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
1••• A•••••••• L••
Latest filing Jan 30, 2026
First filing on the tape Mar 12, 2021 · 15 filings
SEC status approved since Apr 12, 2021
RAUM
$106M
reported, Item 5.F
Discretionary
65%
of RAUM
Private clients
100%
$106M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$106M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$106M as of Jan 30, 2026
Feb 16, 2022$69.0M then
HNW client RAUM$98.0M as of Jan 30, 2026
Feb 16, 2022$63.2M then
State-registered IARs (5.B.3)1 as of Jan 30, 2026
Feb 16, 20221 then
Employees (5.A)1 as of Jan 30, 2026
Feb 16, 20221 then
Private funds: no history
RAUM +2.8% over the last fiscal year+8.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 65%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -21%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$98.0M92%
- Individuals$8.2M7.7%
- Individual clients
- 12reported
- HNW clients
- 18reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 78reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• S••••• | Pound Ridge, Ny | May 9, 2021 | 29 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
- A•••••• S••••• from J••• M••••• S••••••••• L••May 9, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• A•••••• · Managing Member, Managing Director / Chief Compliance Officercontrolsince 04/2021 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 94 to 78Aug 1, 2025 to Jan 30, 2026
- HNW clients · 25 to 18Aug 1, 2025 to Jan 30, 2026
- Individual clients · 13 to 12Aug 1, 2025 to Jan 30, 2026
- Discretionary RAUM · $70.3M to $68.5MAug 1, 2025 to Jan 30, 2026
- Individual RAUM · $5.0M to $8.2MAug 1, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $33.0M to $37.7MAug 1, 2025 to Jan 30, 2026
- RAUM · $103M to $106MAug 1, 2025 to Jan 30, 2026
- Financial planning clients · 0 to 0May 29, 2025 to Aug 1, 2025
- Accounts · 99 to 94Nov 15, 2024 to Jan 23, 2025
- HNW clients · 18 to 25Nov 15, 2024 to Jan 23, 2025
- Discretionary RAUM · $62.0M to $70.3MNov 15, 2024 to Jan 23, 2025
- HNW RAUM · $83.0M to $98.0MNov 15, 2024 to Jan 23, 2025
- Individual RAUM · $4.0M to $5.0MNov 15, 2024 to Jan 23, 2025
- Non-discretionary RAUM · $26.0M to $33.0MNov 15, 2024 to Jan 23, 2025
- RAUM · $88.0M to $103MNov 15, 2024 to Jan 23, 2025
- Accounts · 94 to 99Feb 10, 2023 to Jan 23, 2024
- Individual clients · 12 to 13Feb 10, 2023 to Jan 23, 2024
- Discretionary RAUM · $58.0M to $62.0MFeb 10, 2023 to Jan 23, 2024
- HNW RAUM · $79.1M to $83.0MFeb 10, 2023 to Jan 23, 2024
- Individual RAUM · $3.9M to $4.0MFeb 10, 2023 to Jan 23, 2024
- Non-discretionary RAUM · $25.0M to $26.0MFeb 10, 2023 to Jan 23, 2024
- RAUM · $83.0M to $88.0MFeb 10, 2023 to Jan 23, 2024
- Accounts · 85 to 94Mar 1, 2022 to Feb 10, 2023
- HNW clients · 22 to 18Mar 1, 2022 to Feb 10, 2023
- Individual clients · 16 to 12Mar 1, 2022 to Feb 10, 2023
- Discretionary RAUM · $47.0M to $58.0MMar 1, 2022 to Feb 10, 2023
- HNW RAUM · $63.2M to $79.1MMar 1, 2022 to Feb 10, 2023
- Individual RAUM · $5.8M to $3.9MMar 1, 2022 to Feb 10, 2023
- Non-discretionary RAUM · $22.0M to $25.0MMar 1, 2022 to Feb 10, 2023
- RAUM · $69.0M to $83.0MMar 1, 2022 to Feb 10, 2023
- Accounts · 67 to 85Jul 12, 2021 to Feb 16, 2022
- Advisory activities · 1 to 2Jul 12, 2021 to Feb 16, 2022
- HNW clients · 12 to 22Jul 12, 2021 to Feb 16, 2022
- Individual clients · 7 to 16Jul 12, 2021 to Feb 16, 2022
- Financial planning clients · unset to 0Jul 12, 2021 to Feb 16, 2022
- Discretionary RAUM · $18.5M to $47.0MJul 12, 2021 to Feb 16, 2022
- HNW RAUM · $36.7M to $63.2MJul 12, 2021 to Feb 16, 2022
- Individual RAUM · $3.3M to $5.8MJul 12, 2021 to Feb 16, 2022
- Non-discretionary RAUM · $21.5M to $22.0MJul 12, 2021 to Feb 16, 2022
- RAUM · $40.0M to $69.0MJul 12, 2021 to Feb 16, 2022
Signals
3 dated events
- A•••••• S••••• (Managing Member, Managing Director / Chief Compliance Officer) appeared on Schedule A of 1••• A•••••••• L••May 7, 2021 · Control person joined · fact
- Edward Christopher Winn (Chief Compliance Officer) no longer on Schedule A of 1••• A•••••••• L•• (listed 2021-03-12, absent 2021-05-07)May 7, 2021 · Control person left · inference
- 1••• C•••••• L•• filed its initial SEC registration (Form ADV)Mar 12, 2021 · 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
- Principal office phone
- (917) 692-1095reportedpublic record, Form ADV, Jan 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
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026