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.
SEC-registered adviser
Belle Haven Investments, L.P.
Latest filing Jul 1, 2026
First filing on the tape Nov 17, 2011 · 33 filings
SEC status approved since Jan 26, 2006
RAUM
$24B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$21B individuals and HNW
Advisors
20
registered through the firm on IAPD
RAUM per advisor
$1.2B
derived; firm RAUM over IAPD count
Employees
47
40 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$24B as of Jul 1, 2026
Mar 30, 2012$1.0B then
HNW client RAUM$12B as of Jul 1, 2026
Mar 29, 2018$2.6B then
State-registered IARs (5.B.3)20 as of Jul 1, 2026
Mar 27, 20130 then
Employees (5.A)47 as of Jul 1, 2026
Mar 27, 201312 then
Private funds1 as of Jul 1, 2026
Mar 30, 20121 then
RAUM +20% over the last fiscal year+17% a year over threeIARs 7 to 20
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $1.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1,332derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $886,270derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 20.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +186%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- yesreportedItem 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
- is a broker-dealer (6.A.1)
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$12B50%
- Individuals$8.4B34%
- Corporations and businesses$1.4B5.9%
- Investment companies$1.4B5.8%
- Charitable organizations$652M2.7%
- Pension and profit-sharing plans$173M0.7%
- State and municipal entities$142M0.6%
- Insurance companies$85.8M0.4%
- Pooled investment vehicles$18.4M0.1%
- Banks and thrifts$1.9M0.0%
- Individual clients
- 22,056reported
- HNW clients
- 4,579reported
- Pension plan clients
- 24reported
- Charitable clients
- 281reported
- Accounts
- 27,599reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $13B managedreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.84 fund_share=0.06 institutional_share=0.04 related_bd=false related_bank=false bd_reps=32.0derived
Advisors registered through the firm
20 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Scott Joseph Tallman | Houston, Tx | Aug 6, 2018 | 18 y | 1 |
| Stanley Bill Sattler | Rye Brook,, Ny | Dec 21, 2018 | 15 y | 0 |
| Mason James Durand | Rye Brook,, Ny | Jan 7, 2019 | 18 y | 1 |
| Ross Eric Ingber | Rye Brook,, Ny | Jun 3, 2020 | 14 y | 2 |
| James Alan Lyman | Rye Brook,, Ny | May 12, 2023 | 30 y | 3 |
| Dora D Lee | Rye Brook, Ny | Apr 22, 2025 | 10 y | 0 |
| Richard Henry Holzinger | Rye Brook, Ny | May 12, 2025 | 14 y | 1 |
| Lincoln Henry James | Austin, Tx | May 17, 2025 | 15 y | 0 |
| Duwayne Omar Walker | Rye Brook, Ny | Jun 16, 2025 | 15 y | 0 |
| Melissa Ann Chaffee | Rye Brook,, Ny | Jun 23, 2025 | 16 y | 0 |
| Andres Falcon Gimenez | Rye Brook, Ny | Jul 24, 2025 | 10 y | 0 |
| Cuong Luong | Rye Brook,, Ny | Jul 28, 2025 | 18 y | 0 |
| Amanda Tronni | Rye Brook, Ny | Aug 15, 2025 | 13 y | 0 |
| Ryan Adam CiavarelliChartered Financial Analyst | Rye Brook, Ny | Sep 3, 2025 | 21 y | 0 |
| Brandon Rook | Rye Brook, Ny | Sep 16, 2025 | 13 y | 0 |
| Mark Christiana | Rye Brook, Ny | Dec 3, 2025 | 10 y | 0 |
| Anthony Goncalves Nogueira | Rye Brook, Ny | Jan 1, 2026 | 12 y | 0 |
| Summer G Weiss | Rye Brook, Ny | Jan 2, 2026 | 25 y | 1 |
| Matthew Sherman Thomas | Rye Brook, Ny | Jul 15, 2026 | 14 y | 0 |
| Ian Spencer | Rye Brook, Ny | Sep 5, 2026 | 10 y | 0 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.0% of current headcount1 left over 36 months
Left, latest
- Jack Anthony Riina to Focus Partners Wealth, LLCApr 30, 2026 · RIA to RIA
- Matthew John Stevens to New Age AlphaFeb 10, 2021 · Other
- Frank Anthony Delli Carpini to UBS Financial Services Inc.Feb 12, 2008 · Other
- Michael Paddington Norris to Oppenheimer & Co. Inc.Feb 23, 2007 · Other
- Steven Mark Erenfryd to Oppenheimer & Co. Inc.Feb 15, 2007 · Other
- Todd Andrew Stankiewicz to Citigroup Global Markets Inc.Dec 7, 2005 · Other
- Richard James Bell to Searle & Co.Oct 25, 2005 · Other
- Michael Devlaming Flinn to Eagle Strategies LLCJul 6, 2004 · Other
Joined, latest
- Summer G Weiss from Lord, Abbett & Co. LLCJan 2, 2026 · Other
- Richard Henry Holzinger from Equitable Advisors, LLCMay 12, 2025 · Affiliated broker-dealer or bank to independent RIA
- James Alan Lyman from Neuberger Berman Bd LLCMay 12, 2023 · Other
- Ross Eric Ingber from Clearbridge Investments, LLCJun 3, 2020 · RIA to RIA
- Mason James Durand from Equitable Advisors, LLCJan 7, 2019 · Affiliated broker-dealer or bank to independent RIA
- Scott Joseph Tallman from Crossmark Global Investments, Inc.Aug 6, 2018 · Other
- Richard James Bell from Loughlin Capital Management, L.P.Mar 3, 2004 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Belle Haven Aggressive Muni, L.P. | Other Private Fund | $18.4M | 13 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Melissa Ann Chaffee · Chief Compliance Officercontrolsince 06/2019 · owns less than 5%
- Laura Jean Chapman · Chief Executive Officer/ Chief Operating Officercontrolsince 06/2026 · owns less than 5%
- Joseph Matthew Dalton · Limited Partner,Ceocontrolsince 05/1999 · owns 75% or more
- Michael Dominick Menna · Chief Financial Officercontrolsince 03/2023 · owns less than 5%
- Joseph Matthew Dalton · Shareholder - Presidentcontrolsince 10/2005 · owns 75% or more of Belle Haven Capital Management, Inc.
Entity owners
- Belle Haven Capital Management, · General Partnerdirect · owns less than 5%
- Belle Haven Capital Management, Inc. · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- Belle Haven Capital Management, Inc.pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rye Brook, Ny · principal | 20 | 5 | 1 | ||
| Rye Brook,, Ny | 13 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 1, 2026DALTON, JOSEPH MATTHEW (SHAREHOLDER - PRESIDENT) left Schedule A between the filings of 2022-03-24 and 2026-07-01peers: independent wealth managers, $20B and over (84)
- advisor count surgeChange between filings · filing Mar 26, 2026advisory representatives (Item 5.B.3) moved from 7.0 to 20.0 (+186.0%) between the annual amendments of 2025-03-28 and 2026-03-26; the peer median change was +5.0% (64 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $20B and over (64) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 26,276 to 27,599Mar 26, 2026 to Jul 1, 2026
- Charity clients · 288 to 281Mar 26, 2026 to Jul 1, 2026
- Corporate clients · 599 to 633Mar 26, 2026 to Jul 1, 2026
- HNW clients · 4,331 to 4,579Mar 26, 2026 to Jul 1, 2026
- Individual clients · 21,003 to 22,056Mar 26, 2026 to Jul 1, 2026
- Pension plan clients · 26 to 24Mar 26, 2026 to Jul 1, 2026
- Discretionary RAUM · $23B to $24BMar 26, 2026 to Jul 1, 2026
- HNW RAUM · $12B to $12BMar 26, 2026 to Jul 1, 2026
- Individual RAUM · $8.3B to $8.4BMar 26, 2026 to Jul 1, 2026
- Pension RAUM · $180M to $173MMar 26, 2026 to Jul 1, 2026
- Pooled vehicle RAUM · $18.2M to $18.4MMar 26, 2026 to Jul 1, 2026
- RAUM · $23B to $24BMar 26, 2026 to Jul 1, 2026
- Accounts · 24,433 to 26,276Mar 28, 2025 to Mar 26, 2026
- Advisory employees · 41 to 40Mar 28, 2025 to Mar 26, 2026
- Charity clients · 255 to 288Mar 28, 2025 to Mar 26, 2026
- Corporate clients · 531 to 599Mar 28, 2025 to Mar 26, 2026
- HNW clients · 3,718 to 4,331Mar 28, 2025 to Mar 26, 2026
- Individual clients · 19,873 to 21,003Mar 28, 2025 to Mar 26, 2026
- Pension plan clients · 24 to 26Mar 28, 2025 to Mar 26, 2026
- State-registered IARs · 7 to 20Mar 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $20B to $23BMar 28, 2025 to Mar 26, 2026
- HNW RAUM · $9.8B to $12BMar 28, 2025 to Mar 26, 2026
- Individual RAUM · $7.4B to $8.3BMar 28, 2025 to Mar 26, 2026
- Pension RAUM · $131M to $180MMar 28, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $23.6M to $18.2MMar 28, 2025 to Mar 26, 2026
- RAUM · $20B to $23BMar 28, 2025 to Mar 26, 2026
- Wrap assets (manager) · $11B to $13BMar 28, 2025 to Mar 26, 2026
- Accounts · 22,017 to 24,433Jul 29, 2024 to Mar 28, 2025
- BD registered reps · 26 to 32Jul 29, 2024 to Mar 28, 2025
- Charity clients · 239 to 255Jul 29, 2024 to Mar 28, 2025
- Corporate clients · 406 to 531Jul 29, 2024 to Mar 28, 2025
- HNW clients · 3,111 to 3,718Jul 29, 2024 to Mar 28, 2025
- Individual clients · 18,201 to 19,873Jul 29, 2024 to Mar 28, 2025
- Pension plan clients · 25 to 24Jul 29, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Jul 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $18B to $20BJul 29, 2024 to Mar 28, 2025
- HNW RAUM · $8.1B to $9.8BJul 29, 2024 to Mar 28, 2025
- Individual RAUM · $6.6B to $7.4BJul 29, 2024 to Mar 28, 2025
- Pension RAUM · $53.0M to $131MJul 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $32.6M to $23.6MJul 29, 2024 to Mar 28, 2025
Signals
7 dated events
- Jack Anthony Riina left Belle Haven Investments, L.P. for Focus Partners Wealth, Llc (registered 2026-05-05)Apr 30, 2026 · Advisor changed firm · fact
- Belle Haven Investments, L.P. reported 20 state-registered advisory representatives, up from 7 (2025-03-28 to 2026-03-26)Mar 26, 2026 · Advisor headcount change · derived
- Stephen J Schum (Senior Business Advisor, Partner) no longer on Schedule A of Belle Haven Investments, L.P. (listed 2024-03-28, absent 2024-04-01)Apr 1, 2024 · Control person left · inference
- Michael Dominick Menna (Finop) appeared on Schedule A of Belle Haven Investments, L.P.Mar 24, 2022 · Control person joined · fact
- Belle Haven Investments, L.P. reported RAUM $14.0B, up 28% from $11.0B (2020-08-24 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Belle Haven Investments, L.P. reported RAUM $11.0B, up 36% from $8.1B (2019-06-24 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Melissa Ann Chaffee (Chief Compliance Officer) appeared on Schedule A of Belle Haven Investments, L.P.Jun 24, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Belle Haven Investments, L.P. · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business email
- service@bellehaven.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 914-694-2616reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 914-816-4633reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/BELLE-HAVEN-INVESTMENTSreportedpublic record, Form ADV, Sep 17, 2026
- Website
- BELLEHAVEN.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 914-816-4633reportedpublic record, Form ADV, Jul 1, 2026
- Team page
- BELLEHAVEN.COM/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
- $1.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026