DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A•••• A•••••••
Legal name A•••• A••••••• L••
Latest filing Aug 3, 2026
First filing on the tape Aug 8, 2024 · 5 filings
SEC status approved since Sep 6, 2024
RAUM
$185M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$185M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$92.7M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$185M as of Aug 3, 2026
Feb 6, 2025$122M then
HNW client RAUM$185M as of Aug 3, 2026
Feb 6, 2025$122M then
State-registered IARs (5.B.3)2 as of Aug 3, 2026
Feb 6, 20252 then
Employees (5.A)3 as of Aug 3, 2026
Feb 6, 20253 then
Private funds: 1
RAUM +51% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Aug 3, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $92.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +51%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$185M100%
- Individual clients
- n/areported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 132reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- 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=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• G•••Chartered Financial Analyst | Jersey City, Nj | Feb 26, 2021 | 10 y | 0 |
| J•• M• P••••Chartered Financial Analyst | Jersey City, Nj | Oct 9, 2024 | 10 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• A•••• · Founder & Chief Investment Officercontrolsince 11/2020 · owns 75% or more
- T•••••• K•••• · Chief Finanical Officer, Chief Operating Officer & Chief Compliance Officersince 10/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Jersey City, Nj · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 3, 2026advises private funds (Item 7.B): no on the filing of 2026-03-05, yes on the filing of 2026-08-03peers: independent wealth managers, $100M to $500M (5,678)
- RAUM up 50 %Change between filings · filing Mar 5, 2026RAUM (Item 5.F) moved from $122,361,770 to $185,356,924 (+51.0%) between the annual amendments of 2025-02-06 and 2026-03-05; the peer median change was +15.0% (4548 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,548) · 96% percentile
What changed
consecutive filings, newest first
- Private funds · unset to 1Mar 5, 2026 to Aug 3, 2026
- Accounts · 95 to 132May 19, 2025 to Mar 5, 2026
- HNW clients · 42 to 55May 19, 2025 to Mar 5, 2026
- Assets in custody · 9187068.0 to unsetMay 19, 2025 to Mar 5, 2026
- Custody of client assets · true to falseMay 19, 2025 to Mar 5, 2026
- Discretionary RAUM · $119M to $183MMay 19, 2025 to Mar 5, 2026
- HNW RAUM · $122M to $185MMay 19, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $3.3M to $2.6MMay 19, 2025 to Mar 5, 2026
- RAUM · $122M to $185MMay 19, 2025 to Mar 5, 2026
- Financial planning clients · 0 to 0Feb 6, 2025 to May 19, 2025
- Accounts · 84 to 95Aug 8, 2024 to Feb 6, 2025
- BD registered reps · 1 to 0Aug 8, 2024 to Feb 6, 2025
- HNW clients · 21 to 42Aug 8, 2024 to Feb 6, 2025
- Financial planning clients · 11-25 to 0Aug 8, 2024 to Feb 6, 2025
- State-registered IARs · 1 to 2Aug 8, 2024 to Feb 6, 2025
- Discretionary RAUM · $111M to $119MAug 8, 2024 to Feb 6, 2025
- HNW RAUM · $111M to $122MAug 8, 2024 to Feb 6, 2025
- Non-discretionary RAUM · $0 to $3.3MAug 8, 2024 to Feb 6, 2025
- RAUM · $111M to $122MAug 8, 2024 to Feb 6, 2025
Signals
1 dated events
- A•••• A••••••• filed its initial SEC registration (Form ADV)Aug 8, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••• A••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 412-908-0844reportedpublic record, Form ADV, Aug 3, 2026
- Team page
- a•••••••••.comreportedpublished 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
- $92.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026