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
A•••••• W•••••• L••
Latest filing Sep 14, 2026
First filing on the tape Sep 18, 2020 · 20 filings
SEC status approved since Dec 17, 2020
RAUM
$287M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$280M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$47.8M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$287M as of Feb 6, 2026
Mar 28, 2021$107M then
HNW client RAUM$137M as of Feb 6, 2026
Mar 28, 2021$48.1M then
State-registered IARs (5.B.3)6 as of Feb 6, 2026
Mar 28, 20214 then
Employees (5.A)8 as of Feb 6, 2026
Mar 28, 20217 then
Private funds: no history
RAUM +22% over the last fiscal year+18% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Sep 14, 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
- RAUM per advisor
- $47.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 188derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $252,526derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $116M, 606 clientsreportedItem 9.A
- 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)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$143M50%
- High-net-worth individuals$137M48%
- Pension and profit-sharing plans$4.0M1.4%
- Charitable organizations$3.0M1.0%
- Individual clients
- 1,035reported
- HNW clients
- 91reported
- Pension plan clients
- 5reported
- Charitable clients
- 5reported
- Accounts
- 1,136reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $116M for 606 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• S••••• J••••••Certified Financial Planner | Essex, Ct | Jan 6, 2021 | 10 y | 2 |
| S••••• J••• J•••••• | Essex, Ct | Jan 11, 2021 | 32 y | 3 |
| L••••• A•• T•••••••• | Essex, Ct | Feb 5, 2021 | 39 y | 2 |
| P••••• B••••• R••••••• | Essex, Ct | Feb 5, 2021 | 38 y | 2 |
| B•••• D••• M••••• | Essex, Ct | Nov 19, 2021 | 31 y | 2 |
| S•••••• G•••••• J••••• | Essex, Ct | Sep 13, 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- S•••••• G•••••• J••••• from F•••••••• R•••••••• G••••• L••Sep 13, 2023 · Other
- B•••• D••• M••••• from W•••• F•••• A•••••••Nov 19, 2021 · Wirehouse to independent RIA
- L••••• A•• T•••••••• from W•••• F•••• A•••••••Feb 5, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- P••••• B••••• R••••••• from W•••• F•••• A•••••••Feb 5, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S••••• J••• J•••••• from A•••••• W••••• M•••••••••Jan 11, 2021 · Other
- M•••••• S••••• J•••••• from A•••••• W••••• M•••••••••Jan 6, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from A•••••• W••••• M•••••••••Mar 24, 2021 · Boston, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• M••••••• S••••• · Owner/Managing Membercontrolsince 01/2019 · owns 25% to 50%
- J••••••• S•••••• J••• · Owner/Managing Member/Ccocontrolsince 01/2019 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Essex, Ct · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100Feb 6, 2026 to Sep 14, 2026
- Related adviser · false to unsetFeb 6, 2026 to Sep 14, 2026
- Related bank · false to unsetFeb 6, 2026 to Sep 14, 2026
- Related broker-dealer · false to unsetFeb 6, 2026 to Sep 14, 2026
- Related insurance company · false to unsetFeb 6, 2026 to Sep 14, 2026
- Succession · false to unsetFeb 6, 2026 to Sep 14, 2026
- Accounts · 1,055 to 1,136Apr 22, 2025 to Feb 6, 2026
- HNW clients · 50 to 91Apr 22, 2025 to Feb 6, 2026
- Individual clients · 1,005 to 1,035Apr 22, 2025 to Feb 6, 2026
- Assets in custody · $91.5M to $116MApr 22, 2025 to Feb 6, 2026
- Discretionary RAUM · $235M to $287MApr 22, 2025 to Feb 6, 2026
- HNW RAUM · $99.7M to $137MApr 22, 2025 to Feb 6, 2026
- Individual RAUM · $131M to $143MApr 22, 2025 to Feb 6, 2026
- Pension RAUM · $2.4M to $4.0MApr 22, 2025 to Feb 6, 2026
- RAUM · $235M to $287MApr 22, 2025 to Feb 6, 2026
- Accounts · 969 to 1,055Dec 2, 2024 to Apr 22, 2025
- Charity clients · 0 to 5Dec 2, 2024 to Apr 22, 2025
- HNW clients · 189 to 50Dec 2, 2024 to Apr 22, 2025
- Individual clients · 466 to 1,005Dec 2, 2024 to Apr 22, 2025
- Pension plan clients · 0 to 5Dec 2, 2024 to Apr 22, 2025
- Pooled vehicle clients · 14 to 0Dec 2, 2024 to Apr 22, 2025
- Assets in custody · $35.7M to $91.5MDec 2, 2024 to Apr 22, 2025
- Financial planning clients · 51-100 to 51-100Dec 2, 2024 to Apr 22, 2025
- Discretionary RAUM · $133M to $235MDec 2, 2024 to Apr 22, 2025
- HNW RAUM · $40.8M to $99.7MDec 2, 2024 to Apr 22, 2025
- Individual RAUM · $100M to $131MDec 2, 2024 to Apr 22, 2025
- Non-discretionary RAUM · $76.4M to $0Dec 2, 2024 to Apr 22, 2025
- Pension RAUM · $0 to $2.4MDec 2, 2024 to Apr 22, 2025
- Pooled vehicle RAUM · $3.1M to $0Dec 2, 2024 to Apr 22, 2025
- RAUM · $209M to $235MDec 2, 2024 to Apr 22, 2025
- Accounts · 816 to 969Dec 7, 2023 to Feb 1, 2024
- Advisory employees · 5 to 6Dec 7, 2023 to Feb 1, 2024
- HNW clients · 154 to 189Dec 7, 2023 to Feb 1, 2024
- Individual clients · 394 to 466Dec 7, 2023 to Feb 1, 2024
- Pooled vehicle clients · 13 to 14Dec 7, 2023 to Feb 1, 2024
- Assets in custody · $97.1M to $35.7MDec 7, 2023 to Feb 1, 2024
- Employees · 7 to 8Dec 7, 2023 to Feb 1, 2024
- Financial planning clients · 26-50 to 51-100Dec 7, 2023 to Feb 1, 2024
- State-registered IARs · 5 to 6Dec 7, 2023 to Feb 1, 2024
- Discretionary RAUM · $111M to $133MDec 7, 2023 to Feb 1, 2024
Signals
3 dated events
- R•••• L••••••• (Ceo) no longer on Schedule A of A•••••• W•••••• L•• (listed 2024-02-01, absent 2024-07-16)Jul 16, 2024 · Control person left · inference
- P••••• Yao (President) no longer on Schedule A of A•••••• W•••••• L•• (listed 2024-02-01, absent 2024-07-16)Jul 16, 2024 · Control person left · inference
- A•••••• W•••••• L•• filed its initial SEC registration (Form ADV)Sep 18, 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
- sarah.schweitzer@alchemiwealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 860-767-7500reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/alchemi-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- alchemiwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (860) 767-7500reportedpublic record, Form ADV, Sep 14, 2026
- Contact form
- alchemiwealth.com/contactreportedpublished 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
- $47.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026