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.

Former SEC-registered adviser

Stavis & Cohen Private Wealth, LLC

Former SEC-registered adviserHouston, TexasCRD 312366SEC 801-120239IAPD
Latest filing Mar 1, 2023
First filing on the tape Dec 26, 2020 · 12 filings
RAUM
$754M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
100%
$754M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$754M as of Mar 16, 2022
Mar 10, 2021$665M then
HNW client RAUM$704M as of Mar 16, 2022
Mar 10, 2021$620M then
State-registered IARs (5.B.3)14 as of Mar 16, 2022
Mar 10, 202113 then
Employees (5.A)23 as of Mar 16, 2022
Mar 10, 202119 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 13 to 14
Practice profile
derived from the filing of Mar 1, 2023; every figure names its basis
RAUM per advisor
$53.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
20derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.0MderivedHNW RAUM over HNW clients
Average account
$641,554derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
14.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+7.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.1%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$704M93%
  • Individuals$49.4M6.5%
Individual clients
139reported
HNW clients
142reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1,175reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Edward Harry Cohen · Chief Investment Officercontrol
    since 08/2009 · owns less than 5%
  • Michael Duane Hirsch · Lead Advisorcontrol
    since 02/2010 · owns less than 5%
  • Anne Allison Lyons · Lead Advisor And Svp Of Advisory Servicecontrol
    since 02/2010 · owns less than 5%
  • Triston Larry Nakamura · Chief Compliance Officercontrol
    since 10/2022 · owns less than 5%
  • Mccully Deborah Stavis · Chief Executive Officer/Managing Membercontrol
    since 08/2009 · owns less than 5%
  • James Kyle Mccully · Chief Business Development Officer
    since 01/2019 · owns less than 5%
Entity owners
  • Ci Private Wealth, LLC · Owner
    direct · owns 75% or more
  • Ci Financial Corp. · Owner
    indirect · owns 75% or more of Ci US Holdings, Inc.
  • Ci US Holdings, Inc. · Owner
    indirect · owns 75% or more of Cipw Holdings, LLC
  • Ci US, LLC · Owner
    indirect · owns 75% or more of Cipw Holdings, LLC
  • Cipw Holdings, LLC · Owner
    indirect · owns 75% or more of Ci Private Wealth, LLC
Related persons
Schedule D 7.A
  • Corient
    investment adviseryRAUM $165B
  • Stavis & Cohen Private Wealth LLC
    investment advisern
Advisers that list Stavis & Cohen Private Wealth, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,092 to 1,175
    Jan 2, 2022 to Mar 16, 2022
  • Advisory employees · 9 to 8
    Jan 2, 2022 to Mar 16, 2022
  • BD registered reps · 9 to 8
    Jan 2, 2022 to Mar 16, 2022
  • HNW clients · 127 to 142
    Jan 2, 2022 to Mar 16, 2022
  • Individual clients · 143 to 139
    Jan 2, 2022 to Mar 16, 2022
  • Employees · 19 to 23
    Jan 2, 2022 to Mar 16, 2022
  • State-registered IARs · 13 to 14
    Jan 2, 2022 to Mar 16, 2022
  • Discretionary RAUM · $602M to $680M
    Jan 2, 2022 to Mar 16, 2022
  • HNW RAUM · $620M to $704M
    Jan 2, 2022 to Mar 16, 2022
  • Individual RAUM · $45.2M to $49.4M
    Jan 2, 2022 to Mar 16, 2022
  • Non-discretionary RAUM · $63.3M to $74.0M
    Jan 2, 2022 to Mar 16, 2022
  • RAUM · $665M to $754M
    Jan 2, 2022 to Mar 16, 2022
  • Accounts · 992 to 1,092
    Feb 15, 2021 to Mar 10, 2021
  • Advisory employees · 10 to 9
    Feb 15, 2021 to Mar 10, 2021
  • BD registered reps · 7 to 9
    Feb 15, 2021 to Mar 10, 2021
  • HNW clients · 113 to 127
    Feb 15, 2021 to Mar 10, 2021
  • Individual clients · 145 to 143
    Feb 15, 2021 to Mar 10, 2021
  • Employees · 17 to 19
    Feb 15, 2021 to Mar 10, 2021
  • State-registered IARs · 12 to 13
    Feb 15, 2021 to Mar 10, 2021
  • Discretionary RAUM · $529M to $602M
    Feb 15, 2021 to Mar 10, 2021
  • HNW RAUM · $585M to $620M
    Feb 15, 2021 to Mar 10, 2021
  • Individual RAUM · $42.0M to $45.2M
    Feb 15, 2021 to Mar 10, 2021
  • Non-discretionary RAUM · $98.4M to $63.3M
    Feb 15, 2021 to Mar 10, 2021
  • RAUM · $627M to $665M
    Feb 15, 2021 to Mar 10, 2021
  • Succession · true to false
    Dec 26, 2020 to Jan 19, 2021
Signals
13 dated events
  • Jun Gu left Stavis & Cohen Private Wealth, Llc for Corient (registered 2023-01-31)
    Mar 31, 2023 · Advisor changed firm · fact
  • Tyler Garrett Leal left Stavis & Cohen Private Wealth, Llc for Corient (registered 2023-01-31)
    Mar 31, 2023 · Advisor changed firm · fact
  • Duane Michael Hirsch left Stavis & Cohen Private Wealth, Llc for Corient (registered 2023-02-22)
    Mar 31, 2023 · Advisor changed firm · fact
  • Yonghui Huang left Stavis & Cohen Private Wealth, Llc for Corient (registered 2023-01-31)
    Mar 31, 2023 · Advisor changed firm · fact
  • Deborah Stavis left Stavis & Cohen Private Wealth, Llc for Corient (registered 2023-01-31)
    Mar 31, 2023 · Advisor changed firm · fact
  • Sital Rahman left Stavis & Cohen Private Wealth, Llc for Corient (registered 2023-01-31)
    Mar 31, 2023 · Advisor changed firm · fact
  • Allison Anne Lyons left Stavis & Cohen Private Wealth, Llc for Corient (registered 2023-01-31)
    Mar 31, 2023 · Advisor changed firm · fact
  • Kayla Alexandra Tolunay left Stavis & Cohen Private Wealth, Llc for Corient (registered 2023-01-31)
    Mar 31, 2023 · Advisor changed firm · fact
  • Stavis & Cohen Private Wealth, LLC's advisors moved to Corient (Houston, TX): 8 of 8 registered, on the same day
    Mar 31, 2023 · Firm absorbed (people side) · derived
  • Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of Stavis & Cohen Private Wealth, Llc
    Feb 28, 2023 · Control person joined · fact
  • Shala L Walker left Stavis & Cohen Private Wealth, Llc for Mar Vista Investment Partners, Llc (registered 2023-02-09)
    Jan 18, 2023 · Advisor changed firm · fact
  • Stavis & Cohen Private Wealth, Llc filed its initial SEC registration (Form ADV)
    Dec 26, 2020 · First SEC registration · fact
  • Stavis & Cohen Private Wealth, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Dec 26, 2020 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026