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
B••••••••• W••••• M••••••••• L••
Latest filing Jul 9, 2026
First filing on the tape Jan 27, 2018 · 30 filings
SEC status approved since Feb 26, 2018
RAUM
$424M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
95%
$405M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$60.6M
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$424M as of Jul 9, 2026
Mar 15, 2019$52.7M then
HNW client RAUM$282M as of Jul 9, 2026
Mar 15, 2019$37.9M then
State-registered IARs (5.B.3)7 as of Jul 9, 2026
Mar 15, 20194 then
Employees (5.A)10 as of Jul 9, 2026
Mar 15, 20196 then
Private funds: no history
RAUM +31% over the last fiscal year+31% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Jul 9, 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
- RAUM per advisor
- $60.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $342,462derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$282M66%
- Individuals$123M29%
- Pension and profit-sharing plans$18.4M4.3%
- Corporations and businesses$818,5970.2%
- Individual clients
- 275reported
- HNW clients
- 96reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 1,238reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• E• N••••••Certified Financial Planner | New York, Ny | Dec 2, 2019 | 9 y | 1 |
| S••• M••••••• H••••••Chartered Financial Consultant | New York, Ny | Oct 21, 2020 | 21 y | 1 |
| D•••• L•••• N••••Certified Financial Planner | New York, Ny | Jun 29, 2021 | 21 y | 1 |
| L••••••• E••••• G••••••••Chartered Financial Consultant | New York, Ny | Jul 9, 2021 | 29 y | 0 |
| S•••• M•••••• U•••• | New York, Ny | Dec 2, 2021 | 18 y | 0 |
| K•••• G•••• D••••• | New York, Ny | Dec 13, 2021 | 13 y | 2 |
| J•••• L••• P•••••• | New York, Ny | Jul 23, 2025 | 11 y | 3 |
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
- J•••• L••• P•••••• from O•••• W•••••• I•••Jul 23, 2025 · Affiliated broker-dealer or bank to independent RIA
- K•••• G•••• D••••• from Y••• P••••••• P•••••• L••Dec 13, 2021 · Other
- D•••• L•••• N•••• from U•• F•••••••• S••••••• I•••Jun 29, 2021 · Wirehouse to independent RIA
- S••• M••••••• H•••••• from M•• I•••••••• S•••••••• L••Oct 21, 2020 · Other
- K•••••• E• N•••••• from S••••••• I••••••••• I•••Dec 2, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• S•••• M••••••• · Managing Partnercontrolsince 04/2017 · owns 75% or more
- N••••••• K••••••• E• · Chief Investment Officercontrolsince 01/2020 · owns less than 5%
- U••••• S••••• M•••••• · Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
Related persons
Schedule D 7.A
- B••••••••• I•••••••• S•••••••• I••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,100 to 1,238Aug 4, 2025 to Mar 26, 2026
- Individual clients · 226 to 275Aug 4, 2025 to Mar 26, 2026
- Pension plan clients · 6 to 8Aug 4, 2025 to Mar 26, 2026
- Discretionary RAUM · $313M to $406MAug 4, 2025 to Mar 26, 2026
- HNW RAUM · $235M to $282MAug 4, 2025 to Mar 26, 2026
- Individual RAUM · $77.4M to $123MAug 4, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $9.1M to $18.4MAug 4, 2025 to Mar 26, 2026
- Pension RAUM · $9.1M to $18.4MAug 4, 2025 to Mar 26, 2026
- RAUM · $322M to $424MAug 4, 2025 to Mar 26, 2026
- Advisory employees · 6 to 7Apr 29, 2025 to Aug 4, 2025
- BD registered reps · 2 to 3Apr 29, 2025 to Aug 4, 2025
- Employees · 9 to 10Apr 29, 2025 to Aug 4, 2025
- State-registered IARs · 6 to 7Apr 29, 2025 to Aug 4, 2025
- Accounts · 932 to 1,100Jun 5, 2024 to Apr 29, 2025
- HNW clients · 73 to 96Jun 5, 2024 to Apr 29, 2025
- Individual clients · 219 to 226Jun 5, 2024 to Apr 29, 2025
- Pension plan clients · 5 to 6Jun 5, 2024 to Apr 29, 2025
- Employees · 8 to 9Jun 5, 2024 to Apr 29, 2025
- Financial planning clients · 11-25 to 11-25Jun 5, 2024 to Apr 29, 2025
- Discretionary RAUM · $241M to $313MJun 5, 2024 to Apr 29, 2025
- HNW RAUM · $164M to $235MJun 5, 2024 to Apr 29, 2025
- Individual RAUM · $75.6M to $77.4MJun 5, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $8.2M to $9.1MJun 5, 2024 to Apr 29, 2025
- Pension RAUM · $8.2M to $9.1MJun 5, 2024 to Apr 29, 2025
- RAUM · $249M to $322MJun 5, 2024 to Apr 29, 2025
- Accounts · 774 to 932Mar 1, 2023 to Mar 27, 2024
- Corporate clients · 5.0 to unsetMar 1, 2023 to Mar 27, 2024
- HNW clients · 72 to 73Mar 1, 2023 to Mar 27, 2024
- Individual clients · 186 to 219Mar 1, 2023 to Mar 27, 2024
- Other offices · 1 to 2Mar 1, 2023 to Mar 27, 2024
- Discretionary RAUM · $180M to $241MMar 1, 2023 to Mar 27, 2024
- HNW RAUM · $120M to $164MMar 1, 2023 to Mar 27, 2024
- Individual RAUM · $53.6M to $75.6MMar 1, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $7.1M to $8.2MMar 1, 2023 to Mar 27, 2024
- Pension RAUM · $7.1M to $8.2MMar 1, 2023 to Mar 27, 2024
- RAUM · $187M to $249MMar 1, 2023 to Mar 27, 2024
- Accounts · 671 to 774Jan 27, 2022 to Mar 1, 2023
- Business name · B••••••••• W••••• M••••••••• I••• to B••••••••• W••••• M••••••••• L••Jan 27, 2022 to Mar 1, 2023
- Corporate clients · 6 to 5Jan 27, 2022 to Mar 1, 2023
- Individual clients · 160 to 186Jan 27, 2022 to Mar 1, 2023
Signals
5 dated events
- B••••••••• W••••• M••••••••• L•• reported RAUM $424.0M, up 31% from $322.4M (2025-08-04 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- Edward Laurence Greenwald (Managing Member) no longer on Schedule A of B••••••••• W••••• M••••••••• L•• (listed 2022-01-27, absent 2023-03-01)Mar 1, 2023 · Control person left · inference
- B••••••••• W••••• M••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 27, 2022 · Succession (Item 4) · fact
- E K•••••• N•••••• (Chief Investment Officer) appeared on Schedule A of B••••••••• W••••• M••••••••• L••Mar 20, 2020 · Control person joined · fact
- Blackdiamond filed its initial SEC registration (Form ADV)Jan 27, 2018 · 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@blackdiamondwealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-518-3134reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-784-6999reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/blackdiamond-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- B•••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212) 784-6999reportedpublic record, Form ADV, Jul 9, 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
- $60.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026