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••••••••
Legal name R•••••••• I•••
Latest filing Mar 23, 2026
First filing on the tape Mar 26, 2020 · 18 filings
SEC status approved since Apr 27, 2020
RAUM
$301M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$301M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$25.1M
derived; firm RAUM over IAPD count
Employees
23
12 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$301M as of Mar 23, 2026
Mar 31, 2022$5.0M then
HNW client RAUM$107M as of Mar 23, 2026
Mar 31, 2022$1.1M then
State-registered IARs (5.B.3)12 as of Mar 23, 2026
Mar 29, 20210 then
Employees (5.A)23 as of Mar 23, 2026
Mar 29, 20219 then
Private funds: no history
RAUM +130% over the last fiscal year+146% a year over threeIARs 9 to 12
Practice profile
derived from the filing of Mar 23, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- 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)
- RAUM per advisor
- $25.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 184derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $415,084derivedHNW RAUM over HNW clients
- Average account
- $136,185derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +130%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +58%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 1,500reportedItem 5.H
- 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)
- 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 securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$194M65%
- High-net-worth individuals$107M35%
- Individual clients
- 1,953reported
- HNW clients
- 257reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,210reported
- Financial planning clients
- 1,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• T•••• E••Certified Financial Planner | New York, Ny | Jun 22, 2021 | 17 y | 0 |
| M•••••• C••••••• C••••••Certified Financial Planner | New York, Ny | Jul 2, 2021 | 12 y | 2 |
| S••• B••••• | New York, Ny | Jul 2, 2021 | 12 y | 0 |
| H••••••• W•••••• S••••••• | New York, Ny | Jan 25, 2022 | 10 y | 1 |
| M•••••• A•••••• R•••• | New York, Ny | Sep 12, 2022 | 12 y | 1 |
| E••• S•••••••Certified Financial Planner | New York, Ny | Mar 21, 2023 | 13 y | 1 |
| T•••• M•••• N••••••• | New York, Ny | Jun 24, 2024 | 10 y | 1 |
| J•••• A•••••• D•••••• | New York, Ny | Aug 30, 2024 | 10 y | 1 |
| J•••• M•••••• C•••••• | New York, Ny | Oct 17, 2024 | 10 y | 2 |
| H••••• N••••••• | New York, Ny | Dec 4, 2024 | 12 y | 1 |
| R••••• C••••••••• G••••••• | New York, Ny | Apr 15, 2025 | 11 y | 1 |
| R••••• F•••••••• E••• | New York, Ny | Jan 27, 2026 | 10 y | 4 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount2 left over 36 months
Left, latest
- A••••• R•••••••• to T•••••••• F•••••••• G••••Nov 20, 2025 · RIA to RIA
- M•••••• L•• J•••••• to W••••••••• A•••••••Aug 26, 2024 · RIA to RIA
- S••••••• C•••• V•••• to E•••••••Jun 1, 2022 · RIA to RIA
Joined, latest
- R••••• F•••••••• E••• from M••••••••• A•••••••• L••Jan 27, 2026 · Other
- R••••• C••••••••• G••••••• from F••••••• P••••••• A•• W•••••••• A•••••••Apr 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- H••••• N••••••• from M••••••Dec 4, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•••• M•••••• C•••••• from W••••• E••••••••• A••••••• S•••••••• L••Oct 17, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•••• A•••••• D•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 30, 2024 · Wirehouse to independent RIA
- T•••• M•••• N••••••• from O••••••••• • C•• I•••Jun 24, 2024 · Affiliated broker-dealer or bank to independent RIA
- E••• S••••••• from K••••• A••••••• S•••••••• L••Mar 21, 2023 · Affiliated broker-dealer or bank to independent RIA
- M•••••• A•••••• R•••• from H•••••• T••••••• • K•••• L••Sep 12, 2022 · Affiliated broker-dealer or bank to independent RIA
- S••••••• C•••• V•••• from E•••••••Mar 2, 2022 · Other
- H••••••• W•••••• S••••••• from S•••••Jan 25, 2022 · Other
- M•••••• C••••••• C•••••• from B•••••••••Jul 2, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••• R•••••• T•••• · Ceo/Ccocontrolsince 10/2019 · owns 10% to 25%
- Y••••• I••• D••••• · Ctocontrolsince 10/2019 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 12 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Mar 23, 2026individual and HNW clients (Item 5.D) moved from 1,396.0 to 2,210.0 (+58.0%) between the annual amendments of 2025-04-18 and 2026-03-23; the peer median change was +3.0% (3309 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 97% percentile
- RAUM up 50 %Change between filings · filing Mar 23, 2026RAUM (Item 5.F) moved from $130,640,709 to $300,968,274 (+130.0%) between the annual amendments of 2025-04-18 and 2026-03-23; the peer median change was +15.0% (4550 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 99% percentile
- account count surgeChange between filings · filing Mar 23, 2026accounts (Item 5.F.2.f) moved from 1,396.0 to 2,210.0 (+58.0%) between the annual amendments of 2025-04-18 and 2026-03-23; the peer median change was +5.0% (3687 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 1,396 to 2,210Dec 24, 2025 to Mar 23, 2026
- Advisory employees · 9 to 12Dec 24, 2025 to Mar 23, 2026
- HNW clients · 206 to 257Dec 24, 2025 to Mar 23, 2026
- Individual clients · 1,190 to 1,953Dec 24, 2025 to Mar 23, 2026
- Assets in custody · $130M to $300MDec 24, 2025 to Mar 23, 2026
- Employees · 16 to 23Dec 24, 2025 to Mar 23, 2026
- State-registered IARs · 9 to 12Dec 24, 2025 to Mar 23, 2026
- Discretionary RAUM · $131M to $301MDec 24, 2025 to Mar 23, 2026
- HNW RAUM · $45.0M to $107MDec 24, 2025 to Mar 23, 2026
- Individual RAUM · $85.7M to $194MDec 24, 2025 to Mar 23, 2026
- RAUM · $131M to $301MDec 24, 2025 to Mar 23, 2026
- Accounts · 429 to 1,396Mar 25, 2024 to Apr 18, 2025
- Advisory employees · 7 to 9Mar 25, 2024 to Apr 18, 2025
- HNW clients · 45 to 206Mar 25, 2024 to Apr 18, 2025
- Individual clients · 384 to 1,190Mar 25, 2024 to Apr 18, 2025
- Assets in custody · $25.8M to $130MMar 25, 2024 to Apr 18, 2025
- Employees · 12 to 16Mar 25, 2024 to Apr 18, 2025
- Financial planning clients · 251-500 to More than 500Mar 25, 2024 to Apr 18, 2025
- State-registered IARs · 7 to 9Mar 25, 2024 to Apr 18, 2025
- Discretionary RAUM · $60.5M to $131MMar 25, 2024 to Apr 18, 2025
- HNW RAUM · $20.8M to $45.0MMar 25, 2024 to Apr 18, 2025
- Individual RAUM · $39.7M to $85.7MMar 25, 2024 to Apr 18, 2025
- RAUM · $60.5M to $131MMar 25, 2024 to Apr 18, 2025
- Accounts · 231 to 429Jun 20, 2023 to Mar 25, 2024
- Advisory employees · 8 to 7Jun 20, 2023 to Mar 25, 2024
- HNW clients · 47 to 45Jun 20, 2023 to Mar 25, 2024
- Individual clients · 184 to 384Jun 20, 2023 to Mar 25, 2024
- Assets in custody · $3.5M to $25.8MJun 20, 2023 to Mar 25, 2024
- Employees · 15 to 12Jun 20, 2023 to Mar 25, 2024
- State-registered IARs · 9 to 7Jun 20, 2023 to Mar 25, 2024
- Discretionary RAUM · $20.2M to $60.5MJun 20, 2023 to Mar 25, 2024
- HNW RAUM · $6.8M to $20.8MJun 20, 2023 to Mar 25, 2024
- Individual RAUM · $13.4M to $39.7MJun 20, 2023 to Mar 25, 2024
- RAUM · $20.2M to $60.5MJun 20, 2023 to Mar 25, 2024
- Accounts · 71 to 231Jan 25, 2023 to Mar 30, 2023
- Advisory employees · 6 to 8Jan 25, 2023 to Mar 30, 2023
- HNW clients · 8 to 47Jan 25, 2023 to Mar 30, 2023
- Individual clients · 63 to 184Jan 25, 2023 to Mar 30, 2023
- Assets in custody · $508,793 to $3.5MJan 25, 2023 to Mar 30, 2023
- Employees · 13 to 15Jan 25, 2023 to Mar 30, 2023
Signals
6 dated events
- Retirable reported RAUM $301.0M, up 130% from $130.6M (2025-12-24 to 2026-03-23)Mar 23, 2026 · RAUM change · derived
- A••••• R•••••••• left Retirable for T•••••••• F•••••••• G•••• (registered 2023-07-31)Nov 20, 2025 · Advisor changed firm · fact
- M•••••• L•• J•••••• left Retirable for W••••••••• A••••••• (registered 2024-09-16)Aug 26, 2024 · Advisor changed firm · fact
- S••••••• C•••• V•••• left Retirable for Ellevest (registered 2022-05-20)Jun 1, 2022 · Advisor changed firm · fact
- Daniel Ian Yamey (Cto) appeared on Schedule A of RetirableMar 31, 2022 · Control person joined · fact
- Retirable filed its initial SEC registration (Form ADV)Mar 26, 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
- info@retirable.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 833-222-1807reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/retirablereportedpublic record, Form ADV, Sep 18, 2026
- Website
- retirable.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 833 222 1807reportedpublic record, Form ADV, Mar 23, 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
- $25.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026