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
R•••••••• I•••••••••
Legal name R•••••••• I••••••••• I••
Latest filing Mar 13, 2026
First filing on the tape Sep 3, 2020 · 18 filings
SEC status approved since Oct 5, 2020
RAUM
$69.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$69.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$69.5M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$69.5M as of Mar 13, 2026
Jan 8, 2021$35.1M then
HNW client RAUM$40.8M as of Mar 13, 2026
Jan 8, 2021$19.9M then
State-registered IARs (5.B.3)1 as of Mar 13, 2026
Jan 8, 20210 then
Employees (5.A)1 as of Mar 13, 2026
Jan 8, 20211 then
Private funds: no history
RAUM +18% over the last fiscal year+28% a year over threeIARs 2 to 1offices 1 to 0
Practice profile
derived from the filing of Mar 13, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $69.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 147derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $231,822derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$40.8M59%
- Individuals$28.7M41%
- Individual clients
- 123reported
- HNW clients
- 24reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 300reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| D•••• S• A••••••••• | R••••••••, Ny | May 18, 2020 | 12 y | 2 |
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
- D•••• S• A••••••••• from C•••••• G•••• • C• I••May 18, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• D••••• S• · Presidentcontrolsince 10/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 325 to 300Nov 21, 2025 to Mar 13, 2026
- Advisory employees · 2 to 1Nov 21, 2025 to Mar 13, 2026
- HNW clients · 22 to 24Nov 21, 2025 to Mar 13, 2026
- Individual clients · 133 to 123Nov 21, 2025 to Mar 13, 2026
- Employees · 2 to 1Nov 21, 2025 to Mar 13, 2026
- State-registered IARs · 2 to 1Nov 21, 2025 to Mar 13, 2026
- Other offices · 1 to 0Nov 21, 2025 to Mar 13, 2026
- Discretionary RAUM · $58.7M to $69.5MNov 21, 2025 to Mar 13, 2026
- HNW RAUM · $31.9M to $40.8MNov 21, 2025 to Mar 13, 2026
- Individual RAUM · $26.8M to $28.7MNov 21, 2025 to Mar 13, 2026
- RAUM · $58.7M to $69.5MNov 21, 2025 to Mar 13, 2026
- Financial planning clients · 101-250 to 101-250Mar 12, 2025 to Jun 20, 2025
- Accounts · 301 to 325May 14, 2024 to Mar 12, 2025
- HNW clients · 18 to 22May 14, 2024 to Mar 12, 2025
- Individual clients · 120 to 133May 14, 2024 to Mar 12, 2025
- Discretionary RAUM · $45.7M to $58.7MMay 14, 2024 to Mar 12, 2025
- HNW RAUM · $21.6M to $31.9MMay 14, 2024 to Mar 12, 2025
- Individual RAUM · $24.1M to $26.8MMay 14, 2024 to Mar 12, 2025
- RAUM · $45.7M to $58.7MMay 14, 2024 to Mar 12, 2025
- Accounts · 272 to 301Feb 24, 2023 to Feb 5, 2024
- HNW clients · 22 to 18Feb 24, 2023 to Feb 5, 2024
- Individual clients · 113 to 120Feb 24, 2023 to Feb 5, 2024
- Discretionary RAUM · $33.5M to $45.7MFeb 24, 2023 to Feb 5, 2024
- HNW RAUM · $16.2M to $21.6MFeb 24, 2023 to Feb 5, 2024
- Individual RAUM · $17.3M to $24.1MFeb 24, 2023 to Feb 5, 2024
- RAUM · $33.5M to $45.7MFeb 24, 2023 to Feb 5, 2024
- Accounts · 269 to 272Jun 2, 2022 to Feb 24, 2023
- Advisory activities · 3 to 2Jun 2, 2022 to Feb 24, 2023
- Charity clients · unset to 0.0Jun 2, 2022 to Feb 24, 2023
- Corporate clients · unset to 0.0Jun 2, 2022 to Feb 24, 2023
- HNW clients · 19 to 22Jun 2, 2022 to Feb 24, 2023
- Individual clients · 110 to 113Jun 2, 2022 to Feb 24, 2023
- Pension plan clients · unset to 0.0Jun 2, 2022 to Feb 24, 2023
- Pooled vehicle clients · unset to 0.0Jun 2, 2022 to Feb 24, 2023
- Commission compensation · true to falseJun 2, 2022 to Feb 24, 2023
- Employees · 3 to 2Jun 2, 2022 to Feb 24, 2023
- Financial planning clients · 0 to 101-250Jun 2, 2022 to Feb 24, 2023
- Discretionary RAUM · $45.0M to $33.5MJun 2, 2022 to Feb 24, 2023
- HNW RAUM · $21.7M to $16.2MJun 2, 2022 to Feb 24, 2023
- Individual RAUM · $23.3M to $17.3MJun 2, 2022 to Feb 24, 2023
Signals
1 dated events
- R•••••••• I••••••••• filed its initial SEC registration (Form ADV)Sep 3, 2020 · 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
- d••@r•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 585-357-5005reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 585-568-6656reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 585-568-6656reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- r•••••••••.comreportedpublished 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
- $69.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026