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
G••••••• W••••• P•••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Sep 1, 2020 · 28 filings
SEC status approved since Sep 30, 2020
RAUM
$191M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$191M individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$12.8M
derived; firm RAUM over IAPD count
Employees
75
75 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$191M as of Jun 22, 2026
Mar 1, 2021$0 then
HNW client RAUM$86.7M as of Jun 22, 2026
Mar 24, 2022$11.6M then
State-registered IARs (5.B.3)14 as of Jun 22, 2026
Mar 1, 202128 then
Employees (5.A)75 as of Jun 22, 2026
Mar 1, 2021118 then
Private funds: no history
RAUM +95% over the last fiscal year+25% a year over threeIARs 12 to 14offices 9 to 7
Practice profile
derived from the filing of Sep 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $12.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $292,147derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.9derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +95%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +58%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $191MreportedItem 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
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$105M55%
- High-net-worth individuals$86.7M45%
- Individual clients
- 372reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 655reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $145M sponsored, $0 managedreported
- 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=true related_bank=false bd_reps=39.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Y••• F••••••••• | Brooklyn, Ny | May 30, 2018 | 14 y | 0 |
| N••••••• J• F••••• | Red Bank, Nj | Apr 8, 2019 | 25 y | 1 |
| S•••••• J• E••••••••• | Pheonix, Az | Nov 27, 2020 | 25 y | 5 |
| M•••••• J•••• W••••• | Pittsburgh, Pa | Mar 3, 2022 | 27 y | 1 |
| C••• W••••••• | Pittsburgh, Pa | Mar 31, 2022 | 13 y | 5 |
| K•••• P••• W••••••• | Pittsburgh, Pa | Apr 1, 2022 | 33 y | 2 |
| B••••••• P• F•••••• | The Woodlands, Tx | Jan 13, 2023 | 13 y | 1 |
| Y••• L•••••Certified Financial Planner | Brooklyn, Ny | Aug 3, 2023 | 18 y | 0 |
| A•••• G•••••• | Monroe, Ny | Jun 10, 2024 | 13 y | 0 |
| B••••• H•••• D•••• | The Woodlands, Tx | Jul 19, 2024 | 12 y | 0 |
| C••••••••• A••••• W•••••Certified Financial Planner, Chartered Financial Consultant | Beechwood, Oh | Sep 13, 2024 | 13 y | 3 |
| M••••••• B••••••• | St. Louis, Mo | Jul 18, 2025 | 10 y | 2 |
| J••••• J••••• B••••••••• | Red Bank, Nj | Dec 23, 2025 | 28 y | 0 |
| J••• P••• | Brooklyn, Ny | Jul 7, 2026 | 10 y | 0 |
| N•••• R• D••••••Certified Financial Planner | North Tustin, Ca | Sep 10, 2026 | 26 y | 1 |
Advisor movement
4 left, 1 joined in 12 months
net -3 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 27% of current headcount8 left over 36 months
Left, latest
- M•••••• H•••••• M••••••• to F•••• H•••••••• C••••••••• I•••Jan 2, 2026 · Affiliated broker-dealer or bank to another
- A••••• V••••• to P••• A••••• S••••••••• L••Dec 11, 2025 · Affiliated broker-dealer or bank to another
- M•••••• T•••• V••••• to P••• A••••• S••••••••• L••Dec 11, 2025 · Affiliated broker-dealer or bank to another
- T••••• J•••••• to P•• W••••• M•••••••••Nov 6, 2025 · Affiliated broker-dealer or bank to another
- P•• P••••• C••••••••• to P••• A••••• S••••••••• L••Apr 1, 2025 · Affiliated broker-dealer or bank to another
- J•••••• L•••• M••••• to W••••••• W••••• M••••••••• L•••••Jan 21, 2025 · RIA to RIA
- H•••• N••••• to P••• A••••• S••••••••• L••Dec 20, 2023 · RIA to affiliated broker-dealer or bank
- A••••• T••••• V•• A•••••• to F•••••••• F•••••••• A•••••••Nov 30, 2023 · RIA to RIA
- A••• E•••••••• C••••• to P••• A••••• S••••••••• L••Aug 31, 2023 · RIA to affiliated broker-dealer or bank
- S••••• N••• to H••••••••• F•••••••• A•••••••Nov 8, 2022 · Affiliated broker-dealer or bank to another
- J••••• C•••••• M••••• to I•••• W••••• S••••••••Sep 29, 2021 · Other
Joined, latest
- N•••• R• D•••••• from G•••••• S•••• W••••• S•••••••• L•••Sep 10, 2026 · Affiliated broker-dealer or bank to independent RIA
- A••••• V••••• from T•• G•••• L••Mar 7, 2025 · Other
- M•••••• T•••• V••••• from T•• G•••• L••Oct 29, 2024 · Other
- J•••••• L•••• M••••• from U•• F•••••••• S••••••• I•••Sep 20, 2024 · Wirehouse to independent RIA
- C••••••••• A••••• W••••• from F••••Sep 13, 2024 · RIA to RIA
- M•••••• H•••••• M••••••• from I••••••••• W••••• A•••••••• L••Sep 12, 2023 · RIA to RIA
- B••••••• P• F•••••• from U•• F•••••••• S••••••• I•••Jan 13, 2023 · Wirehouse to affiliated broker-dealer or bank
- H•••• N••••• from P••• A••••• S••••••••• L••Dec 16, 2022 · Affiliated broker-dealer or bank to another
- M••••••• B••••••• from A• W••••• M••••••••• L••Sep 16, 2022 · Affiliated broker-dealer or bank to another
- K•••• P••• W••••••• from C••••••• I••••••••• C••••••Apr 1, 2022 · RIA to affiliated broker-dealer or bank
- C••• W••••••• from C••••••• I••••••••• C••••••Mar 31, 2022 · RIA to affiliated broker-dealer or bank
- M•••••• J•••• W••••• from C••••••• I••••••••• C••••••Mar 3, 2022 · Other
- S••••• N••• from R•••• S••••• A•••••••• L••Sep 14, 2021 · RIA to a newly registered adviser
- A••• E•••••••• C••••• from C••••• A••••••• L••Jun 14, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••• C•••••• M••••• from T•• W••••• C••••••••• G••••Jan 29, 2021 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P••• A••••• S••••••••• L••Dec 11, 2025 · Austin, Tx
- 2 joined from C••••••• I••••••••• C••••••Apr 6, 2022 · Pepper Pike, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• A••••• W••••• · Head Of Product & Supervisioncontrolsince 08/2020 · owns less than 5%
- B•••••••• J••••••• J••••• · Interim Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- C••••••• M•••••••• G•••• · President And Elected Membercontrolsince 01/2021 · owns less than 5%
- C•••• R•••••• C• · Chief Financial Officercontrolsince 05/2021 · owns less than 5%
- L•••••• L••••• A•• · Elected Membercontrolsince 05/2020 · owns less than 5%
- M••••• C••••• P•••••••• · Chief Operating Officercontrolsince 08/2020 · owns less than 5%
- R••••••• M••••••• J••• · Head Of Operationscontrolsince 12/2022 · owns less than 5%
- F••••• M••••••• N••••••• · Elected Membersince 05/2020 · owns less than 5%
- H•••••• J•••••• N••• · General C••••••since 08/2020 · owns less than 5%
Entity owners
- G••••••• I••••••• S••••••• L•• · Ownerdirect · owns 75% or more
- T•• G••••••• L••• I•••••••• C•••••• O• A•••••• · Ownerindirect · owns 75% or more of G••••••• I••••••• S••••••• L••
Related persons
Schedule D 7.A
- B••••••••• C•••••• P•••••••• L••investment advisernRAUM $982M
- P••• A••••• I••••••••• A••••••• L••investment advisernRAUM $82B
- P••• A••••• S••••••••• L••broker-dealerinvestment advisernRAUM $20B
- T•• G••••••• I•••••••• • A•••••• C••••••• I••real estatey
- T•• G••••••• L••• I•••••••• C•••••• O• A••••••real estatey
Advisers that list G••••••• W••••• P•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pittsburgh, Pa | 3 | 0 | 1 | ||
| Brooklyn, Ny | 3 | 1 | 0 | ||
| Red Bank, Nj | 2 | 2 | 0 | ||
| The Woodlands, Tx | 2 | 0 | 0 | ||
| Austin, Tx | 0 | 0 | 1 | 1 | |
| Portland, Or | 0 | 0 | 0 | ||
| New York, Ny · principal | 0 | 0 | 0 | ||
| Beachwood, Oh | 0 | 0 | 1 | ||
| Charlotte, Nc | 0 | 0 | 0 | ||
| Houston, Tx | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Pittsburgh, PA3 employees
- Saint Louis, MO2 employees
- Brooklyn, NY1 employees
- Portland, OR1 employees
- Beachwood, OH1 employees
- Scottsdale, AZ1 employees
- The Woodlands, TX1 employees
- Brooklyn, NY1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Sep 2, 2026employees per registered advisor of 5.0 against a peer median of 1.2 (1314 comparable advisers, 99.0th percentile, 12.8 robust deviations)peers: independent wealth managers, $100M to $500M (1,314) · 99% percentile
- client count surgeChange between filings · filing Apr 13, 2026individual and HNW clients (Item 5.D) moved from 255.0 to 402.0 (+58.0%) between the annual amendments of 2025-03-28 and 2026-04-13; 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
- account count surgeChange between filings · filing Apr 13, 2026accounts (Item 5.F.2.f) moved from 362.0 to 655.0 (+81.0%) between the annual amendments of 2025-03-28 and 2026-04-13; the peer median change was +5.0% (3687 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 97% percentile
- RAUM up 50 %Change between filings · filing Apr 13, 2026RAUM (Item 5.F) moved from $98,287,453 to $191,356,409 (+95.0%) between the annual amendments of 2025-03-28 and 2026-04-13; 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
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Jun 22, 2026 to Sep 2, 2026
- Succession · false to unsetJun 22, 2026 to Sep 2, 2026
- Accounts · 362 to 655Oct 8, 2025 to Mar 26, 2026
- Advisory employees · 87 to 75Oct 8, 2025 to Mar 26, 2026
- BD registered reps · 51 to 39Oct 8, 2025 to Mar 26, 2026
- Business name · P••• A••••• I••••••••• A•••••••• L•• to G••••••• W••••• P•••••••• L••Oct 8, 2025 to Mar 26, 2026
- HNW clients · 9 to 30Oct 8, 2025 to Mar 26, 2026
- Individual clients · 246 to 372Oct 8, 2025 to Mar 26, 2026
- Employees · 87 to 75Oct 8, 2025 to Mar 26, 2026
- Insurance-licensed employees · 1 to 4Oct 8, 2025 to Mar 26, 2026
- State-registered IARs · 12 to 14Oct 8, 2025 to Mar 26, 2026
- Legal name · P••• A••••• I••••••••• A•••••••• L•• to G••••••• W••••• P•••••••• L••Oct 8, 2025 to Mar 26, 2026
- Other offices · 9 to 7Oct 8, 2025 to Mar 26, 2026
- Discretionary RAUM · $98.3M to $191MOct 8, 2025 to Mar 26, 2026
- HNW RAUM · $37.9M to $86.7MOct 8, 2025 to Mar 26, 2026
- Individual RAUM · $60.4M to $105MOct 8, 2025 to Mar 26, 2026
- RAUM · $98.3M to $191MOct 8, 2025 to Mar 26, 2026
- Wrap assets (sponsor) · $10.2M to $145MOct 8, 2025 to Mar 26, 2026
- Accounts · 288 to 362Jan 9, 2025 to Mar 28, 2025
- Advisory employees · 70 to 87Jan 9, 2025 to Mar 28, 2025
- BD registered reps · 43 to 51Jan 9, 2025 to Mar 28, 2025
- HNW clients · 6 to 9Jan 9, 2025 to Mar 28, 2025
- Individual clients · 201 to 246Jan 9, 2025 to Mar 28, 2025
- Employees · 70 to 87Jan 9, 2025 to Mar 28, 2025
- Financial planning clients · 1-10 to 1-10Jan 9, 2025 to Mar 28, 2025
- State-registered IARs · 9 to 12Jan 9, 2025 to Mar 28, 2025
- Other offices · 8 to 9Jan 9, 2025 to Mar 28, 2025
- Discretionary RAUM · $75.4M to $98.3MJan 9, 2025 to Mar 28, 2025
- HNW RAUM · $30.8M to $37.9MJan 9, 2025 to Mar 28, 2025
- Individual RAUM · $44.6M to $60.4MJan 9, 2025 to Mar 28, 2025
- RAUM · $75.4M to $98.3MJan 9, 2025 to Mar 28, 2025
- Wrap assets (sponsor) · $7.2M to $10.2MJan 9, 2025 to Mar 28, 2025
- Accounts · 329 to 288Mar 15, 2023 to Mar 15, 2024
- Advisory employees · 75 to 70Mar 15, 2023 to Mar 15, 2024
- BD registered reps · 44 to 43Mar 15, 2023 to Mar 15, 2024
- Individual clients · 323 to 201Mar 15, 2023 to Mar 15, 2024
- Employees · 75 to 70Mar 15, 2023 to Mar 15, 2024
- Other offices · 5 to 8Mar 15, 2023 to Mar 15, 2024
- Discretionary RAUM · $97.1M to $75.4MMar 15, 2023 to Mar 15, 2024
- HNW RAUM · $25.8M to $30.8MMar 15, 2023 to Mar 15, 2024
Signals
22 dated events
- M•••••• H•••••• M••••••• left G••••••• W••••• P•••••••• L•• for F•••• H•••••••• C••••••••• I••• (registered 2025-10-16)Jan 2, 2026 · Advisor changed firm · fact
- A••••• V••••• left G••••••• W••••• P•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2025-12-11)Dec 11, 2025 · Advisor changed firm · fact
- M•••••• T•••• V••••• left G••••••• W••••• P•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2025-12-11)Dec 11, 2025 · Advisor changed firm · fact
- 2 advisors left G••••••• W••••• P•••••••• L•• (Austin, TX) for P••• A••••• S••••••••• L•• on the same dayDec 11, 2025 · Team lift-out · derived
- T••••• J•••••• left G••••••• W••••• P•••••••• L•• for P•• W••••• M••••••••• (registered 2026-01-26)Nov 6, 2025 · Advisor changed firm · fact
- P•• P••••• C••••••••• left G••••••• W••••• P•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2025-02-25)Apr 1, 2025 · Advisor changed firm · fact
- J•••••• L•••• M••••• left G••••••• W••••• P•••••••• L•• for W••••••• W••••• M••••••••• L••••• (registered 2025-02-11)Jan 21, 2025 · Advisor changed firm · fact
- John T••••• Drogan (Chief Compliance Officer) no longer on Schedule A of G••••••• W••••• P•••••••• L•• (listed 2024-03-15, absent 2024-03-24)Mar 24, 2024 · Control person left · inference
- Joseph Jeffrey Butscher (Interim Chief Compliance Officer) appeared on Schedule A of G••••••• W••••• P•••••••• L••Mar 24, 2024 · Control person joined · fact
- T••••• J Bellaro no longer registered at G••••••• W••••• P•••••••• L••; no later IA registration on IAPDFeb 29, 2024 · Advisor departure · fact
- H•••• N••••• left G••••••• W••••• P•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2024-01-05)Dec 20, 2023 · Advisor changed firm · fact
- A••••• T••••• V•• A•••••• left G••••••• W••••• P•••••••• L•• for F•••••••• F•••••••• A••••••• (registered 2023-11-30)Nov 30, 2023 · Advisor changed firm · fact
- A••• E•••••••• C••••• left G••••••• W••••• P•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2021-10-26)Aug 31, 2023 · Advisor changed firm · fact
- Pritchard Carly Maher (Chief Operating Officer) appeared on Schedule A of G••••••• W••••• P•••••••• L••Mar 15, 2023 · Control person joined · fact
- John M•••••• Ryniker (Head Of Operations) appeared on Schedule A of G••••••• W••••• P•••••••• L••Dec 2, 2022 · Control person joined · fact
- S••••• N••• left G••••••• W••••• P•••••••• L•• for H••••••••• F•••••••• A••••••• (registered 2023-02-07)Nov 8, 2022 · Advisor changed firm · fact
- C R•••••o Ecker (Chief Financial Officer) no longer on Schedule A of G••••••• W••••• P•••••••• L•• (listed 2022-05-05, absent 2022-06-06)Jun 6, 2022 · Control person left · inference
- C R••••• C••• (Chief Financial Officer) appeared on Schedule A of G••••••• W••••• P•••••••• L••Jun 6, 2022 · Control person joined · fact
- 2 advisors left C••••••• I••••••••• C•••••• (Pepper Pike, OH) for G••••••• W••••• P•••••••• L•• on the same dayApr 6, 2022 · Team lift-out · derived
- G••••••• W••••• P•••••••• L•• reported 5 state-registered advisory representatives, down from 28 (2021-12-21 to 2022-03-24)Mar 24, 2022 · Advisor headcount change · derived
- Marianne Caswell (President And Elected Member) appeared on Schedule A of G••••••• W••••• P•••••••• L••Jan 7, 2021 · Control person joined · fact
- G••••••• A••••••• S••••••• L•• filed its initial SEC registration (Form ADV)Sep 1, 2020 · ria f•••• adv filing · 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
- 888-600-4667reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- parkavenuesecurities.com/pas-investment-advisoryreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-879-6934reportedpublic record, Form ADV, Sep 2, 2026
- Contact form
- parkavenuewealthmanagement.com/contact-usreportedpublished 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
- $12.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026