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
W••••••••• A•••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jan 8, 2021 · 18 filings
SEC status approved since Apr 21, 2021
RAUM
$384M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.8%
$3.2M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
65
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$384M as of Mar 26, 2026
Mar 30, 2022$238M then
HNW client RAUM$3.2M as of Mar 26, 2026
Mar 31, 2023$2.9M then
State-registered IARs (5.B.3)1 as of Mar 26, 2026
Mar 30, 20221 then
Employees (5.A)4 as of Mar 26, 2026
Mar 30, 20223 then
Private funds65 as of Mar 26, 2026
Mar 30, 202214 then
RAUM +31% over the last fiscal year+5.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- RAUM per advisor
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $644,437derivedHNW RAUM over HNW clients
- Average account
- $5.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $381M, 65 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$381M99%
- High-net-worth individuals$3.2M0.8%
- Individual clients
- 0reported
- HNW clients
- 5reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 70reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $381M for 65 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.99 institutional_share=0.0 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••• S••• K•••••• | New York City, Ny | Jan 19, 2022 | 32 y | 0 |
| D••••• W•••••• | New York , Ny | May 22, 2026 | 10 y | 0 |
| A•••• R••• | Hauppauge, Ny | Jul 22, 2026 | 22 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A•••• R••• from F•••• A••••••• A•••• A•••••••• L••Jul 22, 2026 · Other
Private funds
15 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• T••••••••• S••••• F••• X• L••no longer reported | Private Equity Fund | $37.9M | 98 | Aug 19, 2021 |
| A••••••• T••••••••• S••••• F••• X•• L•• | Private Equity Fund | $36.3M | 246 | Mar 30, 2022 |
| A••••••• T••••••••• S••••• F••• X•• L•• | Private Equity Fund | $34.6M | 97 | Aug 19, 2021 |
| A••••••• T••••••••• S••••• F••• X••• L•• | Private Equity Fund | $32.8M | 219 | Mar 30, 2022 |
| A••••••• T••••••••• S••••• F••• X• L•• | Private Equity Fund | $32.0M | 240 | Mar 30, 2022 |
| A••••••• T••••••••• S••••• F••• X• L•• | Private Equity Fund | $30.8M | 83 | Mar 30, 2022 |
| A••••••• T••••••••• S••••• F••• X•••• L•• | Private Equity Fund | $30.3M | 266 | Aug 19, 2021 |
| A••••••• T••••••••• S••••• F••• X••• L•• | Private Equity Fund | $29.5M | 219 | Mar 30, 2022 |
| A••••••• T••••••••• S••••• F••• X•••• L•• | Private Equity Fund | $25.4M | 185 | Mar 30, 2022 |
| A••••••• T••••••••• S••••• F••• X• L•• | Private Equity Fund | $16.7M | 98 | Aug 19, 2021 |
| A••••••• T••••••••• S••••• F••• X•• L•• | Private Equity Fund | $16.1M | 80 | Aug 19, 2021 |
| A••••••• T••••••••• S••••• F••• X•• L•• | Private Equity Fund | $15.5M | 99 | Aug 19, 2021 |
| A••••••• T••••••••• S••••• F••• X• L•• | Private Equity Fund | $15.4M | 93 | Aug 19, 2021 |
| A••••••• T••••••••• S••••• F••• X••• L•• | Private Equity Fund | $8.5M | 62 | Aug 19, 2021 |
| A••••••• I••••• F••• I• L•• | Private Equity Fund | $5.7M | 28 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C•••• K•••• · Chief Executive Officer And Chief Compliance Officercontrolsince 11/2020 · owns 75% or more
Related persons
Schedule D 7.A
- J•• A•••• M••••••••• L••investment adviserpooled vehicle sponsory
- J••• M••••••••• L••investment advisern
- K••• M••••••••• L••investment adviserpooled vehicle sponsory
- P•• F••••••••• I•••broker-dealery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Lauderdale, Fl · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- many private funds relative to firm sizeStatic outlier · filing Mar 26, 2026private funds per $1B of RAUM of 169.2 against a peer median of 20.7 (712 comparable advisers, 99.0th percentile, 11.4 robust deviations)peers: asset managers, $100M to $500M (712) · 99% percentile
- private fund count surgeChange between filings · filing Mar 26, 2026private funds (Schedule D 7.B.1) moved from 13.0 to 65.0 (+400.0%) between the annual amendments of 2025-03-26 and 2026-03-26; the peer median change was 0.0% (735 comparable advisers, 100.0th percentile of changes)peers: asset managers, $100M to $500M (735) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 66 to 70Feb 19, 2026 to Mar 26, 2026
- BD registered reps · 5 to 4Feb 19, 2026 to Mar 26, 2026
- Pooled vehicle clients · 61 to 65Feb 19, 2026 to Mar 26, 2026
- Assets in custody · $257M to $381MFeb 19, 2026 to Mar 26, 2026
- Employees · 5 to 4Feb 19, 2026 to Mar 26, 2026
- Private funds · 61 to 65Feb 19, 2026 to Mar 26, 2026
- Discretionary RAUM · $260M to $384MFeb 19, 2026 to Mar 26, 2026
- HNW RAUM · $3.1M to $3.2MFeb 19, 2026 to Mar 26, 2026
- Pooled vehicle RAUM · $257M to $381MFeb 19, 2026 to Mar 26, 2026
- RAUM · $260M to $384MFeb 19, 2026 to Mar 26, 2026
- Financial planning clients · unset to May 30, 2025 to Jun 6, 2025
- Accounts · 54 to 66Mar 26, 2025 to May 30, 2025
- BD registered reps · 3 to 5Mar 26, 2025 to May 30, 2025
- Pooled vehicle clients · 49 to 61Mar 26, 2025 to May 30, 2025
- Assets in custody · $290M to $257MMar 26, 2025 to May 30, 2025
- Employees · 3 to 5Mar 26, 2025 to May 30, 2025
- Private funds · 13 to 61Mar 26, 2025 to May 30, 2025
- Discretionary RAUM · $294M to $260MMar 26, 2025 to May 30, 2025
- Pooled vehicle RAUM · $290M to $257MMar 26, 2025 to May 30, 2025
- RAUM · $294M to $260MMar 26, 2025 to May 30, 2025
- Accounts · 70 to 54Mar 27, 2024 to Mar 26, 2025
- Pooled vehicle clients · 59 to 49Mar 27, 2024 to Mar 26, 2025
- Assets in custody · $330M to $290MMar 27, 2024 to Mar 26, 2025
- Private funds · 14 to 13Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $332M to $294MMar 27, 2024 to Mar 26, 2025
- HNW RAUM · $2.9M to $3.1MMar 27, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $330M to $290MMar 27, 2024 to Mar 26, 2025
- RAUM · $332M to $294MMar 27, 2024 to Mar 26, 2025
- Accounts · 67 to 70Jun 2, 2023 to Mar 27, 2024
- Individual clients · unset to 0.0Jun 2, 2023 to Mar 27, 2024
- Assets in custody · $320M to $330MJun 2, 2023 to Mar 27, 2024
- Discretionary RAUM · $318M to $332MJun 2, 2023 to Mar 27, 2024
- HNW RAUM · $2.9M to $2.9MJun 2, 2023 to Mar 27, 2024
- Individual RAUM · $484,499 to $0Jun 2, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $315M to $330MJun 2, 2023 to Mar 27, 2024
- RAUM · $318M to $332MJun 2, 2023 to Mar 27, 2024
- Discretionary RAUM · $323M to $318MMar 31, 2023 to Apr 28, 2023
- Pooled vehicle RAUM · $320M to $315MMar 31, 2023 to Apr 28, 2023
- RAUM · $323M to $318MMar 31, 2023 to Apr 28, 2023
- Accounts · 68 to 67Jun 1, 2022 to Mar 31, 2023
Signals
2 dated events
- W••••••••• A•••• M••••••••• L•• reported RAUM $384.1M, up 48% from $260.3M (2026-02-19 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- W••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 8, 2021 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
- W••••••••• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- W••••••••• A•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 516-305-9438reportedpublic record, Form ADV, Mar 26, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026