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••• W••••• M••••••••• L••
Latest filing Jun 16, 2026
First filing on the tape May 22, 2023 · 12 filings
SEC status approved since Jun 23, 2023
RAUM
$580M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$485M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$116M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$580M as of Jun 16, 2026
Mar 27, 2024$244M then
HNW client RAUM$382M as of Jun 16, 2026
Mar 27, 2024$149M then
State-registered IARs (5.B.3)5 as of Jun 16, 2026
Mar 27, 20245 then
Employees (5.A)7 as of Jun 16, 2026
Mar 27, 20246 then
Private funds1 as of Jun 16, 2026
Mar 10, 20261 then
RAUM +80% over the last fiscal yearIARs 6 to 5
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
- 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
- $116MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 187derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $274,793derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +80%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +32%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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$382M66%
- Individuals$104M18%
- Corporations and businesses$79.7M14%
- Pension and profit-sharing plans$14.3M2.5%
- Individual clients
- 742reported
- HNW clients
- 195reported
- Pension plan clients
- 54reported
- Charitable clients
- 0reported
- Accounts
- 2,109reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••• P••••• H•••• | New York, Ny | Aug 22, 2018 | 13 y | 1 |
| Y••• K••••••••Certified Financial Planner | Toms River, Nj | Sep 5, 2018 | 14 y | 1 |
| E••••••• N•• A••••••••• | New York, Ny | Apr 28, 2022 | 24 y | 1 |
| S••••• B•••• G••••••• | Toms River, Nj | Jan 31, 2023 | 18 y | 1 |
| S••• H••••• | Toms River, Nj | Oct 30, 2024 | 12 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- B•••• D•••• S••••• to F••••••Jun 16, 2026 · RIA to RIA
- C•••• M••• W•••••• to L•• F•••••••• L••Aug 23, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- S••••• B•••• G••••••• from P••• A••••• S••••••••• L••Jan 31, 2023 · Affiliated broker-dealer or bank to independent RIA
- B•••• D•••• S••••• from M•• I•••••••• S•••••••• L••Jun 8, 2022 · Affiliated broker-dealer or bank to independent RIA
- E••••••• N•• A••••••••• from S••••••• W••••• M••••••••• L••Apr 28, 2022 · RIA to RIA
- C•••• M••• W•••••• from S••••••• F•••••••• S•••••••• I•••Jan 29, 2019 · Affiliated broker-dealer or bank to independent RIA
- Y••• K•••••••• from S••••••• F•••••••• S•••••••• I•••Sep 5, 2018 · Affiliated broker-dealer or bank to independent RIA
- S••• P••••• H•••• from S••••••• F•••••••• S•••••••• I•••Aug 22, 2018 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S••••••• F•••••••• S•••••••• I•••Aug 21, 2018 · Wall, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• S•••• P••••• · Managing Member & Chief Compliance Officercontrolsince 07/2018 · owns 50% to 75%
- K••••••••• Y••• · Membercontrolsince 07/2018 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Toms River, Nj · principal | 4 | 0 | 1 | ||
| New York, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 10, 2026RAUM (Item 5.F) moved from $322,074,750 to $579,538,342 (+80.0%) between the annual amendments of 2025-02-18 and 2026-03-10; the peer median change was +16.0% (1385 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 97% percentile
- account count surgeChange between filings · filing Mar 10, 2026accounts (Item 5.F.2.f) moved from 1,139.0 to 2,109.0 (+85.0%) between the annual amendments of 2025-02-18 and 2026-03-10; the peer median change was +6.0% (1256 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 97% percentile
What changed
consecutive filings, newest first
- Advisory employees · 6 to 5Mar 10, 2026 to Jun 16, 2026
- Employees · 8 to 7Mar 10, 2026 to Jun 16, 2026
- State-registered IARs · 6 to 5Mar 10, 2026 to Jun 16, 2026
- Private funds · unset to 1Jan 21, 2026 to Mar 10, 2026
- Accounts · 1,139 to 2,109Nov 14, 2025 to Jan 21, 2026
- Charity clients · 2 to 0Nov 14, 2025 to Jan 21, 2026
- Corporate clients · 29 to 39Nov 14, 2025 to Jan 21, 2026
- HNW clients · 227 to 195Nov 14, 2025 to Jan 21, 2026
- Individual clients · 485 to 742Nov 14, 2025 to Jan 21, 2026
- Pension plan clients · 17 to 54Nov 14, 2025 to Jan 21, 2026
- Financial planning clients · 1-10 to 11-25Nov 14, 2025 to Jan 21, 2026
- Discretionary RAUM · $322M to $580MNov 14, 2025 to Jan 21, 2026
- HNW RAUM · $188M to $382MNov 14, 2025 to Jan 21, 2026
- Individual RAUM · $104M to $104MNov 14, 2025 to Jan 21, 2026
- Non-discretionary RAUM · $328,641 to $0Nov 14, 2025 to Jan 21, 2026
- Pension RAUM · $0 to $14.3MNov 14, 2025 to Jan 21, 2026
- RAUM · $322M to $580MNov 14, 2025 to Jan 21, 2026
- Employees · 7 to 8Feb 18, 2025 to Jun 1, 2025
- Financial planning clients · 1-10 to 1-10Feb 18, 2025 to Jun 1, 2025
- Accounts · 1,601 to 1,139Jan 15, 2025 to Feb 18, 2025
- Charity clients · 3 to 2Jan 15, 2025 to Feb 18, 2025
- Corporate clients · 14 to 29Jan 15, 2025 to Feb 18, 2025
- HNW clients · 204 to 227Jan 15, 2025 to Feb 18, 2025
- Individual clients · 478 to 485Jan 15, 2025 to Feb 18, 2025
- Pension plan clients · 20 to 17Jan 15, 2025 to Feb 18, 2025
- Discretionary RAUM · $244M to $322MJan 15, 2025 to Feb 18, 2025
- HNW RAUM · $149M to $188MJan 15, 2025 to Feb 18, 2025
- Individual RAUM · $70.1M to $104MJan 15, 2025 to Feb 18, 2025
- Non-discretionary RAUM · $0 to $328,641Jan 15, 2025 to Feb 18, 2025
- Pension RAUM · $12.2M to $0Jan 15, 2025 to Feb 18, 2025
- RAUM · $244M to $322MJan 15, 2025 to Feb 18, 2025
- Advisory employees · 5 to 6Mar 27, 2024 to Dec 16, 2024
- Employees · 6 to 7Mar 27, 2024 to Dec 16, 2024
- HQ city · LAKEWOOD to TOMS RIVERMar 27, 2024 to Dec 16, 2024
- State-registered IARs · 5 to 6Mar 27, 2024 to Dec 16, 2024
- Accounts · 1,238 to 1,601Jan 3, 2024 to Mar 27, 2024
- Charity clients · unset to 3.0Jan 3, 2024 to Mar 27, 2024
- Corporate clients · 12 to 14Jan 3, 2024 to Mar 27, 2024
- HNW clients · 113 to 204Jan 3, 2024 to Mar 27, 2024
- Individual clients · 443 to 478Jan 3, 2024 to Mar 27, 2024
Signals
3 dated events
- B•••• D•••• S••••• left A••• W••••• M••••••••• L•• for Farther (registered 2026-06-15)Jun 16, 2026 · Advisor changed firm · fact
- A••• W••••• M••••••••• L•• reported RAUM $579.5M, up 80% from $322.1M (2025-11-14 to 2026-01-21)Jan 21, 2026 · RAUM change · derived
- A••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 22, 2023 · 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
- Firm profile
- linkedin.com/company/18783479reportedpublic record, Form ADV, Sep 18, 2026
- Website
- ablewealth.coreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-634-7842reportedpublic record, Form ADV, Jun 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
- $116Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026