DFX Intelligence
RIA Intelligence
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SEC-registered adviser
B••••• W••••• M••••••••• G••••• L••
Latest filing Mar 12, 2026
First filing on the tape Feb 20, 2018 · 26 filings
SEC status approved since Mar 26, 2018
RAUM
$139M
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
74%
$103M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$46.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$139M as of Mar 12, 2026
Jan 15, 2019$29.5M then
HNW client RAUM$72.1M as of Mar 12, 2026
Jan 15, 2019$8.0M then
State-registered IARs (5.B.3)3 as of Mar 12, 2026
Jan 15, 20192 then
Employees (5.A)3 as of Mar 12, 2026
Jan 15, 20192 then
Private funds: no history
RAUM +30% over the last fiscal year+22% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 12, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $46.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 104derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $177,743derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%derivedof RAUM
- Institutional
- 24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +22%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$72.1M52%
- Pension and profit-sharing plans$32.9M24%
- Individuals$31.3M22%
- Corporations and businesses$3.1M2.2%
- Charitable organizations$8490.0%
- Individual clients
- 250reported
- HNW clients
- 61reported
- Pension plan clients
- 13reported
- Charitable clients
- 1reported
- Accounts
- 784reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.74 fund_share=0.0 institutional_share=0.24 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• W•••••• C•••• | New Paltz, Ny | Sep 3, 2021 | 38 y | 0 |
| C••••••••• C•••••• D••••• | New Paltz, Ny | Sep 4, 2021 | 24 y | 1 |
| P•••• B•••• | New Paltz, Ny | Aug 14, 2024 | 10 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
- A•••• A•••••••• K•••• to P••• A••••• S••••••••• L••Dec 15, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- C••••••••• C•••••• D••••• from M••••• O• O•••• I••••••• S•••••••• I•••Sep 4, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• C••••••••• C•••••• · Managing Member & Chief Compliance Officercontrolsince 02/2017 · owns 75% or more
Related persons
Schedule D 7.A
- B••••• R••• M••••••••• G••••• L••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New Paltz, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 12, 2026HNW share of RAUM moved from 32.0% to 52.0% between the annual amendments of 2025-03-26 and 2026-03-12peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 715 to 784Mar 26, 2025 to Mar 12, 2026
- Charity clients · 0 to 1Mar 26, 2025 to Mar 12, 2026
- Corporate clients · 0 to 2Mar 26, 2025 to Mar 12, 2026
- HNW clients · 11 to 61Mar 26, 2025 to Mar 12, 2026
- Individual clients · 243 to 250Mar 26, 2025 to Mar 12, 2026
- Pension plan clients · 20 to 13Mar 26, 2025 to Mar 12, 2026
- Discretionary RAUM · $86.8M to $107MMar 26, 2025 to Mar 12, 2026
- HNW RAUM · $34.6M to $72.1MMar 26, 2025 to Mar 12, 2026
- Individual RAUM · $50.4M to $31.3MMar 26, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $20.6M to $31.9MMar 26, 2025 to Mar 12, 2026
- Pension RAUM · $22.4M to $32.9MMar 26, 2025 to Mar 12, 2026
- RAUM · $107M to $139MMar 26, 2025 to Mar 12, 2026
- Accounts · 620 to 715Aug 23, 2024 to Mar 26, 2025
- Corporate clients · 5 to 0Aug 23, 2024 to Mar 26, 2025
- Individual clients · 244 to 243Aug 23, 2024 to Mar 26, 2025
- Pension plan clients · 7 to 20Aug 23, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Aug 23, 2024 to Mar 26, 2025
- Discretionary RAUM · $65.6M to $86.8MAug 23, 2024 to Mar 26, 2025
- HNW RAUM · $27.9M to $34.6MAug 23, 2024 to Mar 26, 2025
- Individual RAUM · $31.5M to $50.4MAug 23, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $0 to $20.6MAug 23, 2024 to Mar 26, 2025
- Pension RAUM · $2.9M to $22.4MAug 23, 2024 to Mar 26, 2025
- RAUM · $65.6M to $107MAug 23, 2024 to Mar 26, 2025
- Advisory employees · 2 to 3May 20, 2024 to Aug 23, 2024
- Employees · 2 to 3May 20, 2024 to Aug 23, 2024
- State-registered IARs · 2 to 3May 20, 2024 to Aug 23, 2024
- Advisory employees · 3 to 2Mar 11, 2024 to May 20, 2024
- Employees · 3 to 2Mar 11, 2024 to May 20, 2024
- State-registered IARs · 3 to 2Mar 11, 2024 to May 20, 2024
- Accounts · 335 to 620Apr 5, 2023 to Mar 11, 2024
- Corporate clients · 2 to 5Apr 5, 2023 to Mar 11, 2024
- HNW clients · 10 to 11Apr 5, 2023 to Mar 11, 2024
- Individual clients · 289 to 244Apr 5, 2023 to Mar 11, 2024
- Pension plan clients · 36 to 7Apr 5, 2023 to Mar 11, 2024
- Discretionary RAUM · $76.2M to $65.6MApr 5, 2023 to Mar 11, 2024
- HNW RAUM · $23.5M to $27.9MApr 5, 2023 to Mar 11, 2024
- Individual RAUM · $28.3M to $31.5MApr 5, 2023 to Mar 11, 2024
- Pension RAUM · $24.0M to $2.9MApr 5, 2023 to Mar 11, 2024
- RAUM · $76.2M to $65.6MApr 5, 2023 to Mar 11, 2024
- Accounts · 326 to 335Jan 3, 2023 to Feb 21, 2023
Signals
2 dated events
- A•••• A•••••••• K•••• left B••••• W••••• M••••••••• G••••• L•• for P••• A••••• S••••••••• L•• (registered 2023-05-04)Dec 15, 2022 · Advisor changed firm · fact
- B••••• W••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)Feb 20, 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 phone
- 845-750-6213reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- B•••••WM.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 845-750-6213reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- beyondwealthmanagement.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- beyondwealthmanagement.com/team-member-01reportedpublished 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
- $46.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026