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
S•••••• O• A••••• W••••• M•••••••••
Legal name S•• W••••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Sep 9, 2020 · 21 filings
SEC status approved since Oct 20, 2020
RAUM
$1.2B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$1.2B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$122M
derived; firm RAUM over IAPD count
Employees
20
12 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.2B as of Mar 30, 2026
Mar 25, 2021$805M then
HNW client RAUM$1.1B as of Mar 30, 2026
Mar 25, 2021$644M then
State-registered IARs (5.B.3)10 as of Mar 30, 2026
Mar 25, 20218 then
Employees (5.A)20 as of Mar 30, 2026
Mar 25, 202118 then
Private funds: no history
RAUM +15% over the last fiscal year+16% a year over threeIARs 10 to 10offices 0 to 2
Practice profile
derived from the filing of Mar 30, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $347,275derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.3%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Wrap fee program
- $1.2BreportedItem 5.I
- Custody
- $214M, 473 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B86%
- Individuals$164M14%
- Individual clients
- 523reported
- HNW clients
- 368reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3,504reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $214M for 473 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• D•••••• | New York, Ny | Nov 2, 2020 | 24 y | 2 |
| P•••••• P••• F•••••Certified Financial Planner | New York, Ny | Nov 2, 2020 | 24 y | 2 |
| C•••••• H•••••Certified Financial Planner | New York, Ny | Nov 2, 2020 | 36 y | 2 |
| S••••• J••• T•••••••Chartered Financial Consultant | New York, Ny | Nov 3, 2020 | 30 y | 1 |
| S•••• L•••• H•••• | New York, Ny | Nov 3, 2020 | 39 y | 3 |
| C••••••••• S•• C•••••••••Certified Financial Planner | New York, Ny | Nov 3, 2020 | 31 y | 2 |
| M••••••• S••• T•••• | New York, Ny | Nov 13, 2020 | 19 y | 2 |
| A••• M••••• L••• | New York, Ny | Jan 12, 2022 | 14 y | 2 |
| J•••• Z•••• | New York, Ny | May 5, 2022 | 11 y | 1 |
| M•••••• A••• S•••••••••Certified Financial Planner | New York, Ny | Jun 5, 2023 | 10 y | 1 |
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 headcount1 left over 36 months
Left, latest
- J••• L•• C•••••••• to A•••••• A••••••• S•••••••Dec 11, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••• L•• C•••••••• from A•••••• A••••••• S•••••••Aug 7, 2024 · Affiliated broker-dealer or bank to independent RIA
- M•••••• A••• S••••••••• from J••• M••••• P•••••• W••••• A••••••• L••Jun 5, 2023 · Affiliated broker-dealer or bank to independent RIA
- J•••• Z•••• from J••• M••••• S••••••••• L••May 5, 2022 · Wirehouse to independent RIA
- A••• M••••• L••• from C••••••••• F•••••••• N••••••Jan 12, 2022 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 7 joined from S•••••• O• A••••• W••••• M••••••••• L••Nov 2, 2020 · New York, Ny · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• C••••••••• S•• · Membercontrolsince 09/2020 · owns less than 5%
- H•••••• C•••••• · Member And Ccocontrolsince 09/2020 · owns less than 5%
- W••••• M••••••• A•••••••• · Membercontrolsince 09/2020 · owns less than 5%
Entity owners
- F•••• O••••••••• L•• · Memberdirect · owns 75% or more
- C••• F•••••••• C••••••••• L••• · Partnerindirect · owns 25% to 50% of C••• F•••••••• H•••••••• L•••
- C••• F•••••••• H•••••••• L••• · Partnerindirect · owns 50% to 75% of F•••••••• F•• U••••••• H•••••••• L•
- C••••••• D••••••• • R••• F••• X••• L••• · Partnerindirect · owns 50% to 75% of C••• F•••••••• H•••••••• L•••
- F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of F•••••••• F•• A••••••••• L••
- F•••••••• F•• P•••••• I••• · Memberindirect · owns 75% or more of F•••••••• F•• I••••••••• H•••••••• L••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholder, Class B Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholderindirect · owns 75% or more of F•••••••• F•• P•••••• I•••
- F•••• F•••••••• P••••••• I••• · Memberindirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
- F•••• F•••••••• P•••••••• L•• · Memberindirect · owns 75% or more of F•••• O••••••••• L••
Related persons
Schedule D 7.A
- F•••• R••• S••••••••• L••real estaten
- S•••••• O• A••••• I•••••••• S•••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 10 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 30, 2026W••••• M••••••• A•••••••• (MEMBER) left Schedule A between the filings of 2023-09-29 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 3,332 to 3,504Mar 28, 2025 to Mar 30, 2026
- HNW clients · 316 to 368Mar 28, 2025 to Mar 30, 2026
- Individual clients · 507 to 523Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $205M to $214MMar 28, 2025 to Mar 30, 2026
- Employees · 21 to 20Mar 28, 2025 to Mar 30, 2026
- Other offices · 0 to 2Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.0B to $1.1BMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $894M to $1.1BMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $167M to $164MMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $60.4M to $69.5MMar 28, 2025 to Mar 30, 2026
- RAUM · $1.1B to $1.2BMar 28, 2025 to Mar 30, 2026
- Accounts · 3,242 to 3,332Sep 6, 2024 to Mar 28, 2025
- HNW clients · 307 to 316Sep 6, 2024 to Mar 28, 2025
- Individual clients · 533 to 507Sep 6, 2024 to Mar 28, 2025
- Assets in custody · $173M to $205MSep 6, 2024 to Mar 28, 2025
- Employees · 20 to 21Sep 6, 2024 to Mar 28, 2025
- Financial planning clients · 251-500 to 251-500Sep 6, 2024 to Mar 28, 2025
- State-registered IARs · 11 to 10Sep 6, 2024 to Mar 28, 2025
- Discretionary RAUM · $983M to $1.0BSep 6, 2024 to Mar 28, 2025
- HNW RAUM · $861M to $894MSep 6, 2024 to Mar 28, 2025
- Individual RAUM · $169M to $167MSep 6, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $47.6M to $60.4MSep 6, 2024 to Mar 28, 2025
- RAUM · $1.0B to $1.1BSep 6, 2024 to Mar 28, 2025
- Related insurance company · false to trueSep 6, 2024 to Mar 28, 2025
- Accounts · 3,090 to 3,242May 10, 2024 to Jul 26, 2024
- HNW clients · 280 to 307May 10, 2024 to Jul 26, 2024
- Individual clients · 517 to 533May 10, 2024 to Jul 26, 2024
- Discretionary RAUM · $888M to $983MMay 10, 2024 to Jul 26, 2024
- HNW RAUM · $758M to $861MMay 10, 2024 to Jul 26, 2024
- Individual RAUM · $174M to $169MMay 10, 2024 to Jul 26, 2024
- Non-discretionary RAUM · $44.3M to $47.6MMay 10, 2024 to Jul 26, 2024
- RAUM · $932M to $1.0BMay 10, 2024 to Jul 26, 2024
- Accounts · 3,000 to 3,090Oct 20, 2023 to Mar 27, 2024
- Advisory employees · 10 to 12Oct 20, 2023 to Mar 27, 2024
- HNW clients · 246 to 280Oct 20, 2023 to Mar 27, 2024
- Individual clients · 526 to 517Oct 20, 2023 to Mar 27, 2024
- Financial planning clients · 1-10 to 251-500Oct 20, 2023 to Mar 27, 2024
- State-registered IARs · 9 to 11Oct 20, 2023 to Mar 27, 2024
- Discretionary RAUM · $751M to $888MOct 20, 2023 to Mar 27, 2024
- HNW RAUM · $616M to $758MOct 20, 2023 to Mar 27, 2024
Signals
2 dated events
- J••• L•• C•••••••• left S•••••• O• A••••• W••••• M••••••••• for A•••••• A••••••• S••••••• (registered 2024-12-10)Dec 11, 2024 · Advisor changed firm · fact
- S•••••• O• A••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 9, 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
- Firm profile
- linkedin.com/company/seasons-of-advice-wealth-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/focus-financial-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-977-3111reportedpublic record, Form ADV, Mar 30, 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
- $122Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026