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••••••• W••••• M••••••••• L••
Latest filing Apr 10, 2026
First filing on the tape Nov 29, 2017 · 23 filings
SEC status approved since Jan 12, 2018
RAUM
$873M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$859M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$125M
derived; firm RAUM over IAPD count
Employees
17
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$873M as of Apr 10, 2026
Mar 26, 2019$431M then
HNW client RAUM$719M as of Apr 10, 2026
Mar 26, 2019$269M then
State-registered IARs (5.B.3)11 as of Apr 10, 2026
Mar 26, 20199 then
Employees (5.A)17 as of Apr 10, 2026
Mar 26, 201916 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 9 to 11
Practice profile
derived from the filing of Apr 10, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $125MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $435,391derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
- Wrap fee program
- $203MreportedItem 5.I
- Custody
- $655M, 664 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$719M82%
- Individuals$141M16%
- State and municipal entities$7.0M0.8%
- Pension and profit-sharing plans$3.5M0.4%
- Charitable organizations$2.7M0.3%
- Individual clients
- 415reported
- HNW clients
- 224reported
- Pension plan clients
- 25reported
- Charitable clients
- n/areported
- Accounts
- 2,004reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $655M for 664 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• J•••• K•••• | Wilmington, De | Feb 9, 2018 | 41 y | 1 |
| M•••••• J••••• S••••••••Certified Financial Planner | Wilmington, De | Feb 9, 2018 | 30 y | 4 |
| J•••• E•••• H•••Certified Financial Planner | Wilmington, De | Feb 9, 2018 | 36 y | 2 |
| A•••••• R•••••• M••••••••Certified Financial Planner | Wilmington, De | Mar 6, 2019 | 14 y | 0 |
| B•••• W•••••• T••••••Certified Financial Planner | Wilmington, De | Jun 19, 2020 | 11 y | 0 |
| C••••• D•••• S••••Certified Financial Planner | Wilmington, De | Dec 22, 2021 | 12 y | 1 |
| J•••• R••••• N•••••Certified Financial Planner | Wilmington, De | Oct 6, 2025 | 14 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount4 left over 36 months
Left, latest
- M•••••• A•• P••••••• to H•••••••• F•••••••• S•••••••• I•••May 11, 2026 · Other
- C••••••••• S•••••• W••••••• to B••• M••• T•••• A•••••••• L••Apr 15, 2024 · RIA to RIA
- C•••••• L••• Y••••••••• to B••••••••• W••••• A•••••••• L••Feb 1, 2024 · Other
- P•••• F• G••••••• to B••• M••• T•••• A•••••••• L••Oct 4, 2023 · RIA to RIA
- C•••••• L••• Y••••••••• to V••••••• A•••••••• I•••Mar 1, 2021 · RIA to affiliated broker-dealer or bank
- B•••••• J••• M•••••• to P•••••••• G••••• A•••• M••••••••• L••Jun 12, 2019 · RIA to RIA
- R••••• E••• B•••••• to S••• W••••• L••May 7, 2019 · RIA to RIA
Joined, latest
- J•••• R••••• N••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 6, 2025 · Affiliated broker-dealer or bank to independent RIA
- M•••••• A•• P••••••• from C••••••• P•••••• W•••••May 23, 2024 · RIA to RIA
- C••••• D•••• S•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 22, 2021 · Affiliated broker-dealer or bank to independent RIA
- C•••••• L••• Y••••••••• from V••••••• A•••••••• I•••Dec 13, 2021 · Affiliated broker-dealer or bank to independent RIA
- C•••••• L••• Y••••••••• from T••••• C•••••• M••••••••• L••Mar 22, 2019 · RIA to RIA
- B•••••• J••• M•••••• from C•••••••• F••••••••• I•••Feb 9, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from A••••••• W••••• M••••••••• L••Feb 9, 2018 · Wilmington, De · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• M••••••• J••••• · Chief Executive Officer And Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- S••••••••• M••••••• J••••• · Presidentcontrolsince 11/2017 · owns 75% or more of T•• W••••• D••••• G••••• I•••
Entity owners
- T•• W••••• D••••• G••••• I••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••••••• T•• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wilmington, De · principal | 7 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,895 to 2,004Nov 6, 2025 to Mar 11, 2026
- Advisory employees · 9 to 11Nov 6, 2025 to Mar 11, 2026
- HNW clients · 231 to 224Nov 6, 2025 to Mar 11, 2026
- Individual clients · 386 to 415Nov 6, 2025 to Mar 11, 2026
- Pension plan clients · 22 to 25Nov 6, 2025 to Mar 11, 2026
- Assets in custody · $656M to $655MNov 6, 2025 to Mar 11, 2026
- Employees · 15 to 17Nov 6, 2025 to Mar 11, 2026
- State-registered IARs · 9 to 11Nov 6, 2025 to Mar 11, 2026
- Discretionary RAUM · $740M to $873MNov 6, 2025 to Mar 11, 2026
- HNW RAUM · $614M to $719MNov 6, 2025 to Mar 11, 2026
- Individual RAUM · $117M to $141MNov 6, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $20.3M to $0Nov 6, 2025 to Mar 11, 2026
- Pension RAUM · $22.5M to $3.5MNov 6, 2025 to Mar 11, 2026
- RAUM · $760M to $873MNov 6, 2025 to Mar 11, 2026
- Accounts · 2,072 to 1,895Nov 18, 2024 to Mar 17, 2025
- HNW clients · 202 to 231Nov 18, 2024 to Mar 17, 2025
- Individual clients · 422 to 386Nov 18, 2024 to Mar 17, 2025
- Pension plan clients · 5 to 22Nov 18, 2024 to Mar 17, 2025
- Assets in custody · $579M to $656MNov 18, 2024 to Mar 17, 2025
- Financial planning clients · 251-500 to 251-500Nov 18, 2024 to Mar 17, 2025
- Discretionary RAUM · $676M to $740MNov 18, 2024 to Mar 17, 2025
- HNW RAUM · $540M to $614MNov 18, 2024 to Mar 17, 2025
- Individual RAUM · $146M to $117MNov 18, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $23.7M to $20.3MNov 18, 2024 to Mar 17, 2025
- Pension RAUM · $5.8M to $22.5MNov 18, 2024 to Mar 17, 2025
- RAUM · $700M to $760MNov 18, 2024 to Mar 17, 2025
- Accounts · 1,946 to 2,072Nov 15, 2023 to Mar 21, 2024
- Advisory employees · 10 to 9Nov 15, 2023 to Mar 21, 2024
- HNW clients · 168 to 202Nov 15, 2023 to Mar 21, 2024
- Individual clients · 464 to 422Nov 15, 2023 to Mar 21, 2024
- Pension plan clients · 20 to 5Nov 15, 2023 to Mar 21, 2024
- Assets in custody · $306M to $579MNov 15, 2023 to Mar 21, 2024
- Employees · 16 to 15Nov 15, 2023 to Mar 21, 2024
- State-registered IARs · 10 to 9Nov 15, 2023 to Mar 21, 2024
- Discretionary RAUM · $587M to $676MNov 15, 2023 to Mar 21, 2024
- HNW RAUM · $454M to $540MNov 15, 2023 to Mar 21, 2024
- Individual RAUM · $125M to $146MNov 15, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $17.4M to $23.7MNov 15, 2023 to Mar 21, 2024
- Pension RAUM · $18.9M to $5.8MNov 15, 2023 to Mar 21, 2024
- RAUM · $605M to $700MNov 15, 2023 to Mar 21, 2024
Signals
8 dated events
- M•••••• A•• P••••••• left A••••••• W••••• M••••••••• L•• for H•••••••• F•••••••• S•••••••• I••• (registered 2026-05-26)May 11, 2026 · Advisor changed firm · fact
- C••••••••• S•••••• W••••••• left A••••••• W••••• M••••••••• L•• for B••• M••• T•••• A•••••••• L•• (registered 2024-05-05)Apr 15, 2024 · Advisor changed firm · fact
- C•••••• L••• Y••••••••• left A••••••• W••••• M••••••••• L•• for B••••••••• W••••• A•••••••• L•• (registered 2024-02-14)Feb 1, 2024 · Advisor changed firm · fact
- P•••• F• G••••••• left A••••••• W••••• M••••••••• L•• for B••• M••• T•••• A•••••••• L•• (registered 2024-01-04)Oct 4, 2023 · Advisor changed firm · fact
- E•••• J•••• H••• (President) no longer on Schedule A of A••••••• W••••• M••••••••• L•• (listed 2022-03-23, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Michele Victoria Alexitch (Chief Operating Officer And Chief Compliance Officer) no longer on Schedule A of A••••••• W••••• M••••••••• L•• (listed 2021-03-24, absent 2021-08-13)Aug 13, 2021 · Control person left · inference
- A••••••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 29, 2017 · Succession (Item 4) · fact
- A••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 29, 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
- 302-652-6767reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/affinity-wealth-management-inc-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (302) 652-6767reportedpublic record, Form ADV, Apr 10, 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
- $125Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026