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
M••••• F•••••••• G•••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 3, 2017 · 21 filings
SEC status approved since Sep 4, 2017
RAUM
$2.3B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
93%
$2.2B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$233M
derived; firm RAUM over IAPD count
Employees
24
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$2.3B as of Mar 31, 2026
Mar 30, 2018$310M then
HNW client RAUM$1.8B as of Mar 31, 2026
Mar 30, 2018$236M then
State-registered IARs (5.B.3)10 as of Mar 31, 2026
Mar 30, 20181 then
Employees (5.A)24 as of Mar 31, 2026
Mar 30, 201811 then
Private funds: no history
RAUM +20% over the last fiscal year+23% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Mar 31, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $233MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 111derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $486,431derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $585M, 348 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.8B77%
- Individuals$384M16%
- Corporations and businesses$145M6.2%
- Charitable organizations$14.6M0.6%
- Individual clients
- 739reported
- HNW clients
- 375reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4,782reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $585M for 348 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• J• S•••••• | New York, Ny | May 12, 2021 | 18 y | 1 |
| P••• F•••••••• H•••••••Certified Financial Planner | New York, Ny | Jan 5, 2022 | 31 y | 2 |
| S••••• H••••Certified Financial Planner | New York, Ny | Jan 5, 2022 | 18 y | 2 |
| M•••••• S•••• S•••••••Certified Financial Planner | New York, Ny | Jan 5, 2022 | 27 y | 2 |
| R••••• E••••• D••••••Chartered Financial Analyst | New York, Ny | Jan 5, 2022 | 40 y | 1 |
| J•••• S•••• K•••••• | New York, Ny | Jan 18, 2022 | 34 y | 3 |
| D••• J••••• C••••••Chartered Financial Analyst | New York, Ny | May 4, 2022 | 31 y | 1 |
| C•••• W••••••••• | New York, Ny | Jan 19, 2023 | 11 y | 1 |
| W•••••• J••••• B••••• | New York, Ny | Jan 9, 2024 | 32 y | 1 |
| J••• D••• B•••Certified Financial Planner | New York, Ny | Dec 11, 2025 | 13 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 10% of current headcount1 left over 36 months
Left, latest
- M•••••• D•••• T••••• to P••••• W••••• L••Jan 17, 2026 · RIA to a newly registered adviser
Joined, latest
- J••• D••• B••• from N••••••••• M••••• I••••••••• S•••••••••Dec 11, 2025 · Other
- W•••••• J••••• B••••• from M•• I•••••••• S•••••••• L••Jan 9, 2024 · Affiliated broker-dealer or bank to independent RIA
- C•••• W••••••••• from M•• I•••••••• S•••••••• L••Jan 19, 2023 · Affiliated broker-dealer or bank to independent RIA
- D••• J••••• C•••••• from G•••••••• I••••••••• M••••••••• I•••May 4, 2022 · RIA to RIA
- J•••• S•••• K•••••• from M•• I•••••••• S•••••••• L••Jan 18, 2022 · Affiliated broker-dealer or bank to independent RIA
- S••••• H•••• from M••••• S••••••Dec 26, 2021 · Wirehouse to independent RIA
- P••• F•••••••• H••••••• from N••••••••• M••••• I••••••••• S•••••••••Apr 1, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• D••••• H• · Chief Compliance Officercontrolsince 09/2017 · owns less than 5%
- S•••••••• M••••••• S•••• · Chief Executive Officercontrolsince 09/2017 · owns less than 5%
- S••••••• L••••• V• · Chief Operating Officercontrolsince 05/2019 · owns less than 5%
- S•••••••• M••••••• S•••• · Ownercontrolsince 11/2016 · owns 75% or more of M••••• F•••••••• L••
Entity owners
- M••••• F•••••••• H•••••••• L•• · Ownerdirect · owns 75% or more
- M••••• F•••••••• L•• · Ownerindirect · owns 75% or more of M••••• F•••••••• H•••••••• L••
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 | 10 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4,313 to 4,782Mar 29, 2025 to Mar 31, 2026
- Advisory employees · 13 to 15Mar 29, 2025 to Mar 31, 2026
- Corporate clients · 43 to 44Mar 29, 2025 to Mar 31, 2026
- HNW clients · 363 to 375Mar 29, 2025 to Mar 31, 2026
- Individual clients · 680 to 739Mar 29, 2025 to Mar 31, 2026
- Assets in custody · $385M to $585MMar 29, 2025 to Mar 31, 2026
- Employees · 23 to 24Mar 29, 2025 to Mar 31, 2026
- State-registered IARs · 9 to 10Mar 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.9B to $2.2BMar 29, 2025 to Mar 31, 2026
- HNW RAUM · $1.5B to $1.8BMar 29, 2025 to Mar 31, 2026
- Individual RAUM · $309M to $384MMar 29, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $74.5M to $132MMar 29, 2025 to Mar 31, 2026
- RAUM · $1.9B to $2.3BMar 29, 2025 to Mar 31, 2026
- Accounts · 3,884 to 4,313Mar 29, 2024 to Mar 29, 2025
- Advisory employees · 12 to 13Mar 29, 2024 to Mar 29, 2025
- Corporate clients · 35 to 43Mar 29, 2024 to Mar 29, 2025
- HNW clients · 336 to 363Mar 29, 2024 to Mar 29, 2025
- Individual clients · 624 to 680Mar 29, 2024 to Mar 29, 2025
- Assets in custody · $302M to $385MMar 29, 2024 to Mar 29, 2025
- Employees · 22 to 23Mar 29, 2024 to Mar 29, 2025
- Financial planning clients · More than 500 to More than 500Mar 29, 2024 to Mar 29, 2025
- Discretionary RAUM · $1.6B to $1.9BMar 29, 2024 to Mar 29, 2025
- HNW RAUM · $1.2B to $1.5BMar 29, 2024 to Mar 29, 2025
- Individual RAUM · $246M to $309MMar 29, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $3.3M to $74.5MMar 29, 2024 to Mar 29, 2025
- RAUM · $1.6B to $1.9BMar 29, 2024 to Mar 29, 2025
- Accounts · 3,378 to 3,884Jun 30, 2023 to Mar 28, 2024
- Advisory employees · 9 to 12Jun 30, 2023 to Mar 28, 2024
- Corporate clients · 30 to 35Jun 30, 2023 to Mar 28, 2024
- HNW clients · 311 to 336Jun 30, 2023 to Mar 28, 2024
- Individual clients · 538 to 624Jun 30, 2023 to Mar 28, 2024
- Assets in custody · $344M to $302MJun 30, 2023 to Mar 28, 2024
- Employees · 21 to 22Jun 30, 2023 to Mar 28, 2024
- State-registered IARs · 8 to 9Jun 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.3B to $1.6BJun 30, 2023 to Mar 28, 2024
- HNW RAUM · $1.0B to $1.2BJun 30, 2023 to Mar 28, 2024
- Individual RAUM · $182M to $246MJun 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $5.7M to $3.3MJun 30, 2023 to Mar 28, 2024
- RAUM · $1.3B to $1.6BJun 30, 2023 to Mar 28, 2024
- Accounts · 2,552 to 3,378Mar 31, 2022 to Mar 30, 2023
Signals
9 dated events
- J•••• S•••• K•••••• no longer holds an investment adviser registration (last listed at M••••• F•••••••• G•••• L•• on the 2026-09-17 feed)Sep 17, 2026 · Advisor registration ended · derived
- M•••••• D•••• T••••• left M••••• F•••••••• G•••• L•• for P••••• W••••• L•• (registered 2026-01-02)Jan 17, 2026 · Advisor changed firm · fact
- Kelly Thomas Barber (Chief Marketing Officer) no longer on Schedule A of M••••• F•••••••• G•••• L•• (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- M••••• F•••••••• G•••• L•• reported RAUM $1.1B, down 38% from $1.8B (2022-01-04 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- M••••• F•••••••• G•••• L•• reported RAUM $1.6B, up 35% from $1.2B (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- V Louis Sorsaia (Chief Operating Officer) appeared on Schedule A of M••••• F•••••••• G•••• L••Mar 30, 2020 · Control person joined · fact
- M••••• F•••••••• G•••• L•• reported RAUM $1.2B, up 276% from $310.3M (2018-03-30 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- M••••• F•••••••• G•••• L•• reported RAUM $310.3M, up 138% from $130.5M (2017-10-23 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- M••••• F•••••••• G•••• L•• filed its initial SEC registration (Form ADV)Aug 3, 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
- Business phone
- 212-202-7670reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 646-813-7001reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-339-1367reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- magnusfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-339-1367reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- magnusfinancial.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- magnusfinancial.com/about-us/meet-the-teamreportedpublished by the firm, firm site, Sep 15, 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
- $233Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026