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
O••• W••••• A•••••••• L••
Latest filing Feb 14, 2026
First filing on the tape Oct 1, 2018 · 32 filings
SEC status approved since Nov 1, 2018
RAUM
$1.2B
reported, Item 5.F
Discretionary
53%
of RAUM
Private clients
86%
$1.1B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$124M
derived; firm RAUM over IAPD count
Employees
20
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.2B as of Feb 14, 2026
Mar 26, 2019$357M then
HNW client RAUM$931M as of Feb 14, 2026
Mar 26, 2019$40.6M then
State-registered IARs (5.B.3)10 as of Feb 14, 2026
Mar 26, 20194 then
Employees (5.A)20 as of Feb 14, 2026
Mar 26, 20198 then
Private funds: no history
RAUM +20% over the last fiscal year+25% a year over threeIARs 7 to 10offices 3 to 0
Practice profile
derived from the filing of Feb 14, 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
- p••••••• 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
- $124MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $513,559derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 53%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 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
- +43%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $466M, 398 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$931M75%
- Charitable organizations$134M11%
- Individuals$132M11%
- Corporations and businesses$40.7M3.3%
- Individual clients
- 396reported
- HNW clients
- 334reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,411reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $466M for 398 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=9.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• J•••• G•••••••Certified Financial Planner | Jericho, Ny | Jan 18, 2019 | 22 y | 4 |
| K•••••••• M••• D•••••••••Certified Financial Planner | Jericho, Ny | Jan 21, 2019 | 27 y | 1 |
| J••••• N••• F•••••Certified Financial Planner | Jericho, Ny | Jan 22, 2019 | 22 y | 1 |
| L•• A• K••• | Jericho, Ny | Jan 22, 2019 | 28 y | 3 |
| M•••••• P••• K•••••Certified Financial Planner | Alexandria, Va | Apr 19, 2021 | 24 y | 0 |
| G••• C•••••• | Jericho, Ny | Oct 22, 2021 | 30 y | 3 |
| C•••••••• N••••••• | Jericho, Ny | Jun 13, 2022 | 15 y | 1 |
| C•••••• B••••••Certified Financial Planner | Waverly Township, Pa | Feb 7, 2024 | 15 y | 5 |
| J•••• H• B••••••••• | Jericho, Ny | Apr 7, 2025 | 10 y | 0 |
| D••••• L•••• G•••••• | Jericho, Ny | Sep 4, 2025 | 13 y | 0 |
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 headcount1 left over 36 months
Left, latest
- N••••• K•••• R••• to E•••• F•••••••• S•••••••• I•••Apr 3, 2024 · RIA to RIA
- G•••••••• R••••••• F•••••••• to F••• F•••• A•• P••••• F•••••••• P•••••••Jan 10, 2020 · RIA to a state-registered adviser
Joined, latest
- C•••••• B•••••• from F••••Feb 7, 2024 · RIA to RIA
- N••••• K•••• R••• from F••••••• P••••••• A•• W•••••••• A•••••••Jun 28, 2023 · Affiliated broker-dealer or bank to independent RIA
- C•••••••• N••••••• from U••••• A•••• S••••••••• I•••Jun 13, 2022 · RIA to RIA
- G••• C•••••• from C•••••••• G••••• M•••••• I•••Oct 22, 2021 · Affiliated broker-dealer or bank to independent RIA
- J••••• N••• F••••• from M••••• S••••••Jan 22, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- L•• A• K••• from M••••• S••••••Jan 22, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- K•••••••• M••• D••••••••• from I••• S••••••••• I•••Jan 21, 2019 · Other
- J•••• J•••• G••••••• from M••••• S••••••Jan 18, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from M••••• S••••••Jan 22, 2019 · Great Neck, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• C••••••••• H• · Chief Operating Officer Officercontrolsince 01/2021 · owns 5% to 10%
- F•••••• J•••••• N••• · Managing Member And Principalcontrolsince 01/2019 · owns 5% to 10%
- G•••••••• J••••• J•••• · Managing Member And Principalcontrolsince 01/2019 · owns 25% to 50%
- K•••• L••• A• · Managing Member And Principalcontrolsince 01/2019 · owns 25% to 50%
Related persons
Schedule D 7.A
- O••• I•••••••• A••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Jericho, Ny · principal | 10 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Greenwich, CT1 employees
- White Plains, NY1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Feb 14, 2026F•••••• J•••••• N••• (MANAGING MEMBER AND PRINCIPAL) left Schedule A between the filings of 2021-03-23 and 2026-02-14peers: independent wealth managers, $1B to $5B (1,362)
- office count dropChange between filings · filing Feb 14, 2026offices other than the principal office (Item 1.F.5) moved from 3.0 to 0.0 (-100.0%) between the annual amendments of 2025-03-21 and 2026-02-14; the peer median change was 0.0% (379 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $1B to $5B (379) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 2,097 to 2,411Nov 13, 2025 to Feb 1, 2026
- Advisory employees · 7 to 9Nov 13, 2025 to Feb 1, 2026
- BD registered reps · 7 to 9Nov 13, 2025 to Feb 1, 2026
- HNW clients · 288 to 334Nov 13, 2025 to Feb 1, 2026
- Individual clients · 371 to 396Nov 13, 2025 to Feb 1, 2026
- Assets in custody · $348M to $466MNov 13, 2025 to Feb 1, 2026
- Employees · 17 to 20Nov 13, 2025 to Feb 1, 2026
- State-registered IARs · 7 to 10Nov 13, 2025 to Feb 1, 2026
- Discretionary RAUM · $548M to $654MNov 13, 2025 to Feb 1, 2026
- HNW RAUM · $769M to $931MNov 13, 2025 to Feb 1, 2026
- Individual RAUM · $113M to $132MNov 13, 2025 to Feb 1, 2026
- Non-discretionary RAUM · $481M to $585MNov 13, 2025 to Feb 1, 2026
- RAUM · $1.0B to $1.2BNov 13, 2025 to Feb 1, 2026
- Other offices · 3 to 0Jul 21, 2025 to Nov 13, 2025
- Financial planning clients · More than 500 to More than 500Jun 13, 2025 to Jul 21, 2025
- Accounts · 1,883 to 2,097Mar 28, 2024 to Mar 21, 2025
- Advisory employees · 8 to 7Mar 28, 2024 to Mar 21, 2025
- BD registered reps · 8 to 7Mar 28, 2024 to Mar 21, 2025
- Corporate clients · 13 to 15Mar 28, 2024 to Mar 21, 2025
- HNW clients · 232 to 288Mar 28, 2024 to Mar 21, 2025
- Individual clients · 376 to 371Mar 28, 2024 to Mar 21, 2025
- Assets in custody · $181M to $348MMar 28, 2024 to Mar 21, 2025
- Employees · 16 to 17Mar 28, 2024 to Mar 21, 2025
- State-registered IARs · 9 to 7Mar 28, 2024 to Mar 21, 2025
- Other offices · 2 to 3Mar 28, 2024 to Mar 21, 2025
- Discretionary RAUM · $560M to $548MMar 28, 2024 to Mar 21, 2025
- HNW RAUM · $592M to $769MMar 28, 2024 to Mar 21, 2025
- Individual RAUM · $118M to $113MMar 28, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $265M to $481MMar 28, 2024 to Mar 21, 2025
- RAUM · $826M to $1.0BMar 28, 2024 to Mar 21, 2025
- Accounts · 1,591 to 1,883Feb 6, 2024 to Mar 26, 2024
- Advisory employees · 6 to 8Feb 6, 2024 to Mar 26, 2024
- HNW clients · 146 to 232Feb 6, 2024 to Mar 26, 2024
- Individual clients · 389 to 376Feb 6, 2024 to Mar 26, 2024
- Assets in custody · $166M to $181MFeb 6, 2024 to Mar 26, 2024
- Employees · 15 to 16Feb 6, 2024 to Mar 26, 2024
- State-registered IARs · 7 to 9Feb 6, 2024 to Mar 26, 2024
- Other offices · 5 to 2Feb 6, 2024 to Mar 26, 2024
- Discretionary RAUM · $457M to $560MFeb 6, 2024 to Mar 26, 2024
- HNW RAUM · $409M to $592MFeb 6, 2024 to Mar 26, 2024
Signals
11 dated events
- N••••• K•••• R••• left O••• W••••• A•••••••• L•• for E•••• F•••••••• S•••••••• I••• (registered 2024-04-01)Apr 3, 2024 · Advisor changed firm · fact
- O••• W••••• A•••••••• L•• reported RAUM $825.9M, up 30% from $633.1M (2024-02-06 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- O••• W••••• A•••••••• L•• reported RAUM $674.2M, up 43% from $472.2M (2021-06-28 to 2022-03-15)Mar 15, 2022 · RAUM change · derived
- Mary Katherine Dean-Stahl (Managing Director Of Operations) no longer on Schedule A of O••• W••••• A•••••••• L•• (listed 2021-06-28, absent 2022-03-15)Mar 15, 2022 · Control person left · inference
- H C••••••••• C••••• (Chief Operating Officer And Chief Compliance Officer) appeared on Schedule A of O••• W••••• A•••••••• L••Mar 23, 2021 · Control person joined · fact
- A Lee Korn (Managing Member And Principal) appeared on Schedule A of O••• W••••• A•••••••• L••Jan 18, 2019 · Control person joined · fact
- James Jesse Giordano (Managing Member And Principal) appeared on Schedule A of O••• W••••• A•••••••• L••Jan 18, 2019 · Control person joined · fact
- Nino Joseph Filosa (Managing Member And Principal) appeared on Schedule A of O••• W••••• A•••••••• L••Jan 18, 2019 · Control person joined · fact
- Mary Katherine Dean (Chief Compliance Officer And Managing Director Of Operations) appeared on Schedule A of O••• W••••• A•••••••• L••Jan 18, 2019 · Control person joined · fact
- Adam Daniel Bernstein (Chief Compliance Officer) no longer on Schedule A of O••• W••••• A•••••••• L•• (listed 2018-10-01, absent 2019-01-18)Jan 18, 2019 · Control person left · inference
- B••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 1, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O••• W••••• A•••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 516-388-7968reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-388-7980reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-703-6725reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- opalwa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-388-7980reportedpublic record, Form ADV, Feb 14, 2026
- Team page
- o•••••••••.comreportedpublished 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
- $124Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026