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
P•••••• W••••• M••••••••• L••
Latest filing Aug 3, 2026
First filing on the tape Dec 5, 2019 · 31 filings
SEC status approved since Jan 6, 2020
RAUM
$543M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$530M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$109M
derived; firm RAUM over IAPD count
Employees
7
5 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$543M as of Aug 3, 2026
Mar 8, 2021$181M then
HNW client RAUM$493M as of Aug 3, 2026
Mar 8, 2021$181M then
State-registered IARs (5.B.3)5 as of Aug 3, 2026
Mar 8, 20216 then
Employees (5.A)7 as of Aug 3, 2026
Mar 8, 20217 then
Private funds: no history
RAUM +0.2% over the last fiscal year+33% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Aug 3, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $599,101derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.6%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
- Custody
- $266M, 101 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$493M91%
- Individuals$36.7M6.8%
- Corporations and businesses$11.7M2.2%
- Pension and profit-sharing plans$1.9M0.3%
- Individual clients
- 125reported
- HNW clients
- 158reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 907reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $266M for 101 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• G• P••••••Certified Financial Planner | Great Neck, Ny | Jun 9, 2020 | 26 y | 2 |
| S•••••• J••••• E•••• | Great Neck, Ny | Nov 6, 2020 | 15 y | 1 |
| P•••• D••••• | Berkeley Heights, Nj | Mar 9, 2021 | 14 y | 4 |
| K•••••• P• W••••••• | Great Neck, Ny | Jul 26, 2021 | 22 y | 1 |
| D•••••• R••••• A•••••••••Certified Financial Planner, Chartered Financial Analyst | Great Neck, Ny | Aug 17, 2021 | 29 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
- J•••• K•••• P•••• to R•••••• J•••• • A••••••••• I•••Nov 28, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- K•••••• P• W••••••• from U•• F•••••••• S••••••• I•••Jul 26, 2021 · Wirehouse to independent RIA
- J•••• K•••• P•••• from U•• F•••••••• S••••••• I•••Jul 26, 2021 · Wirehouse to independent RIA
- P•••• D••••• from E•• F•••••••• A•••••••Mar 9, 2021 · Affiliated broker-dealer or bank to independent RIA
- S•••••• J••••• E•••• from A••••• A•• P••••••• S•••••••Nov 6, 2020 · Affiliated broker-dealer or bank to independent RIA
- P••••• G• P•••••• from U•• F•••••••• S••••••• I•••Jun 9, 2020 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from U•• F•••••••• S••••••• I•••Jan 28, 2020 · Garden City, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• P•••••• G• · Founder, Chief Executive Officer, Chief Investment Officer, And Managing Membercontrolsince 01/2020 · owns 75% or more
- W•••••••• K••••••• P• · Chief Operating Officer And Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Great Neck, Ny · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Berkeley Heights, NJ1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $596M to $543MMar 12, 2026 to Apr 27, 2026
- HNW RAUM · $546M to $493MMar 12, 2026 to Apr 27, 2026
- RAUM · $596M to $543MMar 12, 2026 to Apr 27, 2026
- Accounts · 790 to 907Dec 26, 2025 to Mar 12, 2026
- BD registered reps · 4 to 2Dec 26, 2025 to Mar 12, 2026
- Corporate clients · unset to 6.0Dec 26, 2025 to Mar 12, 2026
- HNW clients · 124 to 158Dec 26, 2025 to Mar 12, 2026
- Individual clients · 139 to 125Dec 26, 2025 to Mar 12, 2026
- Assets in custody · $111M to $266MDec 26, 2025 to Mar 12, 2026
- Discretionary RAUM · $542M to $596MDec 26, 2025 to Mar 12, 2026
- HNW RAUM · $537M to $546MDec 26, 2025 to Mar 12, 2026
- Individual RAUM · $4.1M to $36.7MDec 26, 2025 to Mar 12, 2026
- Pension RAUM · $1.5M to $1.9MDec 26, 2025 to Mar 12, 2026
- RAUM · $542M to $596MDec 26, 2025 to Mar 12, 2026
- Financial planning clients · 0 to 0Mar 18, 2025 to Jul 16, 2025
- Accounts · 706 to 790Dec 6, 2024 to Mar 18, 2025
- Advisory employees · 4 to 5Dec 6, 2024 to Mar 18, 2025
- HNW clients · 168 to 124Dec 6, 2024 to Mar 18, 2025
- Individual clients · 78 to 139Dec 6, 2024 to Mar 18, 2025
- Pooled vehicle clients · 1.0 to unsetDec 6, 2024 to Mar 18, 2025
- Assets in custody · $30.2M to $111MDec 6, 2024 to Mar 18, 2025
- Employees · 6 to 7Dec 6, 2024 to Mar 18, 2025
- Discretionary RAUM · $323M to $542MDec 6, 2024 to Mar 18, 2025
- HNW RAUM · $293M to $537MDec 6, 2024 to Mar 18, 2025
- Individual RAUM · $17.5M to $4.1MDec 6, 2024 to Mar 18, 2025
- Pension RAUM · unset to 1491828.0Dec 6, 2024 to Mar 18, 2025
- Pooled vehicle RAUM · 1027587.0 to unsetDec 6, 2024 to Mar 18, 2025
- RAUM · $323M to $542MDec 6, 2024 to Mar 18, 2025
- Other offices · 1 to 2Aug 29, 2024 to Dec 6, 2024
- Accounts · 606 to 706Nov 9, 2023 to Mar 15, 2024
- Advisory employees · 5 to 4Nov 9, 2023 to Mar 15, 2024
- HNW clients · 189 to 168Nov 9, 2023 to Mar 15, 2024
- Individual clients · 26 to 78Nov 9, 2023 to Mar 15, 2024
- Pooled vehicle clients · unset to 1.0Nov 9, 2023 to Mar 15, 2024
- Assets in custody · $31.3M to $30.2MNov 9, 2023 to Mar 15, 2024
- Employees · 7 to 6Nov 9, 2023 to Mar 15, 2024
- Discretionary RAUM · $230M to $323MNov 9, 2023 to Mar 15, 2024
- HNW RAUM · $224M to $293MNov 9, 2023 to Mar 15, 2024
- Individual RAUM · $4.8M to $17.5MNov 9, 2023 to Mar 15, 2024
- Pension RAUM · 845559.0 to unsetNov 9, 2023 to Mar 15, 2024
Signals
5 dated events
- P•••••• W••••• M••••••••• L•• reported RAUM $542.2M, up 68% from $322.7M (2024-12-06 to 2025-03-18)Mar 18, 2025 · RAUM change · derived
- J•••• K•••• P•••• left P•••••• W••••• M••••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2022-12-08)Nov 28, 2022 · Advisor changed firm · fact
- Edward Christopher Winn (Managing Member) no longer on Schedule A of P•••••• W••••• M••••••••• L•• (listed 2019-12-05, absent 2020-01-17)Jan 17, 2020 · Control person left · inference
- G Philip Palumbo (Managing Member) appeared on Schedule A of P•••••• W••••• M••••••••• L••Jan 17, 2020 · Control person joined · fact
- A••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 5, 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
- isabel.bernal@palumbowm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- matthew.davie@palumbowm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 516-829-0731reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 516-629-7073reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 516-629-7536reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/palumbo-wealth-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- palumbowm.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (516) 629-7073reportedpublic record, Form ADV, Aug 3, 2026
- Contact form
- palumbowm.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- palumbowm.com/about/our-teamreportedpublished 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
- $109Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026