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
Transcend Capital Advisors, LLC
Latest filing Jul 16, 2026
First filing on the tape Nov 14, 2018 · 42 filings
SEC status approved since Dec 12, 2018
RAUM
$2.9B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
91%
$2.6B individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$171M
derived; firm RAUM over IAPD count
Employees
39
27 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
12
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$2.9B as of Jul 16, 2026
Mar 12, 2019$568M then
HNW client RAUM$2.4B as of Jul 16, 2026
Mar 12, 2019$563M then
State-registered IARs (5.B.3)22 as of Jul 16, 2026
Mar 12, 20196 then
Employees (5.A)39 as of Jul 16, 2026
Mar 12, 20198 then
Private funds12 as of Jul 16, 2026
Mar 31, 20239 then
RAUM -6.0% over the last fiscal year+5.5% a year over threeIARs 22 to 22offices 3 to 4
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- 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)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $171MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $703,117derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Wrap fee program
- $2.9BreportedItem 5.I
- Custody
- $709M, 471 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.4B83%
- Pooled investment vehicles$237M8.1%
- Individuals$215M7.4%
- Corporations and businesses$37.7M1.3%
- Individual clients
- 623reported
- HNW clients
- 450reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4,145reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $709M for 471 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.08 institutional_share=0.0 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Daniel Richard Beaudette | Madison, Nj | Jan 29, 2025 | 18 y | 3 |
| Mark Laing Lichtenfeld | Naples, Fl | Mar 26, 2026 | 30 y | 3 |
Advisor movement
4 left, 1 joined in 12 months
net -3 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 24% of current headcount8 left over 36 months
Left, latest
- Richard Joseph Swift to Private Advisor Group, LLCAug 18, 2026 · RIA to affiliated broker-dealer or bank
- Kyle Saul to Cary Street PartnersOct 21, 2025 · RIA to affiliated broker-dealer or bank
- Mike Scott Saul to Cary Street PartnersOct 21, 2025 · RIA to affiliated broker-dealer or bank
- Amy D Macisaac to Cary Street PartnersOct 21, 2025 · RIA to affiliated broker-dealer or bank
- Matthew Alan Harbarcuk to Elevation Point Wealth Partners, LLCMay 1, 2025 · RIA to RIA
- Andrew Howard Moss to Elevation Point Wealth Partners, LLCMay 1, 2025 · RIA to RIA
- Cheryl Joan Andrew to Ibex Wealth Advisors, LLCJan 24, 2025 · RIA to RIA
- Richard S. Spinner to Cary Street PartnersNov 25, 2024 · RIA to affiliated broker-dealer or bank
- James Francis Baka to U.S. Bancorp Investments, Inc.Feb 9, 2023 · RIA to affiliated broker-dealer or bank
- James Priester Hughes to Freestone Capital Management, LLCApr 26, 2022 · RIA to RIA
Joined, latest
- Mark Laing Lichtenfeld from UBS Financial Services Inc.Mar 26, 2026 · Wirehouse to independent RIA
- Paul Albert Edling Cummings from CorientMay 23, 2025 · RIA to RIA
- Joseph Michael Pignatano from Charles Schwab & Co., Inc.Feb 4, 2025 · Affiliated broker-dealer or bank to independent RIA
- Daniel Richard Beaudette from Black Point Wealth ManagementJan 29, 2025 · RIA to RIA
- Jonathan Holden Harris from Black Point Wealth ManagementJan 29, 2025 · RIA to RIA
- Richard Ivan Davis from UBS Financial Services Inc.Nov 6, 2024 · Wirehouse to independent RIA
- Geri Ann Mira from UBS Financial Services Inc.Aug 25, 2023 · Wirehouse to independent RIA
- Marina Laurie Ditommaso from Fidelity Personal And Workplace AdvisorsJul 11, 2023 · Affiliated broker-dealer or bank to independent RIA
- Matthew Steven Borriello from Fidelity Personal And Workplace AdvisorsJan 26, 2023 · Affiliated broker-dealer or bank to independent RIA
- James Francis Baka from Calamos Wealth Management LLCSep 30, 2022 · RIA to RIA
- Bradford Stephen Vannelli from UBS Financial Services Inc.Oct 29, 2021 · Wirehouse to independent RIA
- Robert Anthony Bezzone from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 22, 2021 · Wirehouse to independent RIA
- Hoa Thi Le from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 22, 2021 · Wirehouse to independent RIA
- Maria Millner from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 5, 2021 · Wirehouse to independent RIA
- Andrew Howard Moss from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 8, 2020 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Cary Street PartnersOct 21, 2025 · Madison, Nj
- 2 joined from Black Point Wealth ManagementOct 24, 2025 · East Providence, Ri
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 22, 2021 · Florham Park, Nj
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 10, 2020 · Bloomfield Hills, Mi
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 24, 2019 · Basking Ridge, Nj
- 2 joined from UBS Financial Services Inc.Jan 21, 2019 · Florham Park, Nj
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Transcend Capital Credit Fund III, L.P. | Private Equity Fund | $74.6M | 198 | Mar 31, 2022 |
| Transcend Capital Healthcare Fund I, LP | Private Equity Fund | $73.0M | 147 | Mar 31, 2022 |
| Transcend Capital Reinsurance Fund IV, L.P. | $52.9M | 84 | Jul 16, 2026 | |
| Transcend Capital Credit Fund V, L.P. | $49.9M | 101 | Jul 16, 2026 | |
| Transcend Capital Reinsurance Fund I, L.P. | Private Equity Fund | $41.2M | 101 | Mar 31, 2023 |
| Transcend Capital Credit Fund IV, L.P. | Private Equity Fund | $33.8M | 68 | Mar 31, 2022 |
| Transcend Capital Technology Fund II, L.P. | Private Equity Fund | $19.0M | 146 | Mar 31, 2022 |
| Transcend Capital Credit Fund II, L.P. | Private Equity Fund | $4.9M | 81 | Aug 14, 2020 |
| Transcend Capital Credit Fund I, L.P. | Private Equity Fund | $4.5M | 85 | Aug 14, 2020 |
| Transcend Capital Technology Fund I, L.P. | Private Equity Fund | $3.5M | 105 | Oct 6, 2020 |
| Transcend Capital Reinsurance Fund III, L.P. | Private Equity Fund | $2.8M | 134 | Mar 28, 2024 |
| Transcend Capital Reinsurance Fund II, L.P. | Private Equity Fund | $413,911 | 93 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Kumar Vibhaw Arya · Chief Wealth Officercontrolsince 07/2024 · owns less than 5%
- Paul Robert Brown · Partnercontrolsince 02/2022 · owns less than 5%
- M Glen Bushery · Chief Financial Officercontrolsince 10/2021 · owns less than 5%
- Albert Edling Paul Cummings · Chief Compliance Officer, Chief Wealth Officercontrolsince 09/2025 · owns less than 5%
- D Matthew Fassnacht · Partnercontrolsince 09/2022 · owns less than 5%
- James Brian Gorczynski · Managing Partner, Ccocontrolsince 01/2021 · owns less than 5%
- Jacob Grossman · Presidentcontrolsince 10/2022 · owns less than 5%
- Leigh Duncan Niederauer · Managing Partnercontrolsince 11/2018 · owns less than 5%
- Joseph Richard Swift · Managing Partnercontrolsince 10/2023 · owns less than 5%
Entity owners
- Transcend Capital Holdings, LLC · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Transcend Capital Cf I & II Gp, LLCpooled vehicle sponsorn
- Transcend Capital Gp, LLCpooled vehicle sponsorn
- Transcend Capital Insurance Services, LLCreal estaten
- Transcend Capital Tf I Gp, LLCpooled vehicle sponsorn
- Transcend Capital Tf II Gp, LLCpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Madison, Nj · principal | 17 | 2 | 3 | 1 | |
| Naples, Fl | 6 | 2 | 0 | ||
| Bloomfield Hills, Mi | 3 | 0 | 0 | ||
| Middletown, Ri | 2 | 0 | 0 | ||
| Short Hills, Nj | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Bloomfield Hills, MI7 employees
- Naples, FL1 employees
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 16, 2026GORCZYNSKI, BRIAN, JAMES (MANAGING PARTNER, CCO) left Schedule A between the filings of 2024-08-14 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 16, 2026SWIFT, RICHARD, JOSEPH (MANAGING PARTNER) left Schedule A between the filings of 2024-08-14 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 16, 2026ARYA, VIBHAW, KUMAR (CHIEF WEALTH OFFICER) left Schedule A between the filings of 2024-08-14 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 16, 2026BUSHERY, GLEN, M (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2024-08-14 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 16, 2026CUMMINGS, PAUL, ALBERT EDLING (CHIEF COMPLIANCE OFFICER, CHIEF WEALTH OFFICER) appeared on Schedule A between the filings of 2024-08-14 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 16, 2026NIEDERAUER, DUNCAN, LEIGH (MANAGING PARTNER) left Schedule A between the filings of 2024-08-14 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 5,003 to 4,145Oct 16, 2025 to Mar 31, 2026
- Advisory employees · 31 to 27Oct 16, 2025 to Mar 31, 2026
- BD registered reps · 12 to 8Oct 16, 2025 to Mar 31, 2026
- Corporate clients · unset to 9.0Oct 16, 2025 to Mar 31, 2026
- HNW clients · 492 to 450Oct 16, 2025 to Mar 31, 2026
- Individual clients · 562 to 623Oct 16, 2025 to Mar 31, 2026
- Pooled vehicle clients · 11 to 12Oct 16, 2025 to Mar 31, 2026
- Assets in custody · $1.2B to $709MOct 16, 2025 to Mar 31, 2026
- Employees · 44 to 39Oct 16, 2025 to Mar 31, 2026
- Insurance-licensed employees · 2 to 0Oct 16, 2025 to Mar 31, 2026
- Financial planning clients · 251-500 to More than 500Oct 16, 2025 to Mar 31, 2026
- Other offices · 3 to 4Oct 16, 2025 to Mar 31, 2026
- Private funds · 11 to 12Oct 16, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.1B to $2.9BOct 16, 2025 to Mar 31, 2026
- HNW RAUM · $2.5B to $2.4BOct 16, 2025 to Mar 31, 2026
- Individual RAUM · $220M to $215MOct 16, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $13.8M to $29.9MOct 16, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $325M to $237MOct 16, 2025 to Mar 31, 2026
- RAUM · $3.1B to $2.9BOct 16, 2025 to Mar 31, 2026
- Accounts · 4,468 to 5,003Jan 13, 2025 to Mar 28, 2025
- Advisory employees · 21 to 31Jan 13, 2025 to Mar 28, 2025
- Advisory activities · 4 to 5Jan 13, 2025 to Mar 28, 2025
- BD registered reps · 13 to 12Jan 13, 2025 to Mar 28, 2025
- Charity clients · 7.0 to unsetJan 13, 2025 to Mar 28, 2025
- Corporate clients · 5.0 to unsetJan 13, 2025 to Mar 28, 2025
- HNW clients · 491 to 492Jan 13, 2025 to Mar 28, 2025
- Individual clients · 587 to 562Jan 13, 2025 to Mar 28, 2025
- Pooled vehicle clients · 10 to 11Jan 13, 2025 to Mar 28, 2025
- Assets in custody · $661M to $1.2BJan 13, 2025 to Mar 28, 2025
- Employees · 39 to 44Jan 13, 2025 to Mar 28, 2025
- Insurance-licensed employees · 0 to 2Jan 13, 2025 to Mar 28, 2025
- Financial planning clients · 26-50 to 251-500Jan 13, 2025 to Mar 28, 2025
- State-registered IARs · 19 to 22Jan 13, 2025 to Mar 28, 2025
- Other offices · 2 to 3Jan 13, 2025 to Mar 28, 2025
- Private funds · 10 to 11Jan 13, 2025 to Mar 28, 2025
- Discretionary RAUM · $2.8B to $3.1BJan 13, 2025 to Mar 28, 2025
- HNW RAUM · $2.3B to $2.5BJan 13, 2025 to Mar 28, 2025
- Individual RAUM · $231M to $220MJan 13, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $32.5M to $13.8MJan 13, 2025 to Mar 28, 2025
- Pension RAUM · 9539778.0 to unsetJan 13, 2025 to Mar 28, 2025
Signals
32 dated events
- Richard Joseph Swift left Transcend Capital Advisors, Llc for Private Advisor Group, Llc (registered 2026-07-30)Aug 18, 2026 · Advisor changed firm · fact
- 2 advisors left Black Point Wealth Management (East Providence, RI) for Transcend Capital Advisors, LLC on the same dayOct 24, 2025 · Team lift-out · derived
- 3 advisors left Transcend Capital Advisors, LLC (Madison, NJ) for Cary Street Partners on the same dayOct 21, 2025 · Team lift-out · derived
- Kyle Saul left Transcend Capital Advisors, Llc for Cary Street Partners (registered 2025-10-22)Oct 21, 2025 · Advisor changed firm · fact
- Mike Scott Saul left Transcend Capital Advisors, Llc for Cary Street Partners (registered 2025-10-16)Oct 21, 2025 · Advisor changed firm · fact
- Amy D Macisaac left Transcend Capital Advisors, Llc for Cary Street Partners (registered 2025-10-16)Oct 21, 2025 · Advisor changed firm · fact
- Matthew Alan Harbarcuk left Transcend Capital Advisors, Llc for Elevation Point Wealth Partners, Llc (registered 2025-04-16)May 1, 2025 · Advisor changed firm · fact
- Andrew Howard Moss left Transcend Capital Advisors, Llc for Elevation Point Wealth Partners, Llc (registered 2025-04-18)May 1, 2025 · Advisor changed firm · fact
- Cheryl Joan Andrew left Transcend Capital Advisors, Llc for Ibex Wealth Advisors, Llc (registered 2025-01-30)Jan 24, 2025 · Advisor changed firm · fact
- Richard S. Spinner left Transcend Capital Advisors, Llc for Cary Street Partners (registered 2024-12-04)Nov 25, 2024 · Advisor changed firm · fact
- Kumar Vibhaw Arya (Chief Wealth Officer) appeared on Schedule A of Transcend Capital Advisors, LlcAug 14, 2024 · Control person joined · fact
- Joseph Robert Bragoli (Chief Compliance Officer) no longer on Schedule A of Transcend Capital Advisors, Llc (listed 2024-03-29, absent 2024-08-14)Aug 14, 2024 · Control person left · inference
- Joseph Richard Swift (Managing Partner) appeared on Schedule A of Transcend Capital Advisors, LlcMar 28, 2024 · Control person joined · fact
- James Francis Baka left Transcend Capital Advisors, Llc for U.S. Bancorp Investments, Inc. (registered 2023-08-03)Feb 9, 2023 · Advisor changed firm · fact
- Francis James Baka (Chief Executive Officer) no longer on Schedule A of Transcend Capital Advisors, Llc (listed 2023-01-09, absent 2023-01-27)Jan 27, 2023 · Control person left · inference
- D Matthew Fassnacht (Managing Partner) appeared on Schedule A of Transcend Capital Advisors, LlcJan 27, 2023 · Control person joined · fact
- Paul Robert Brown (Managing Partner) appeared on Schedule A of Transcend Capital Advisors, LlcJan 27, 2023 · Control person joined · fact
- Jacob Grossman (Managing Partner) appeared on Schedule A of Transcend Capital Advisors, LlcJan 27, 2023 · Control person joined · fact
- Paul Matthew Guenther (Managing Partner) no longer on Schedule A of Transcend Capital Advisors, Llc (listed 2023-01-09, absent 2023-01-27)Jan 27, 2023 · Control person left · inference
- Francis James Baka (Chief Executive Officer) appeared on Schedule A of Transcend Capital Advisors, LlcSep 29, 2022 · Control person joined · fact
- Joseph Robert Bragoli (Chief Compliance Officer) appeared on Schedule A of Transcend Capital Advisors, LlcApr 29, 2022 · Control person joined · fact
- James Priester Hughes left Transcend Capital Advisors, Llc for Freestone Capital Management, Llc (registered 2023-07-19)Apr 26, 2022 · Advisor changed firm · fact
- M Glen Bushery (Chief Financial Officer And Interim Chief Compliance Officer) appeared on Schedule A of Transcend Capital Advisors, LlcMar 31, 2022 · Control person joined · fact
- James P Hughes (Chief Compliance Officer) no longer on Schedule A of Transcend Capital Advisors, Llc (listed 2022-02-22, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Paul Matthew Guenther (Managing Partner) appeared on Schedule A of Transcend Capital Advisors, LlcAug 30, 2021 · Control person joined · fact
- Matthew James Didden (Founding Member) no longer on Schedule A of Transcend Capital Advisors, Llc (listed 2021-04-08, absent 2021-08-30)Aug 30, 2021 · Control person left · inference
- James Brian Gorczynski (Managing Partner) appeared on Schedule A of Transcend Capital Advisors, LlcAug 30, 2021 · Control person joined · fact
- Leigh Duncan Niederauer (Managing Partner) appeared on Schedule A of Transcend Capital Advisors, LlcAug 30, 2021 · Control person joined · fact
- Leigh Duncan Niederauer (Managing Member) no longer on Schedule A of Transcend Capital Advisors, Llc (listed 2020-12-10, absent 2021-03-09)Mar 9, 2021 · Control person left · inference
- Transcend Capital Advisors, Llc reported RAUM $2.1B, up 70% from $1.2B (2020-12-10 to 2021-03-09)Mar 9, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Transcend Capital Advisors, LLC · Independent Sponsorsshared crd · capital_provider
- Transcend Capital Advisors, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- bbrown@transcendcapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- bcomiskey@transcendcapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- bgorczynski@transcendcapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- bwaldron@transcendcapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- dniederauer@transcendcapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ecabetas@transcendcapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jgrossman@transcendcapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jpierce@transcendcapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- lhartnett@transcendcapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- lshannon@transcendcapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- nswider@transcendcapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ploiacano@transcendcapital.comreportedpublished 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
- $171Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026