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
The Wealth Alliance, LLC
Latest filing Jul 16, 2026
First filing on the tape Jul 27, 2019 · 32 filings
SEC status approved since Aug 26, 2019
RAUM
$2.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$1.9B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$175M
derived; firm RAUM over IAPD count
Employees
29
13 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$2.1B as of Jul 16, 2026
Mar 26, 2020$779M then
HNW client RAUM$1.7B as of Jul 16, 2026
Mar 26, 2020$613M then
State-registered IARs (5.B.3)13 as of Jul 16, 2026
Mar 26, 20205 then
Employees (5.A)29 as of Jul 16, 2026
Mar 26, 202011 then
Private funds: no history
RAUM +10% over the last fiscal year+13% a year over threeIARs 9 to 13
Practice profile
derived from the filing of Jul 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $175MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $455,127derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 4.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +44%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%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
- Wrap fee program
- $2.1BreportedItem 5.I
- Custody
- $602M, 316 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.7B79%
- Individuals$223M11%
- Corporations and businesses$123M5.9%
- Pension and profit-sharing plans$86.5M4.1%
- Individual clients
- 701reported
- HNW clients
- 443reported
- Pension plan clients
- 72reported
- Charitable clients
- n/areported
- Accounts
- 4,620reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $602M for 316 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=17.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Eric Andrew Diton | Boca Raton, Fl | Jan 2, 2020 | 40 y | 3 |
| Peter Edward SilberCertified Financial Planner | Mellville, Ny | May 5, 2020 | 25 y | 0 |
| Robert Joseph ConzoCertified Financial Planner | Melville, Ny | Jun 24, 2020 | 26 y | 0 |
| Paul Clifford CamhiCertified Financial Planner | Melville, Ny | Aug 26, 2021 | 23 y | 2 |
| Shawn Edward KlotscheCertified Financial Planner | Melville, Ny | Aug 31, 2021 | 12 y | 1 |
| John Christopher Greiner | Melville, Ny | Feb 10, 2022 | 11 y | 0 |
| Seth Lawrence Cohan | Melville, Ny | Apr 20, 2022 | 40 y | 1 |
| Adam Spencer DitonCertified Financial Planner | Melville, Ny | Jun 8, 2022 | 10 y | 2 |
| William George Franey | Melville, Ny | Apr 16, 2024 | 27 y | 0 |
| Matthew Phillip Thomson | Melville, Ny | Jun 20, 2025 | 13 y | 1 |
| Gregory J Lethbridge | Melville, Ny | Dec 16, 2025 | 11 y | 0 |
| Tyler E. GeorgeCertified Financial Planner | Melville, Ny | Sep 4, 2026 | 11 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 8.3% of current headcount1 left over 36 months
Left, latest
- Hanna M Sheppard to Cwm, LLCJul 15, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- Tyler E. George from Strategic Advisers LLCSep 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- Hanna M Sheppard from Morgan StanleyJun 20, 2025 · Wirehouse to independent RIA
- Matthew Phillip Thomson from Charles Schwab & Co., Inc.Jun 20, 2025 · Affiliated broker-dealer or bank to independent RIA
- Adam Spencer Diton from New York Life Investment Management LLCJun 8, 2022 · Other
- Seth Lawrence Cohan from Commonwealth Financial NetworkApr 20, 2022 · Affiliated broker-dealer or bank to independent RIA
- Shawn Edward Klotsche from Equitable Advisors, LLCAug 31, 2021 · Affiliated broker-dealer or bank to independent RIA
- Paul Clifford Camhi from Morgan StanleyAug 26, 2021 · Wirehouse to independent RIA
- Eric Andrew Diton from Morgan StanleyJan 2, 2020 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph Robert Conzo · Chief Executive Officer And Managing Directorcontrolsince 08/2019 · owns less than 5%
- Andrew Eric Diton · President And Managing Directorcontrolsince 08/2019 · owns less than 5%
- George William Franey · Chief Financial Officer And Chief Compliance Officercontrolsince 07/2019 · owns less than 5%
- Phillip Matthew Thomson · Director Of Operationscontrolsince 05/2025 · owns less than 5%
- Marie Karin Tirrell · Chief Compliance Officercontrolsince 03/2026 · owns less than 5%
- Joseph Robert Conzo · Ownercontrolsince 06/2022 · owns 75% or more of Rjc Financial LLC
- Andrew Eric Diton · Ownercontrolsince 06/2022 · owns 75% or more of E-Ditty Financial LLC
Entity owners
- Wealth Alliance Holdings, LLC · Ownerdirect · owns 75% or more
- E-Ditty Financial LLC · Ownerindirect · owns 50% to 75% of Wealth Alliance Holdings, LLC
- Rjc Financial LLC · Ownerindirect · owns 50% to 75% of Wealth Alliance Holdings, LLC
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 |
|---|---|---|---|---|---|
| Melville, Ny · principal | 10 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Boca Raton, FL1 employees
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 16, 2026Tirrell, Karin, Marie (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2022-06-30 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 16, 2026THOMSON, MATTHEW, PHILLIP (DIRECTOR OF OPERATIONS) appeared on Schedule A between the filings of 2022-06-30 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 16, 2026FRANEY, WILLIAM, GEORGE (CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2022-06-30 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 1,232 to 4,620Mar 31, 2026 to Apr 30, 2026
- Related adviser · false to trueMar 31, 2026 to Apr 30, 2026
- Accounts · 4,315 to 1,232Jun 25, 2025 to Mar 31, 2026
- Advisory employees · 11 to 13Jun 25, 2025 to Mar 31, 2026
- BD registered reps · 16 to 17Jun 25, 2025 to Mar 31, 2026
- Corporate clients · 26 to 16Jun 25, 2025 to Mar 31, 2026
- HNW clients · 402 to 443Jun 25, 2025 to Mar 31, 2026
- Individual clients · 677 to 701Jun 25, 2025 to Mar 31, 2026
- Pension plan clients · 81 to 72Jun 25, 2025 to Mar 31, 2026
- Assets in custody · $536M to $602MJun 25, 2025 to Mar 31, 2026
- Employees · 28 to 29Jun 25, 2025 to Mar 31, 2026
- State-registered IARs · 11 to 13Jun 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.9B to $2.1BJun 25, 2025 to Mar 31, 2026
- HNW RAUM · $1.4B to $1.7BJun 25, 2025 to Mar 31, 2026
- Individual RAUM · $217M to $223MJun 25, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $8.2MJun 25, 2025 to Mar 31, 2026
- Pension RAUM · $80.7M to $86.5MJun 25, 2025 to Mar 31, 2026
- RAUM · $1.9B to $2.1BJun 25, 2025 to Mar 31, 2026
- Advisory employees · 9 to 11Mar 26, 2025 to Jun 25, 2025
- BD registered reps · 14 to 16Mar 26, 2025 to Jun 25, 2025
- Employees · 23 to 28Mar 26, 2025 to Jun 25, 2025
- Financial planning clients · 101-250 to 101-250Mar 26, 2025 to Jun 25, 2025
- State-registered IARs · 9 to 11Mar 26, 2025 to Jun 25, 2025
- Accounts · 4,006 to 4,315Mar 26, 2024 to Mar 26, 2025
- Advisory employees · 8 to 9Mar 26, 2024 to Mar 26, 2025
- BD registered reps · 13 to 14Mar 26, 2024 to Mar 26, 2025
- Corporate clients · 22 to 26Mar 26, 2024 to Mar 26, 2025
- HNW clients · 360 to 402Mar 26, 2024 to Mar 26, 2025
- Individual clients · 658 to 677Mar 26, 2024 to Mar 26, 2025
- Pension plan clients · 70 to 81Mar 26, 2024 to Mar 26, 2025
- Assets in custody · $505M to $536MMar 26, 2024 to Mar 26, 2025
- Employees · 21 to 23Mar 26, 2024 to Mar 26, 2025
- State-registered IARs · 8 to 9Mar 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.7B to $1.9BMar 26, 2024 to Mar 26, 2025
- HNW RAUM · $1.3B to $1.4BMar 26, 2024 to Mar 26, 2025
- Individual RAUM · $216M to $217MMar 26, 2024 to Mar 26, 2025
- Pension RAUM · $72.6M to $80.7MMar 26, 2024 to Mar 26, 2025
- RAUM · $1.7B to $1.9BMar 26, 2024 to Mar 26, 2025
- Accounts · 3,629 to 4,006Aug 18, 2023 to Mar 26, 2024
- BD registered reps · 14 to 13Aug 18, 2023 to Mar 26, 2024
Signals
6 dated events
- Hanna M Sheppard left The Wealth Alliance, Llc for Cwm, Llc (registered 2026-07-09)Jul 15, 2026 · Advisor changed firm · fact
- Andrew Eric Diton (Owner) appeared on Schedule A of The Wealth Alliance, LlcJun 30, 2022 · Control person joined · fact
- The Wealth Alliance, Llc reported RAUM $1.3B, up 30% from $997.1M (2021-12-22 to 2022-03-21)Mar 21, 2022 · RAUM change · derived
- The Wealth Alliance, Llc reported RAUM $997.1M, up 28% from $778.6M (2020-09-17 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- Joseph Robert Conzo (Executive Director) appeared on Schedule A of The Wealth Alliance, LlcSep 3, 2019 · Control person joined · fact
- Links Wealth Partners Llc filed its initial SEC registration (Form ADV)Jul 27, 2019 · 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 email
- info@thewealthalliance.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 631-670-0682reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/thewealthalliance/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- thewealthalliance.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (631) 670-0682reportedpublic record, Form ADV, Jul 16, 2026
- Contact form
- thewealthalliance.com/contact-usreportedpublished 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
- $175Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026