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.

Former SEC-registered adviser

Kore Private Wealth, LLC

Former SEC-registered adviserNew York, New YorkCRD 294547SEC 801-113082IAPD
Latest filing Mar 1, 2023
First filing on the tape Mar 30, 2018 · 21 filings
RAUM
$5.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$4.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
27
17 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$5.1B as of Mar 30, 2022
Mar 30, 2019$2.8B then
HNW client RAUM$4.3B as of Mar 30, 2022
Mar 30, 2019$2.4B then
State-registered IARs (5.B.3)13 as of Mar 30, 2022
Mar 30, 20195 then
Employees (5.A)27 as of Mar 30, 2022
Mar 30, 201917 then
Private funds: no history
RAUM +22% over the last fiscal year+22% a year over threeIARs 6 to 13offices 0 to 3
Practice profile
derived from the filing of Mar 1, 2023; every figure names its basis
RAUM per advisor
$394MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
40derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$9.0MderivedHNW RAUM over HNW clients
Average account
$877,611derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.1derivedItem 5.A over advisors
Advisors per office
3.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
+117%derivedItem 5.B.3 between annual amendments
Client growth, one year
-32%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$1.9B, 329 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$4.3B85%
  • Corporations and businesses$546M11%
  • Charitable organizations$135M2.6%
  • Pension and profit-sharing plans$77.0M1.5%
  • Individuals$11.5M0.2%
  • Insurance companies$1.8M0.0%
  • Pooled investment vehicles$9,9990.0%
Individual clients
33reported
HNW clients
485reported
Pension plan clients
96reported
Charitable clients
42reported
Accounts
5,836reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$1.9B for 329 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Vivek Jindal · Chief Investment Officercontrol
    since 07/2021 · owns less than 5%
  • Alexandra Leigh Pravda · Chief Compliance Officer, Managing Directorcontrol
    since 06/2018 · owns less than 5%
Entity owners
  • Ci Private Wealth LLC · Owner
    direct · owns 75% or more
  • Ci Financial Corp. · Owner
    indirect · owns 75% or more of Ci US Holdings, Inc · public reporting company
  • Ci US Holdings, Inc · Owner
    indirect · owns 75% or more of Cipw Holdings, LLC
  • Ci US, LLC · Owner
    indirect · owns 75% or more of Cipw Topco, LLC
  • Cipw Holdings, LLC · Owner
    indirect · owns 75% or more of Ci Private Wealth LLC
  • Cipw Topco, LLC · Owner
    indirect · owns 75% or more of Cipw Holdings, LLC
Related persons
Schedule D 7.A
  • Assante Capital Management Ltd
    investment advisern
  • Assante Finanical Management, Ltd
    investment advisern
  • Ci Private Counsel LP
    investment advisern
  • Corient
    investment adviseryRAUM $165B
  • Cipw Family Office Services, LLC
    insurancen
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Succession · true to false
    Dec 6, 2022 to Jan 17, 2023
  • Related adviser · false to true
    Apr 4, 2022 to Dec 6, 2022
  • Related insurance company · false to true
    Apr 4, 2022 to Dec 6, 2022
  • Succession · false to true
    Apr 4, 2022 to Dec 6, 2022
  • Accounts · 3,390 to 5,836
    Jan 3, 2022 to Mar 30, 2022
  • Advisory employees · 10 to 17
    Jan 3, 2022 to Mar 30, 2022
  • Charity clients · 68 to 42
    Jan 3, 2022 to Mar 30, 2022
  • Corporate clients · 149 to 125
    Jan 3, 2022 to Mar 30, 2022
  • HNW clients · 717 to 485
    Jan 3, 2022 to Mar 30, 2022
  • Individual clients · 49 to 33
    Jan 3, 2022 to Mar 30, 2022
  • Pension plan clients · 99 to 96
    Jan 3, 2022 to Mar 30, 2022
  • Assets in custody · $1.5B to $1.9B
    Jan 3, 2022 to Mar 30, 2022
  • Employees · 21 to 27
    Jan 3, 2022 to Mar 30, 2022
  • Financial planning clients · 101-250 to 251-500
    Jan 3, 2022 to Mar 30, 2022
  • State-registered IARs · 6 to 13
    Jan 3, 2022 to Mar 30, 2022
  • Other offices · 1 to 3
    Jan 3, 2022 to Mar 30, 2022
  • Discretionary RAUM · $4.2B to $5.1B
    Jan 3, 2022 to Mar 30, 2022
  • HNW RAUM · $3.5B to $4.3B
    Jan 3, 2022 to Mar 30, 2022
  • Individual RAUM · $15.5M to $11.5M
    Jan 3, 2022 to Mar 30, 2022
  • Pension RAUM · $67.2M to $77.0M
    Jan 3, 2022 to Mar 30, 2022
  • Pooled vehicle RAUM · $9,998 to $9,999
    Jan 3, 2022 to Mar 30, 2022
  • RAUM · $4.2B to $5.1B
    Jan 3, 2022 to Mar 30, 2022
  • Other offices · 0 to 1
    Apr 8, 2021 to Jan 3, 2022
  • Accounts · 3,047 to 3,390
    Nov 13, 2020 to Mar 30, 2021
  • Advisory employees · 9 to 10
    Nov 13, 2020 to Mar 30, 2021
  • Charity clients · 22 to 68
    Nov 13, 2020 to Mar 30, 2021
  • Corporate clients · 106 to 149
    Nov 13, 2020 to Mar 30, 2021
  • HNW clients · 604 to 717
    Nov 13, 2020 to Mar 30, 2021
  • Individual clients · 27 to 49
    Nov 13, 2020 to Mar 30, 2021
  • Pension plan clients · 70 to 99
    Nov 13, 2020 to Mar 30, 2021
  • Assets in custody · $1.4B to $1.5B
    Nov 13, 2020 to Mar 30, 2021
  • Employees · 17 to 21
    Nov 13, 2020 to Mar 30, 2021
  • Financial planning clients · 1-10 to 101-250
    Nov 13, 2020 to Mar 30, 2021
  • State-registered IARs · 5 to 6
    Nov 13, 2020 to Mar 30, 2021
  • Discretionary RAUM · $3.6B to $4.2B
    Nov 13, 2020 to Mar 30, 2021
  • HNW RAUM · $3.1B to $3.5B
    Nov 13, 2020 to Mar 30, 2021
  • Individual RAUM · $9.1M to $15.5M
    Nov 13, 2020 to Mar 30, 2021
  • Pension RAUM · $41.8M to $67.2M
    Nov 13, 2020 to Mar 30, 2021
  • Pooled vehicle RAUM · $18.6M to $9,998
    Nov 13, 2020 to Mar 30, 2021
  • RAUM · $3.6B to $4.2B
    Nov 13, 2020 to Mar 30, 2021
Signals
19 dated events
  • Chad Albert Jaffee left Kore Private Wealth, Llc for Corient (registered 2022-12-12)
    Mar 31, 2023 · Advisor changed firm · fact
  • Jeremy Wittenberg left Kore Private Wealth, Llc for Corient (registered 2022-12-12)
    Mar 31, 2023 · Advisor changed firm · fact
  • Vivek Jindal left Kore Private Wealth, Llc for Corient (registered 2022-12-12)
    Mar 31, 2023 · Advisor changed firm · fact
  • Adam H Katz left Kore Private Wealth, Llc for Corient (registered 2022-12-12)
    Mar 31, 2023 · Advisor changed firm · fact
  • Boris D Yu left Kore Private Wealth, Llc for Corient (registered 2022-12-12)
    Mar 31, 2023 · Advisor changed firm · fact
  • Jennie F Sowers left Kore Private Wealth, Llc for Corient (registered 2022-12-12)
    Mar 31, 2023 · Advisor changed firm · fact
  • Steven George Smith left Kore Private Wealth, Llc for Corient (registered 2022-12-12)
    Mar 31, 2023 · Advisor changed firm · fact
  • Michael Carl Theesfeld left Kore Private Wealth, Llc for Corient (registered 2022-12-12)
    Mar 31, 2023 · Advisor changed firm · fact
  • Benjamin Stephen Sax left Kore Private Wealth, Llc for Corient (registered 2022-12-12)
    Mar 31, 2023 · Advisor changed firm · fact
  • Eric Scott Bodner left Kore Private Wealth, Llc for Corient (registered 2022-12-13)
    Mar 31, 2023 · Advisor changed firm · fact
  • Michael J Finkel left Kore Private Wealth, Llc for Corient (registered 2022-12-12)
    Mar 31, 2023 · Advisor changed firm · fact
  • Kore Private Wealth, LLC's advisors moved to Corient (New York, NY): 10 of 11 registered, on the same day
    Mar 31, 2023 · Firm absorbed (people side) · derived
  • Kore Private Wealth, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Dec 6, 2022 · Succession (Item 4) · fact
  • Scott Eric Bodner (Member) no longer on Schedule A of Kore Private Wealth, Llc (listed 2022-04-04, absent 2022-12-06)
    Dec 6, 2022 · Control person left · inference
  • Stephen Benjamin Sax (Member) no longer on Schedule A of Kore Private Wealth, Llc (listed 2022-04-04, absent 2022-12-06)
    Dec 6, 2022 · Control person left · inference
  • Andrea Zilli left Kore Private Wealth, Llc for Aj Wealth (registered 2022-04-20)
    Apr 7, 2022 · Advisor changed firm · fact
  • Vivek Jindal (Chief Investment Officer) appeared on Schedule A of Kore Private Wealth, Llc
    Mar 30, 2022 · Control person joined · fact
  • Kore Private Wealth, Llc reported RAUM $3.6B, up 27% from $2.8B (2019-11-12 to 2020-03-30)
    Mar 30, 2020 · RAUM change · derived
  • Blue Note Advisory, Llc filed its initial SEC registration (Form ADV)
    Mar 30, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026