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
N•• E••• W•••••
Legal name N•••••• W•••••• L••
Latest filing Apr 23, 2026
First filing on the tape Feb 24, 2020 · 30 filings
SEC status approved since Mar 25, 2020
RAUM
$20B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
95%
$19B individuals and HNW
Advisors
142
registered through the firm on IAPD
RAUM per advisor
$140M
derived; firm RAUM over IAPD count
Employees
211
99 advisory (5.B.1)
Offices
18
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$20B as of Apr 23, 2026
Mar 30, 2021$1.8B then
HNW client RAUM$18B as of Apr 23, 2026
Mar 30, 2021$1.8B then
State-registered IARs (5.B.3)90 as of Apr 23, 2026
Mar 30, 202112 then
Employees (5.A)211 as of Apr 23, 2026
Mar 30, 202113 then
Private funds: no history
RAUM +65% over the last fiscal year+51% a year over threeIARs 90 to 90offices 14 to 18
Practice profile
derived from the filing of Apr 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- uhnw p•••••• wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $135MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.3MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 7.8derived19 offices incl. principal (1.F.5)
- RAUM growth, one year
- +65%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +31%derived
- Compensation
- percentage of assets, fixed fees, performance-based, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $15BreportedItem 5.I
- 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 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$18B89%
- Individuals$1.2B6.0%
- Corporations and businesses$544M2.7%
- Charitable organizations$368M1.8%
- Pension and profit-sharing plans$171M0.9%
- Insurance companies$1.8M0.0%
- Individual clients
- 2,064reported
- HNW clients
- 1,557reported
- Pension plan clients
- 10reported
- Charitable clients
- 23reported
- Accounts
- 19,593reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $3.0B sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performance, commissionsreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=94.0derived
Advisors registered through the firm
147 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• P• S••••• | Stamford, Ct | Jan 3, 2006 | 21 y | 0 |
| J•••• A•• H••••••••• | Hudson, Wi | Jan 30, 2014 | 22 y | 0 |
| M•••••• B•••• B•••• | Stamford, Ct | Feb 3, 2014 | 17 y | 1 |
| J••••• G••••••Chartered Financial Analyst | Wayzata, Mn | Aug 31, 2018 | 10 y | 0 |
| M••••• E•••••••• H•••••• C••••••• | Brookfield, Wi | Oct 14, 2020 | 14 y | 0 |
| D•••• J••• D••• | Stamford, Ct | Oct 28, 2020 | 37 y | 2 |
| W••••• G••••••• | Stamford, Ct | Dec 11, 2020 | 24 y | 1 |
| J•••••• M••• K•••••••• | Darien, Ct | Dec 11, 2020 | 32 y | 3 |
| R••••• J••• S••••• | Stamford, Ct | Dec 11, 2020 | 29 y | 3 |
| J••• A•••••••• S•••••Certified Financial Planner | Stamford, Ct | Dec 11, 2020 | 15 y | 1 |
| F•••••••• R•••••• P•••• | Stamford, Ct | Dec 14, 2020 | 21 y | 2 |
| K•••• R••• M••••• | Stamford, Ct | Dec 14, 2020 | 11 y | 1 |
| B••••••• A••••• L••• | Stamford, Ct | Dec 14, 2020 | 10 y | 1 |
| R••• C••••••• | Stamford, Ct | Dec 14, 2020 | 10 y | 1 |
| J•• P••••• | Stamford, Ct | Dec 21, 2020 | 16 y | 1 |
| D••••••• H•••• B•••• | Stamford, Ct | Dec 22, 2020 | 26 y | 2 |
| J•••••• S• C•••••• | Stamford, Ct | May 24, 2021 | 25 y | 1 |
| G••• R••• M•••• | Park City, Ut | May 24, 2021 | 34 y | 2 |
| J••••••• D•••• H••••• | Stamford, Ct | Jun 16, 2021 | 12 y | 1 |
| S•••• E• K•• | Stamford, Ct | Jul 20, 2021 | 11 y | 1 |
| F•••• B• B•••• A••••••• | Stamford, Ct | Aug 19, 2021 | 43 y | 2 |
| R•••••• L•••• H••••••• | Stamford, Ct | Sep 8, 2021 | 33 y | 2 |
| P•••••• J•••• D•••• | Miami, Fl | Oct 7, 2021 | 33 y | 2 |
| K•••• L••• G••••••• | Darien, Ct | Nov 30, 2021 | 43 y | 0 |
| M•••••• S•••• W••••••• | Coral Gables, Fl | Jan 28, 2022 | 36 y | 2 |
| J•••• M•••••• K••••• | Coral Gables, Fl | Jan 28, 2022 | 29 y | 3 |
| G••••••• G••••••• | Stamford, Ct | Jan 28, 2022 | 26 y | 3 |
| M••••••••• D•••••Certified Financial Planner | Durham, Nc | Jan 28, 2022 | 16 y | 1 |
| R••••• J•••• L•• | Coral Gables, Fl | Jan 28, 2022 | 28 y | 2 |
| C•••••• R•••••• | Stamford, Ct | Jan 28, 2022 | 27 y | 3 |
| M•••••• S•••• F••••• | Park City, Ut | Jan 29, 2022 | 20 y | 3 |
| A••• L••• R•••••• | Stamford, Ct | Feb 4, 2022 | 11 y | 1 |
| A•• K••••• G••••••• D••••• | Coral Gables, Fl | Feb 9, 2022 | 11 y | 1 |
| J•••• P•••• W•••• | Stamford, Ct | Apr 29, 2022 | 33 y | 3 |
| L•••• M•••••• B••• | Stamford, Ct | Apr 29, 2022 | 32 y | 4 |
| M••• S•••• L••••• | Stamford, Ct | Apr 29, 2022 | 32 y | 4 |
| P•••• G••••• | Stamford, Ct | May 2, 2022 | 19 y | 1 |
| A•••• L•••• H••••• | Stamford, Ct | May 2, 2022 | 17 y | 3 |
| C•••••• L••••• D•••••Chartered Financial Analyst | Stamford, Ct | May 17, 2022 | 16 y | 1 |
| J•••• M• C•••••••• | Stamford, Ct | Jul 6, 2022 | 18 y | 3 |
Advisor movement
1 left, 37 joined in 12 months
net +36 in 12 months0 left in 90 days12 joined in 90 daysdeparture rate 0.7% of current headcount8 left over 36 months
Left, latest
- O••••• H••••••• to S••••••••• W••••• P•••••••Mar 23, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••••• R•••• to N••••••••• W••••• P•••••••• L••Aug 5, 2025 · Affiliated broker-dealer or bank to independent RIA
- M•••••• H••••• R•••• to F••••••May 6, 2025 · Affiliated broker-dealer or bank to independent RIA
- S••••• T•••••• to H••• S••••••••• •••• I•••Mar 5, 2025 · Affiliated broker-dealer or bank to another
- C••••••••• B•••• to P•• W••••• M•••••••••Dec 18, 2024 · Affiliated broker-dealer or bank to another
- J••••• L••• B•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jun 24, 2024 · Affiliated broker-dealer or bank to another
- B•• E•••• to C••••• I••••••••• A••••••• L••Jun 3, 2024 · Affiliated broker-dealer or bank to another
- A••• R•••• S••••••••• to M••••• S••••••Oct 16, 2023 · Affiliated broker-dealer or bank to wirehouse
- A••• D••• Z•••• to M•• I•••••••• S•••••••• L••Jan 5, 2023 · Affiliated broker-dealer or bank to another
- R••••• A• S•••• to U•• F•••••••• S••••••• I•••Oct 4, 2022 · RIA to wirehouse
Joined, latest
- K•••• V••••••••• from F••••••• S••••••••• I•••Sep 8, 2026 · RIA to affiliated broker-dealer or bank
- M•••••• J• W••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 2, 2026 · Wirehouse to affiliated broker-dealer or bank
- T•••• S•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 1, 2026 · Wirehouse to affiliated broker-dealer or bank
- P••• J••••• Y•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 1, 2026 · Wirehouse to affiliated broker-dealer or bank
- K•••••• C•••••• G•••• from C•••••• S••••• • C••• I•••Aug 17, 2026 · Affiliated broker-dealer or bank to another
- J•••••• W•••••• T••••••• from S•••••• C• B•••••••• • C••• L••Aug 17, 2026 · Other
- S•••••• M•••••• W•••••• from A••••••••• L•••Aug 17, 2026 · Other
- S••• D•••• W••••• from A••••••••• L•••Aug 17, 2026 · Other
- J•••• R• D•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 24, 2026 · Wirehouse to affiliated broker-dealer or bank
- S•••• M•••• from M••••• S••••••Jul 2, 2026 · Wirehouse to affiliated broker-dealer or bank
- W•••• M•••• C••••• from M••••• S••••••Jul 2, 2026 · Wirehouse to affiliated broker-dealer or bank
- L•••• A••• W•••• from M••••• S••••••Jul 2, 2026 · Wirehouse to affiliated broker-dealer or bank
- B•••••••• E•••••••• B•••• from U•• F•••••••• S••••••• I•••Jun 17, 2026 · Wirehouse to affiliated broker-dealer or bank
- J•••• A••••• N•••••• from U•• F•••••••• S••••••• I•••Jun 12, 2026 · Wirehouse to affiliated broker-dealer or bank
- E••• T••••• from U•• F•••••••• S••••••• I•••Jun 12, 2026 · Wirehouse to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 31, 2026 · Sava•••H, Ga
- 2 joined from A••••••••• L•••Aug 28, 2026 · Houston, Tx
- 2 joined from M••••• S••••••Jul 21, 2026 · New Albany, Oh
- 2 joined from M••••• S••••••Feb 25, 2026 · Boston, Ma
- 2 joined from P••••• C•••••• A•••••••• L••Dec 31, 2025 · Braintree, Ma
- 4 joined from S••••• T•••• A•••••••• L••Dec 1, 2025 · New York, Ny
- 4 joined from W•••• F•••• A•••••••Aug 27, 2025 · Chicago, Il
- 2 joined from E••• C•••••• G••••• L••Mar 13, 2025 · Atlanta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••••• F••••••• · Cfo And Treasurercontrolsince 02/2020 · owns less than 5%
- D••••• N•••••• A•• E•••• · Chief Compliance Officercontrolsince 02/2024 · owns less than 5%
- S••••••• D••••• J•••• · General Counsel And Secretarycontrolsince 02/2020 · owns less than 5%
- S•••••• R•••••• J••• · Chief Executive Officercontrolsince 01/2022 · owns less than 5%
- S••••• K•••• P•••• · Executive Vice Presidentcontrolsince 02/2020 · owns less than 5%
- S•••••• J•••• A• · Presidentcontrolsince 02/2020 · owns less than 5%
- H•••••••• R••••••• L•••• · Executive Vice Presidentsince 01/2022 · owns less than 5%
Entity owners
- N•••••• C•••••• G••••• L•• · N•••••• W•••••• L•• Is Wholly Owned By N•••••• C•••••• G••••• L••direct · owns 75% or more
- E••••• G••••••••• L••• · Partnerindirect · owns 75% or more of N•••••• W••••• H•••••••• L•••
- E••••• H•••••••• L••• · Shareholderindirect · owns 75% or more of E••••• G••••••••• L•••
- E••••• I••••••• H•••••••• L••• · Shareholderindirect · owns 75% or more of E••••• H•••••••• L•••
- E••••• W••••• M••••••••• G•• L•• · General Partnerindirect · owns F of E••••• G••••••••• L•••
- E••••• W••••• M••••••••• G•• L•• · General Partnerindirect · owns F of N•••••• W••••• H•••••••• L•••
- N•••••• W••••• H•••••••• L••• · Shareholderindirect · owns 75% or more of N•••••• C•••••• G••••• L••
- P•••••••• I•••••••• V• L••• · Partnerindirect · owns 50% to 75% of E••••• I••••••• H•••••••• L•••
- P•• A••••••••• G•• L•• · General Partnerindirect · owns F of E••••• I••••••• H•••••••• L•••
- W•••••••• E••• M••••• F•••• L••• · Partnerindirect · owns 25% to 50% of E••••• I••••••• H•••••••• L•••
Related persons
Schedule D 7.A
- L•• I•••••••• A•••••• I••real estaten
- M•• A••••••• C••••••• • S••••••••• C•••••••••broker-dealern
- M•• A••••••• T•••• C••••••n
- N•••••• A•••••••investment advisernRAUM $43B
- N•••••• S••••••••• I•••broker-dealern
Advisers that list N•• E••• W••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Stamford, Ct · principal | 142 | 44 | 1 | ||
| Coral Gables, Fl | 14 | 2 | 0 | ||
| Atlanta, Ga | 9 | 3 | 0 | ||
| New York, Ny | 7 | 6 | 0 | ||
| Miami, Fl | 7 | 2 | 0 | ||
| Delray Beach, Fl | 6 | 0 | 0 | ||
| Wayzata, Mn | 6 | 6 | 0 | ||
| Chicago, Il | 4 | 0 | 0 | ||
| Darien, Ct | 4 | 0 | 0 | ||
| Fort Lauderd•••, Fl | 4 | 4 | 0 | ||
| Allentown, Pa | 4 | 0 | 0 | ||
| Houston, Tx | 4 | 4 | 0 | ||
| Mcmurray, Pa | 3 | 0 | 0 | ||
| New Albany, Oh | 3 | 3 | 0 | ||
| Durham, Nc | 3 | 1 | 0 | ||
| Mcmurrary, Pa | 2 | 0 | 0 | ||
| Nashville, Tn | 2 | 2 | 0 | ||
| Park City, Ut | 2 | 0 | 0 | ||
| Pittsburgh, Pa | 2 | 0 | 0 | ||
| Rogers, Ar | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Coral Gables, FL7 employees
- Miami, FL5 employees
- Mcmurray, PA4 employees
- Boca Raton, FL3 employees
- Atlanta, GA2 employees
- Allentown, PA2 employees
- , 2 employees
- Rogers, AR2 employees
- Manhattan Beach, CA2 employees
- Pittsburgh, PA1 employees
- F•••••••, TN1 employees
- San F••••••••, CA1 employees
- San F••••••••, CA1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Apr 23, 2026HNW RAUM per HNW client of $11,330,778 against a peer median of $2,428,746 (50 comparable advisers, 100.0th percentile, 6.0 robust deviations)peers: affiliated wealth managers, $5B to $20B (50) · 100% percentile
- control person c•••gedChange between filings · filing Apr 23, 2026S••••••• D••••• J•••• (GENERAL COUNSEL AND SECRETARY) left Schedule A between the filings of 2024-02-21 and 2026-04-23peers: affiliated wealth managers, $5B to $20B (53)
- RAUM up 50 %Change between filings · filing Apr 23, 2026RAUM (Item 5.F) moved from $12,064,984,416 to $19,926,358,801 (+65.0%) between the annual amendments of 2025-03-31 and 2026-04-23; the peer median change was +21.0% (52 comparable advisers, 96.0th percentile of changes)peers: affiliated wealth managers, $5B to $20B (52) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 14,680 to 19,593Nov 14, 2025 to Mar 31, 2026
- Advisory employees · 70 to 99Nov 14, 2025 to Mar 31, 2026
- Charity clients · 10 to 23Nov 14, 2025 to Mar 31, 2026
- Corporate clients · 12 to 38Nov 14, 2025 to Mar 31, 2026
- HNW clients · 1,156 to 1,557Nov 14, 2025 to Mar 31, 2026
- Individual clients · 1,599 to 2,064Nov 14, 2025 to Mar 31, 2026
- Pension plan clients · 13 to 10Nov 14, 2025 to Mar 31, 2026
- Assets in custody · $9.3B to $11BNov 14, 2025 to Mar 31, 2026
- Employees · 152 to 211Nov 14, 2025 to Mar 31, 2026
- Financial planning clients · 11-25 to 26-50Nov 14, 2025 to Mar 31, 2026
- Other offices · 14 to 18Nov 14, 2025 to Mar 31, 2026
- Discretionary RAUM · $12B to $18BNov 14, 2025 to Mar 31, 2026
- HNW RAUM · $10B to $18BNov 14, 2025 to Mar 31, 2026
- Individual RAUM · $925M to $1.2BNov 14, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $387M to $1.7BNov 14, 2025 to Mar 31, 2026
- Pension RAUM · $239M to $171MNov 14, 2025 to Mar 31, 2026
- RAUM · $12B to $20BNov 14, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · $2.2B to $3.0BNov 14, 2025 to Mar 31, 2026
- Financial planning clients · 11-25 to 11-25Mar 31, 2025 to Jul 22, 2025
- Accounts · 9,457 to 14,680Sep 30, 2024 to Mar 31, 2025
- Advisory employees · 62 to 70Sep 30, 2024 to Mar 31, 2025
- Advisory activities · 6 to 7Sep 30, 2024 to Mar 31, 2025
- BD registered reps · 80 to 94Sep 30, 2024 to Mar 31, 2025
- Charity clients · 7 to 10Sep 30, 2024 to Mar 31, 2025
- Corporate clients · 7 to 12Sep 30, 2024 to Mar 31, 2025
- HNW clients · 800 to 1,156Sep 30, 2024 to Mar 31, 2025
- Individual clients · 945 to 1,599Sep 30, 2024 to Mar 31, 2025
- Pension plan clients · 12 to 13Sep 30, 2024 to Mar 31, 2025
- Assets in custody · $1.1B to $9.3BSep 30, 2024 to Mar 31, 2025
- Employees · 115 to 152Sep 30, 2024 to Mar 31, 2025
- State-registered IARs · 73 to 90Sep 30, 2024 to Mar 31, 2025
- Other offices · 13 to 14Sep 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $8.2B to $12BSep 30, 2024 to Mar 31, 2025
- HNW RAUM · $7.6B to $10BSep 30, 2024 to Mar 31, 2025
- Individual RAUM · $637M to $925MSep 30, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $372M to $387MSep 30, 2024 to Mar 31, 2025
- Pension RAUM · $183M to $239MSep 30, 2024 to Mar 31, 2025
- RAUM · $8.6B to $12BSep 30, 2024 to Mar 31, 2025
- Wrap assets (sponsor) · $1.7B to $2.2BSep 30, 2024 to Mar 31, 2025
- Other offices · 11 to 13Feb 21, 2024 to Sep 25, 2024
Signals
48 dated events
- J•••• A•• H••••••••• added a TX registration at N•• E••• W•••••Sep 15, 2026 · New state registration · fact
- M••••• E•••••••• H•••••• C••••••• added a TX registration at N•• E••• W•••••Sep 15, 2026 · New state registration · fact
- M••••• E•••••••• H•••••• C••••••• added a MN registration at N•• E••• W•••••Sep 14, 2026 · New state registration · fact
- J••••• G•••••• added a TX registration at N•• E••• W•••••Sep 14, 2026 · New state registration · fact
- Rachelle L Carlson-Oien added a MN registration at N•• E••• W•••••Sep 14, 2026 · New state registration · fact
- J••••• G•••••• added a MN registration at N•• E••• W•••••Sep 14, 2026 · New state registration · fact
- Rachelle L Carlson-Oien added a TX registration at N•• E••• W•••••Sep 14, 2026 · New state registration · fact
- J•••• A•• H••••••••• added a MN registration at N•• E••• W•••••Sep 14, 2026 · New state registration · fact
- 3 advisors left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (Savannah, GA) for N•• E••• W••••• on the same dayAug 31, 2026 · Team lift-out · derived
- 2 advisors left A••••••••• L••• (Houston, TX) for N•• E••• W••••• on the same dayAug 28, 2026 · Team lift-out · derived
- 2 advisors left M••••• S•••••• (New Albany, OH) for N•• E••• W••••• within 9 daysJul 21, 2026 · Team lift-out · derived
- N•• E••• W••••• reported RAUM $19.9B, up 65% from $12.1B (2025-11-14 to 2026-03-31)Mar 31, 2026 · ria raum c•••ge · derived
- O••••• H••••••• left N•• E••• W••••• for S••••••••• W••••• P••••••• (registered 2026-03-27)Mar 23, 2026 · advisor firm c•••ge · fact
- 2 advisors left M••••• S•••••• (Boston, MA) for N•• E••• W••••• within 2 daysFeb 25, 2026 · Team lift-out · derived
- 2 advisors left P••••• C•••••• A•••••••• L•• (Braintree, MA) for N•• E••• W••••• on the same dayDec 31, 2025 · Team lift-out · derived
- 5 advisors left S••••• T•••• A•••••••• L•• (New York, NY) for N•• E••• W••••• on the same dayDec 1, 2025 · Team lift-out · derived
- 4 advisors left W•••• F•••• A••••••• (Chicago, IL) for N•• E••• W••••• a day apartAug 27, 2025 · Team lift-out · derived
- J••••• R•••• left N•• E••• W••••• for N••••••••• W••••• P•••••••• L•• (registered 2025-08-12)Aug 5, 2025 · advisor firm c•••ge · fact
- M•••••• H••••• R•••• left N•• E••• W••••• for Farther (registered 2025-05-02)May 6, 2025 · advisor firm c•••ge · fact
- N•• E••• W••••• reported 90 state-registered advisory representatives, up from 73 (2024-09-30 to 2025-03-31)Mar 31, 2025 · ria advisor headcount c•••ge · derived
- N•• E••• W••••• reported RAUM $12.1B, up 40% from $8.6B (2024-09-30 to 2025-03-31)Mar 31, 2025 · ria raum c•••ge · derived
- 2 advisors left E••• C•••••• G••••• L•• (Atlanta, GA) for N•• E••• W••••• on the same dayMar 13, 2025 · Team lift-out · derived
- S••••• T•••••• left N•• E••• W••••• for H••• S••••••••• •••• I••• (registered 2025-03-24)Mar 5, 2025 · advisor firm c•••ge · fact
- C••••••••• B•••• left N•• E••• W••••• for P•• W••••• M••••••••• (registered 2025-08-13)Dec 18, 2024 · advisor firm c•••ge · fact
- 3 advisors left M••••• S•••••• (Allentown, PA) for N•• E••• W••••• on the same dayAug 22, 2024 · Team lift-out · derived
- 6 advisors left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (Boca Raton, FL) for N•• E••• W••••• on the same dayAug 20, 2024 · Team lift-out · derived
- J••••• L••• B•••• left N•• E••• W••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-07-31)Jun 24, 2024 · advisor firm c•••ge · fact
- B•• E•••• left N•• E••• W••••• for C••••• I••••••••• A••••••• L•• (registered 2025-04-10)Jun 3, 2024 · advisor firm c•••ge · fact
- N•• E••• W••••• reported 73 state-registered advisory representatives, up from 60 (2023-09-01 to 2024-02-21)Feb 21, 2024 · ria advisor headcount c•••ge · derived
- N•• E••• W••••• reported 11 offices beyond its principal office, up from 6 (2023-09-01 to 2024-02-21)Feb 21, 2024 · ria office count c•••ge · derived
Across DFX
shared identifiers only, never a name match
- N•• E••• W••••• · Private Equityshared crd · intermediary
- NewE••• Wealth · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Website
- newedgewealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 2034242262reportedpublic record, Form ADV, Apr 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $140Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026