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
M••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Dec 11, 2019 · 18 filings
SEC status approved since Jan 10, 2020
RAUM
$53.9M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
58%
$31.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$53.9M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$53.9M as of Mar 20, 2026
Mar 10, 2021$46.7M then
HNW client RAUM$28.4M as of Mar 20, 2026
Mar 10, 2021$42.3M then
State-registered IARs (5.B.3)1 as of Mar 20, 2026
Mar 10, 20210 then
Employees (5.A)3 as of Mar 20, 2026
Mar 10, 20213 then
Private funds: no history
RAUM -0.1% over the last fiscal year+20% a year over threeIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $53.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $27,833, 1 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$28.4M86%
- Individuals$2.7M8.3%
- Charitable organizations$1.7M5.3%
- Individual clients
- 13reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 52reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $27,833 for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.58 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• R••••• | Bedford Hills, Ny | Oct 11, 2021 | 14 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• A•••• · President/Chief Compliance Officercontrolsince 10/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 20, 2026hourly charges (Item 5.E.2): no on the filing of 2025-07-28, yes on the filing of 2026-03-20peers: independent wealth managers, under $100M (707)
What changed
consecutive filings, newest first
- Accounts · 53 to 52Jul 28, 2025 to Mar 20, 2026
- HNW clients · 4.0 to unsetJul 28, 2025 to Mar 20, 2026
- Assets in custody · $22,098 to $27,833Jul 28, 2025 to Mar 20, 2026
- Discretionary RAUM · $52.8M to $52.9MJul 28, 2025 to Mar 20, 2026
- HNW RAUM · $32.0M to $28.4MJul 28, 2025 to Mar 20, 2026
- Individual RAUM · $2.0M to $2.7MJul 28, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $1.1M to $972,429Jul 28, 2025 to Mar 20, 2026
- RAUM · $53.9M to $53.9MJul 28, 2025 to Mar 20, 2026
- Financial planning clients · 1-10 to 1-10Mar 28, 2025 to Jul 28, 2025
- HQ city · NEW YORK to BEDFORD HILLSMar 28, 2025 to Jul 28, 2025
- Other offices · 0 to 1Mar 28, 2025 to Jul 28, 2025
- Accounts · 45 to 53May 21, 2024 to Mar 28, 2025
- HNW clients · 7 to 4May 21, 2024 to Mar 28, 2025
- Individual clients · 12 to 13May 21, 2024 to Mar 28, 2025
- Assets in custody · $12,629 to $22,098May 21, 2024 to Mar 28, 2025
- Discretionary RAUM · $38.5M to $52.8MMay 21, 2024 to Mar 28, 2025
- HNW RAUM · $36.2M to $32.0MMay 21, 2024 to Mar 28, 2025
- Individual RAUM · $1.3M to $2.0MMay 21, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $800,000 to $1.1MMay 21, 2024 to Mar 28, 2025
- RAUM · $39.3M to $53.9MMay 21, 2024 to Mar 28, 2025
- Accounts · 41 to 45Oct 5, 2023 to Mar 14, 2024
- HNW clients · 5 to 7Oct 5, 2023 to Mar 14, 2024
- Individual clients · 11 to 12Oct 5, 2023 to Mar 14, 2024
- Assets in custody · $3,048 to $12,629Oct 5, 2023 to Mar 14, 2024
- Discretionary RAUM · $30.7M to $38.5MOct 5, 2023 to Mar 14, 2024
- HNW RAUM · $28.1M to $36.2MOct 5, 2023 to Mar 14, 2024
- Individual RAUM · $808,144 to $1.3MOct 5, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $300,000 to $800,000Oct 5, 2023 to Mar 14, 2024
- RAUM · $31.0M to $39.3MOct 5, 2023 to Mar 14, 2024
- Accounts · 34 to 41Sep 9, 2022 to Mar 7, 2023
- HNW clients · unset to 5.0Sep 9, 2022 to Mar 7, 2023
- Individual clients · 9 to 11Sep 9, 2022 to Mar 7, 2023
- Assets in custody · unset to 3048.0Sep 9, 2022 to Mar 7, 2023
- Custody of client assets · false to trueSep 9, 2022 to Mar 7, 2023
- State-registered IARs · 0 to 1Sep 9, 2022 to Mar 7, 2023
- Discretionary RAUM · $43.8M to $30.7MSep 9, 2022 to Mar 7, 2023
- HNW RAUM · $40.3M to $28.1MSep 9, 2022 to Mar 7, 2023
- Individual RAUM · $763,341 to $808,144Sep 9, 2022 to Mar 7, 2023
- Non-discretionary RAUM · $241,834 to $300,000Sep 9, 2022 to Mar 7, 2023
- RAUM · $44.0M to $31.0MSep 9, 2022 to Mar 7, 2023
Signals
1 dated events
- M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 11, 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 phone
- 914-266-0999reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-732-0818reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/magnifinareportedpublic record, Form ADV, Sep 19, 2026
- Website
- magnifina.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 800-732-0818reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- magnifina.com/about/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- magnifina.com/teamreportedpublished by the firm, firm site, Sep 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
- $53.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026