••••• A••••••• G••••• L••
Latest filing Aug 19, 2026
First filing on the tape Nov 17, 2016 · 31 filings
SEC status approved since Nov 30, 2016
RAUM
$144M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
72%
$103M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$144M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$144M as of Aug 19, 2026
Mar 27, 2017$131M then
HNW client RAUM$61.6M as of Aug 19, 2026
Mar 20, 2018$93.5M then
State-registered IARs (5.B.3)1 as of Aug 19, 2026
Mar 27, 20174 then
Employees (5.A)3 as of Aug 19, 2026
Mar 27, 20174 then
Private funds: no history
RAUM -21% over the last fiscal year-5.2% a year over threeIARs 3 to 1offices 1 to 0
Practice profile
derived from the filing of Aug 19, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $144MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 222derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $287,363derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -21%derivedbetween the last two annual amendments
- Advisor growth, one year
- -67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- 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)
- 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$61.6M43%
- Individuals$41.8M29%
- Charitable organizations$40.1M28%
- Corporations and businesses$189,0690.1%
- Individual clients
- 193reported
- HNW clients
- 29reported
- Pension plan clients
- 0reported
- Charitable clients
- 11reported
- Accounts
- 500reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.72 fund_share=0.0 institutional_share=0.28 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• C•••••• M•••••Certified Financial Planner | Albany, Ny | Mar 8, 2021 | 13 y | 1 |
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
- M•••••• M•• to I••••••••• A••••••• N•••••• L••Oct 30, 2019 · RIA to RIA
Joined, latest
- B•••••• C•••••• M••••• from D••••••• F••••••••Mar 8, 2021 · Other
- M•••••• M•• from R•• C•••••• M••••••• L••Dec 12, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• K•••••••• M•••• · Secretary Treasurercontrolsince 01/2018 · owns 10% to 25%
- M•••••• B••••••• C•••••• · Vice Presidentcontrolsince 01/2018 · owns 10% to 25%
- S•••••••• G•••••• M•• · President & Chief Compliance Officercontrolsince 10/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Honolulu, HI1 employees
What changed
consecutive filings, newest first
- Accounts · 564 to 500Mar 15, 2025 to Mar 30, 2026
- Advisory employees · 3 to 1Mar 15, 2025 to Mar 30, 2026
- Charity clients · 12 to 11Mar 15, 2025 to Mar 30, 2026
- Corporate clients · 2 to 1Mar 15, 2025 to Mar 30, 2026
- HNW clients · 40 to 29Mar 15, 2025 to Mar 30, 2026
- State-registered IARs · 3 to 1Mar 15, 2025 to Mar 30, 2026
- Other offices · 1 to 0Mar 15, 2025 to Mar 30, 2026
- Discretionary RAUM · $173M to $137MMar 15, 2025 to Mar 30, 2026
- HNW RAUM · $94.4M to $61.6MMar 15, 2025 to Mar 30, 2026
- Individual RAUM · $39.3M to $41.8MMar 15, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $8.0M to $6.9MMar 15, 2025 to Mar 30, 2026
- RAUM · $181M to $144MMar 15, 2025 to Mar 30, 2026
- Accounts · 575 to 564Aug 13, 2024 to Mar 15, 2025
- HNW clients · 41 to 40Aug 13, 2024 to Mar 15, 2025
- Individual clients · 195 to 193Aug 13, 2024 to Mar 15, 2025
- Financial planning clients · 11-25 to 11-25Aug 13, 2024 to Mar 15, 2025
- Discretionary RAUM · $168M to $173MAug 13, 2024 to Mar 15, 2025
- HNW RAUM · $95.3M to $94.4MAug 13, 2024 to Mar 15, 2025
- Individual RAUM · $36.4M to $39.3MAug 13, 2024 to Mar 15, 2025
- Non-discretionary RAUM · $6.5M to $8.0MAug 13, 2024 to Mar 15, 2025
- RAUM · $175M to $181MAug 13, 2024 to Mar 15, 2025
- Other offices · 2 to 1Mar 9, 2024 to Aug 13, 2024
- Accounts · 702 to 575Mar 17, 2023 to Mar 9, 2024
- HNW clients · 11 to 41Mar 17, 2023 to Mar 9, 2024
- Individual clients · 256 to 195Mar 17, 2023 to Mar 9, 2024
- Financial planning clients · 51-100 to 11-25Mar 17, 2023 to Mar 9, 2024
- Discretionary RAUM · $164M to $168MMar 17, 2023 to Mar 9, 2024
- HNW RAUM · $43.7M to $95.3MMar 17, 2023 to Mar 9, 2024
- Individual RAUM · $87.2M to $36.4MMar 17, 2023 to Mar 9, 2024
- Non-discretionary RAUM · $5.3M to $6.5MMar 17, 2023 to Mar 9, 2024
- RAUM · $169M to $175MMar 17, 2023 to Mar 9, 2024
- Accounts · 715 to 702Nov 18, 2022 to Mar 17, 2023
- Charity clients · 16 to 12Nov 18, 2022 to Mar 17, 2023
- Corporate clients · 1 to 2Nov 18, 2022 to Mar 17, 2023
- HNW clients · 44 to 11Nov 18, 2022 to Mar 17, 2023
- Individual clients · 258 to 256Nov 18, 2022 to Mar 17, 2023
- Pension plan clients · 1 to 0Nov 18, 2022 to Mar 17, 2023
- Financial planning clients · 101-250 to 51-100Nov 18, 2022 to Mar 17, 2023
- Discretionary RAUM · $206M to $164MNov 18, 2022 to Mar 17, 2023
- HNW RAUM · $122M to $43.7MNov 18, 2022 to Mar 17, 2023
Signals
3 dated events
- Charles Bernard Murphy (President) appeared on Schedule A of A••••• A••••••• G••••• L••Mar 26, 2019 · Control person joined · fact
- M•••• K••••••• M••••• (Secretary Treasurer) appeared on Schedule A of A••••• A••••••• G••••• L••Mar 26, 2019 · Control person joined · fact
- A••••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)Nov 17, 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
- info@aristaadv.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- eileen@aristaadv.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jerry@aristaadv.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- kim@aristaadv.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 808-531-5665reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 518-464-0319reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 831-227-2624reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 518-464-0319reportedpublic record, Form ADV, Aug 19, 2026
- Team page
- ARISTAADV.COM/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $144Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026