DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
D••••• A•••••••
Legal name A••••••• A•••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 6, 2019 · 13 filings
SEC status approved since Mar 8, 2019
RAUM
$363M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$332M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$181M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$363M as of Mar 27, 2026
Mar 26, 2020$197M then
HNW client RAUM$327M as of Mar 27, 2026
Mar 26, 2020$168M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 26, 20202 then
Employees (5.A)3 as of Mar 27, 2026
Mar 26, 20203 then
Private funds: no history
RAUM +19% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $181MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.8MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $363MreportedItem 5.I
- Custody
- $348M, 62 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$327M90%
- Charitable organizations$15.7M4.3%
- Corporations and businesses$14.7M4.0%
- Individuals$5.6M1.6%
- Individual clients
- 21reported
- HNW clients
- 42reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 309reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $348M for 62 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•• H••••• | New York, Ny | May 10, 2021 | 16 y | 1 |
| R•••• T•••• | New York, Ny | May 30, 2021 | 12 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 headcount0 left over 36 months
Left, latest
- V•••• N•• V•••• to A•• M••••••••• L••Apr 11, 2022 · RIA to a newly registered adviser
Joined, latest
- S•• H••••• from M••••• S••••••May 10, 2021 · Wirehouse to independent RIA
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• A•••• I••••• L•no longer reported | Hedge Fund | $100,000 | 1 | Feb 6, 2019 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• S••• N•• · Managing Member, Chief Compliance Officer, Ceocontrolsince 08/2018 · owns 75% or more
- T••••• R••••• N•• · Member, Coocontrolsince 01/2021 · owns 10% to 25%
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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Eatontown, NJ2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 27, 2026HNW RAUM per HNW client of $7,781,030 against a peer median of $2,402,920 (4942 comparable advisers, 98.0th percentile, 3.6 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 267 to 309Mar 27, 2025 to Mar 27, 2026
- Corporate clients · 12 to 15Mar 27, 2025 to Mar 27, 2026
- HNW clients · 37 to 42Mar 27, 2025 to Mar 27, 2026
- Individual clients · 19 to 21Mar 27, 2025 to Mar 27, 2026
- Assets in custody · $292M to $348MMar 27, 2025 to Mar 27, 2026
- Employees · 2 to 3Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $304M to $363MMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $275M to $327MMar 27, 2025 to Mar 27, 2026
- Individual RAUM · $5.6M to $5.6MMar 27, 2025 to Mar 27, 2026
- RAUM · $304M to $363MMar 27, 2025 to Mar 27, 2026
- Accounts · 218 to 267Mar 28, 2024 to Mar 27, 2025
- Corporate clients · 9 to 12Mar 28, 2024 to Mar 27, 2025
- HNW clients · 33 to 37Mar 28, 2024 to Mar 27, 2025
- Individual clients · 14 to 19Mar 28, 2024 to Mar 27, 2025
- Assets in custody · unset to 292491611.0Mar 28, 2024 to Mar 27, 2025
- Custody of client assets · false to trueMar 28, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $251M to $304MMar 28, 2024 to Mar 27, 2025
- HNW RAUM · $231M to $275MMar 28, 2024 to Mar 27, 2025
- Individual RAUM · $3.2M to $5.6MMar 28, 2024 to Mar 27, 2025
- RAUM · $251M to $304MMar 28, 2024 to Mar 27, 2025
- Accounts · 221 to 218Mar 28, 2023 to Mar 28, 2024
- HNW clients · 31 to 33Mar 28, 2023 to Mar 28, 2024
- Individual clients · 15 to 14Mar 28, 2023 to Mar 28, 2024
- Other offices · 0 to 1Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $263M to $251MMar 28, 2023 to Mar 28, 2024
- HNW RAUM · $240M to $231MMar 28, 2023 to Mar 28, 2024
- Individual RAUM · $3.5M to $3.2MMar 28, 2023 to Mar 28, 2024
- RAUM · $263M to $251MMar 28, 2023 to Mar 28, 2024
- Accounts · 237 to 221Jun 21, 2022 to Mar 28, 2023
- Corporate clients · 11 to 9Jun 21, 2022 to Mar 28, 2023
- HNW clients · 32 to 31Jun 21, 2022 to Mar 28, 2023
- Individual clients · 17 to 15Jun 21, 2022 to Mar 28, 2023
- Discretionary RAUM · $295M to $263MJun 21, 2022 to Mar 28, 2023
- HNW RAUM · $242M to $240MJun 21, 2022 to Mar 28, 2023
- Individual RAUM · $4.3M to $3.5MJun 21, 2022 to Mar 28, 2023
- RAUM · $295M to $263MJun 21, 2022 to Mar 28, 2023
- Advisory employees · 3 to 2Mar 22, 2022 to Jun 21, 2022
- Employees · 3 to 2Mar 22, 2022 to Jun 21, 2022
- State-registered IARs · 3 to 2Mar 22, 2022 to Jun 21, 2022
Signals
3 dated events
- V•••• N•• V•••• left D••••• A••••••• for A•• M••••••••• L•• (registered 2022-03-30)Apr 11, 2022 · Advisor changed firm · fact
- Nmn R•••• T•••• (Member, Coo) appeared on Schedule A of D••••• A•••••••Mar 22, 2022 · Control person joined · fact
- D••••• A••••••• filed its initial SEC registration (Form ADV)Feb 6, 2019 · 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
- m••••••@d•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 917-810-5530reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 917-810-5530reportedpublic record, Form ADV, Mar 27, 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
- $181Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026