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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Latest filing Feb 12, 2026
First filing on the tape Mar 16, 2017 · 16 filings
SEC status approved since Mar 26, 2018
RAUM
$59.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$50.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$59.2M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$59.2M as of Feb 12, 2026
Mar 7, 2019$27.4M then
HNW client RAUM$50.2M as of Feb 12, 2026
Mar 7, 2019$23.1M then
State-registered IARs (5.B.3)1 as of Feb 12, 2026
Mar 7, 20190 then
Employees (5.A)1 as of Feb 12, 2026
Mar 7, 20191 then
Private funds: no history
RAUM -7.8% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 12, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $59.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.0MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 5.G
- Custody
- $13.9M, 2 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$50.2M100%
- Individual clients
- n/areported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 27reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13.9M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| I••••• M••••••• | Rye, Ny | Apr 12, 2021 | 27 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
none on the tape
Joined, latest
- I••••• M••••••• from H••• S••••••••• •••• I•••Apr 12, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• I••••• · President/Chief Compliance Officercontrolsince 02/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 25 to 27Sep 26, 2025 to Feb 12, 2026
- Assets in custody · $13.2M to $13.9MSep 26, 2025 to Feb 12, 2026
- Discretionary RAUM · $56.1M to $59.2MSep 26, 2025 to Feb 12, 2026
- HNW RAUM · $47.1M to $50.2MSep 26, 2025 to Feb 12, 2026
- RAUM · $56.1M to $59.2MSep 26, 2025 to Feb 12, 2026
- Accounts · 34 to 25Feb 21, 2025 to Sep 26, 2025
- Corporate clients · 1.0 to unsetFeb 21, 2025 to Sep 26, 2025
- HNW clients · 10 to 5Feb 21, 2025 to Sep 26, 2025
- Assets in custody · $27.0M to $13.2MFeb 21, 2025 to Sep 26, 2025
- Discretionary RAUM · $64.3M to $56.1MFeb 21, 2025 to Sep 26, 2025
- HNW RAUM · $55.6M to $47.1MFeb 21, 2025 to Sep 26, 2025
- RAUM · $64.3M to $56.1MFeb 21, 2025 to Sep 26, 2025
- HNW clients · 9 to 10Oct 10, 2024 to Feb 21, 2025
- Assets in custody · $26.8M to $27.0MOct 10, 2024 to Feb 21, 2025
- Financial planning clients · unset to Oct 10, 2024 to Feb 21, 2025
- HQ city · unset to Oct 10, 2024 to Feb 21, 2025
- HQ state · unset to Oct 10, 2024 to Feb 21, 2025
- Discretionary RAUM · $63.6M to $64.3MOct 10, 2024 to Feb 21, 2025
- HNW RAUM · $55.8M to $55.6MOct 10, 2024 to Feb 21, 2025
- RAUM · $63.6M to $64.3MOct 10, 2024 to Feb 21, 2025
- Accounts · 9 to 34Mar 6, 2024 to Oct 10, 2024
- Corporate clients · unset to 1.0Mar 6, 2024 to Oct 10, 2024
- HNW clients · 8 to 9Mar 6, 2024 to Oct 10, 2024
- Assets in custody · unset to 26775436.0Mar 6, 2024 to Oct 10, 2024
- Custody of client assets · false to trueMar 6, 2024 to Oct 10, 2024
- Discretionary RAUM · $45.9M to $63.6MMar 6, 2024 to Oct 10, 2024
- HNW RAUM · $39.9M to $55.8MMar 6, 2024 to Oct 10, 2024
- RAUM · $45.9M to $63.6MMar 6, 2024 to Oct 10, 2024
- Discretionary RAUM · $40.0M to $45.9MMar 15, 2023 to Mar 6, 2024
- HNW RAUM · $34.6M to $39.9MMar 15, 2023 to Mar 6, 2024
- RAUM · $40.0M to $45.9MMar 15, 2023 to Mar 6, 2024
- Accounts · 8 to 9Feb 28, 2022 to Mar 15, 2023
- HNW clients · 7 to 8Feb 28, 2022 to Mar 15, 2023
- State-registered IARs · 0 to 1Feb 28, 2022 to Mar 15, 2023
- Discretionary RAUM · $49.9M to $40.0MFeb 28, 2022 to Mar 15, 2023
- HNW RAUM · $43.7M to $34.6MFeb 28, 2022 to Mar 15, 2023
- RAUM · $49.9M to $40.0MFeb 28, 2022 to Mar 15, 2023
- Discretionary RAUM · $41.8M to $49.9MFeb 2, 2021 to Feb 28, 2022
- HNW RAUM · $36.4M to $43.7MFeb 2, 2021 to Feb 28, 2022
- RAUM · $41.8M to $49.9MFeb 2, 2021 to Feb 28, 2022
Signals
1 dated events
- M••••••• A••••••••• L•• filed its initial SEC registration (Form ADV)Mar 16, 2017 · 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
- Principal office phone
- 914-310-9863reportedpublic record, Form ADV, Feb 12, 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
- $59.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026