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
A••• G••••• A•••••••• L••
Latest filing Jun 16, 2026
First filing on the tape May 31, 2018 · 31 filings
SEC status approved since Jul 2, 2018
RAUM
$231M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$197M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$38.5M
derived; firm RAUM over IAPD count
Employees
16
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$231M as of Jun 16, 2026
Mar 22, 2019$39.2M then
HNW client RAUM$144M as of Jun 16, 2026
Mar 22, 2019$25.5M then
State-registered IARs (5.B.3)8 as of Jun 16, 2026
Mar 22, 20193 then
Employees (5.A)16 as of Jun 16, 2026
Mar 22, 20195 then
Private funds: no history
RAUM +60% over the last fiscal year+35% a year over threeIARs 5 to 8
Practice profile
derived from the filing of Jun 16, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $38.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $283,330derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +60%derivedbetween the last two annual amendments
- Advisor growth, one year
- +60%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +87%derived
- Compensation
- percentage of assets, 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)
- 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$144M62%
- Individuals$53.2M23%
- Pension and profit-sharing plans$27.6M12%
- Corporations and businesses$5.2M2.2%
- Charitable organizations$1.3M0.6%
- Individual clients
- 270reported
- HNW clients
- 132reported
- Pension plan clients
- 26reported
- Charitable clients
- 6reported
- Accounts
- 815reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=9.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• S••••• I••••••• | New York, Ny | Mar 22, 2019 | 22 y | 2 |
| A•••• K•••• | New York, Ny | Jan 11, 2022 | 22 y | 1 |
| C••• J••• C••••Certified Financial Planner, Chartered Financial Consultant | New York, Ny | Jun 29, 2023 | 47 y | 2 |
| F•••• L•••• D••••••• | White Plains, Ny | Jul 10, 2025 | 30 y | 4 |
| M••• P•••• A••••• | New York, Ny | Nov 12, 2025 | 11 y | 0 |
| T••••• A••• | New York, Ny | Dec 18, 2025 | 12 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount2 left over 36 months
Left, latest
- D••••• R•••••• M••••••• to L•• F•••••••• L••Apr 20, 2026 · RIA to affiliated broker-dealer or bank
- C•••••• A••••• M•••• to L•• F•••••••• L••Feb 26, 2025 · RIA to affiliated broker-dealer or bank
- J••••••• W•••• to C•••••• G•••• • C• I••Jul 24, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- T••••• A••• from L•• E••••••••• L••Dec 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- D••••• R•••••• M••••••• from C•••••• G•••• • C• I••Jun 16, 2025 · Affiliated broker-dealer or bank to independent RIA
- C••• J••• C•••• from C•••••• G•••• • C• I••Jun 29, 2023 · Affiliated broker-dealer or bank to independent RIA
- C•••••• A••••• M•••• from C•••••• G•••• • C• I••Sep 23, 2022 · Affiliated broker-dealer or bank to independent RIA
- S••••• S••••• I••••••• from V••• F•••••••• A•••••••• I•••Mar 22, 2019 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C•••••• G•••• • C• I••Jul 10, 2025 · Syracuse, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• K•••••••• A•• · Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- I•••••••• S•••••• S••••• · Managing Partner And Chief Executive Officercontrolsince 05/2018 · owns 75% or more
- K••••• A•••• · Partner And Chief Operating Officercontrolsince 05/2018 · 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 | 6 | 3 | 0 | ||
| St Augustine, Fl | 2 | 1 | 1 | ||
| Saint Augustine, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Saint Augustine, FL1 employees
- White Plains, NY1 employees
- , 1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $144,750,085 to $230,913,938 (+60.0%) between the annual amendments of 2025-03-21 and 2026-03-31; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
- client count surgeChange between filings · filing Mar 31, 2026individual and HNW clients (Item 5.D) moved from 215.0 to 402.0 (+87.0%) between the annual amendments of 2025-03-21 and 2026-03-31; the peer median change was +3.0% (3309 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 99% percentile
- account count surgeChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 507.0 to 815.0 (+61.0%) between the annual amendments of 2025-03-21 and 2026-03-31; the peer median change was +5.0% (3687 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 96% percentile
- advisor count surgeChange between filings · filing Mar 31, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 8.0 (+60.0%) between the annual amendments of 2025-03-21 and 2026-03-31; the peer median change was 0.0% (965 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 98% percentile
- employee count surgeChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 10.0 to 16.0 (+60.0%) between the annual amendments of 2025-03-21 and 2026-03-31; the peer median change was 0.0% (507 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (507) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 507 to 815Nov 18, 2025 to Mar 31, 2026
- Advisory employees · 4 to 10Nov 18, 2025 to Mar 31, 2026
- BD registered reps · 5 to 9Nov 18, 2025 to Mar 31, 2026
- Charity clients · 5 to 6Nov 18, 2025 to Mar 31, 2026
- HNW clients · 86 to 132Nov 18, 2025 to Mar 31, 2026
- Individual clients · 129 to 270Nov 18, 2025 to Mar 31, 2026
- Pension plan clients · 16 to 26Nov 18, 2025 to Mar 31, 2026
- Employees · 9 to 16Nov 18, 2025 to Mar 31, 2026
- Insurance-licensed employees · 3 to 0Nov 18, 2025 to Mar 31, 2026
- State-registered IARs · 4 to 8Nov 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $145M to $231MNov 18, 2025 to Mar 31, 2026
- HNW RAUM · $90.3M to $144MNov 18, 2025 to Mar 31, 2026
- Individual RAUM · $20.1M to $53.2MNov 18, 2025 to Mar 31, 2026
- Pension RAUM · $26.7M to $27.6MNov 18, 2025 to Mar 31, 2026
- RAUM · $145M to $231MNov 18, 2025 to Mar 31, 2026
- Advisory employees · 5 to 4Jun 17, 2025 to Jul 25, 2025
- BD registered reps · 6 to 5Jun 17, 2025 to Jul 25, 2025
- Employees · 10 to 9Jun 17, 2025 to Jul 25, 2025
- Insurance-licensed employees · 4 to 3Jun 17, 2025 to Jul 25, 2025
- Financial planning clients · 51-100 to 51-100Jun 17, 2025 to Jul 25, 2025
- State-registered IARs · 5 to 4Jun 17, 2025 to Jul 25, 2025
- Advisory employees · 7 to 5Feb 21, 2025 to Mar 21, 2025
- BD registered reps · 8 to 6Feb 21, 2025 to Mar 21, 2025
- Employees · 12 to 10Feb 21, 2025 to Mar 21, 2025
- Insurance-licensed employees · 6 to 4Feb 21, 2025 to Mar 21, 2025
- State-registered IARs · 7 to 5Feb 21, 2025 to Mar 21, 2025
- Other offices · 3 to 2Feb 21, 2025 to Mar 21, 2025
- Accounts · 423 to 507Dec 19, 2024 to Feb 21, 2025
- Advisory employees · 6 to 7Dec 19, 2024 to Feb 21, 2025
- BD registered reps · 7 to 8Dec 19, 2024 to Feb 21, 2025
- Charity clients · unset to 5.0Dec 19, 2024 to Feb 21, 2025
- Corporate clients · 7 to 8Dec 19, 2024 to Feb 21, 2025
- HNW clients · 49 to 86Dec 19, 2024 to Feb 21, 2025
- Individual clients · 96 to 129Dec 19, 2024 to Feb 21, 2025
- Employees · 11 to 12Dec 19, 2024 to Feb 21, 2025
- Insurance-licensed employees · 5 to 6Dec 19, 2024 to Feb 21, 2025
- State-registered IARs · 6 to 7Dec 19, 2024 to Feb 21, 2025
- Discretionary RAUM · $102M to $145MDec 19, 2024 to Feb 21, 2025
- HNW RAUM · $62.5M to $90.3MDec 19, 2024 to Feb 21, 2025
- Individual RAUM · $12.9M to $20.1MDec 19, 2024 to Feb 21, 2025
Signals
6 dated events
- D••••• R•••••• M••••••• left A••• G••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2025-07-11)Apr 20, 2026 · Advisor changed firm · fact
- 3 advisors left C•••••• G•••• • C• I•• (Syracuse, NY) for A••• G••••• A•••••••• L•• on the same dayJul 10, 2025 · Team lift-out · derived
- C•••••• A••••• M•••• left A••• G••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2025-07-11)Feb 26, 2025 · Advisor changed firm · fact
- Ann Kathleen Bishop (Chief Compliance Officer) appeared on Schedule A of A••• G••••• A•••••••• L••Jan 31, 2024 · Control person joined · fact
- J••••••• W•••• left A••• G••••• A•••••••• L•• for C•••••• G•••• • C• I•• (registered 2022-10-28)Jul 24, 2023 · Advisor changed firm · fact
- A••• G••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 31, 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
- 212-961-6794reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-991-8807reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-397-8147reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/26143/admin/feed/postsreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/arch-global-advisors/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- cowanfg.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212) 991-8807reportedpublic record, Form ADV, Jun 16, 2026
- Contact form
- cowanfg.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $38.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026