DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A••••• I••••• L••
Latest filing Aug 6, 2026
First filing on the tape Apr 1, 2021 · 26 filings
SEC status approved since May 4, 2021
RAUM
$320M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
7.5%
$23.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$160M
derived; firm RAUM over IAPD count
Employees
21
21 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$320M as of Aug 6, 2026
Mar 31, 2022$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 6, 2026
Mar 31, 20220 then
Employees (5.A)21 as of Aug 6, 2026
Mar 31, 20228 then
Private funds: no history
RAUM -31% over the last fiscal year-8.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $160MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $30,249derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 64%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $320MreportedItem 5.I
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$205M64%
- Corporations and businesses$90.5M28%
- Individuals$23.8M7.5%
- Individual clients
- 10,068reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 10,563reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.07 fund_share=0.0 institutional_share=0.64 related_bd=true related_bank=false bd_reps=8.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L• L••Chartered Financial Analyst | Vienna, Va | Oct 11, 2024 | 10 y | 0 |
| A•••• A•••••Chartered Financial Analyst | New York, Ny | Aug 12, 2026 | 11 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
- D••••• D••••• N••••• · Chief Executive Officercontrolsince 02/2021 · owns less than 5%
- M••••••••• C••••••••• A•• · Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
- D••••• D••••• N••••• · Membercontrolsince 02/2021 · owns 25% to 50% of A••••••••• I•••
Entity owners
- A••••• G•••• L•• · Memberdirect · owns 50% to 75%
- A••••••••• I••• · Memberdirect · owns 50% to 75%
- A••••••••• I••• · Sole Managerindirect · owns 75% or more of A••••• G•••• L••
Related persons
Schedule D 7.A
- A••••• B•••••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 27, 2026discretionary share of RAUM moved from 49.0% to 100.0% between the annual amendments of 2025-03-31 and 2026-04-27peers: other advisers, $100M to $500M (212)
- RAUM down 25 %Change between filings · filing Apr 27, 2026RAUM (Item 5.F) moved from $462,905,657 to $319,519,697 (-31.0%) between the annual amendments of 2025-03-31 and 2026-04-27; the peer median change was +8.0% (161 comparable advisers, 7.0th percentile of changes)peers: other advisers, $100M to $500M (161) · 6.9% percentile
What changed
consecutive filings, newest first
- Accounts · 6,181 to 10,563Feb 9, 2026 to Mar 31, 2026
- Advisory employees · 18 to 21Feb 9, 2026 to Mar 31, 2026
- BD registered reps · 9 to 8Feb 9, 2026 to Mar 31, 2026
- Charity clients · 8 to 2Feb 9, 2026 to Mar 31, 2026
- Corporate clients · 1,298 to 493Feb 9, 2026 to Mar 31, 2026
- Individual clients · 4,872 to 10,068Feb 9, 2026 to Mar 31, 2026
- Employees · 18 to 21Feb 9, 2026 to Mar 31, 2026
- Discretionary RAUM · $227M to $320MFeb 9, 2026 to Mar 31, 2026
- Individual RAUM · $15.9M to $23.8MFeb 9, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $236M to $355Feb 9, 2026 to Mar 31, 2026
- RAUM · $463M to $320MFeb 9, 2026 to Mar 31, 2026
- Accounts · 2,483 to 6,181Jan 2, 2025 to Mar 31, 2025
- Advisory employees · 19 to 18Jan 2, 2025 to Mar 31, 2025
- BD registered reps · 7 to 9Jan 2, 2025 to Mar 31, 2025
- Charity clients · 11 to 8Jan 2, 2025 to Mar 31, 2025
- Corporate clients · 1,207 to 1,298Jan 2, 2025 to Mar 31, 2025
- Individual clients · 1,259 to 4,872Jan 2, 2025 to Mar 31, 2025
- Employees · 20 to 18Jan 2, 2025 to Mar 31, 2025
- Financial planning clients · unset to Jan 2, 2025 to Mar 31, 2025
- State-registered IARs · 0 to 1Jan 2, 2025 to Mar 31, 2025
- Discretionary RAUM · $272M to $227MJan 2, 2025 to Mar 31, 2025
- Individual RAUM · $8.0M to $15.9MJan 2, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $1.3B to $236MJan 2, 2025 to Mar 31, 2025
- RAUM · $1.5B to $463MJan 2, 2025 to Mar 31, 2025
- Accounts · 642 to 2,483Jan 18, 2024 to Mar 31, 2024
- Advisory employees · 8 to 19Jan 18, 2024 to Mar 31, 2024
- BD registered reps · 6 to 7Jan 18, 2024 to Mar 31, 2024
- Charity clients · 3 to 11Jan 18, 2024 to Mar 31, 2024
- Corporate clients · 366 to 1,207Jan 18, 2024 to Mar 31, 2024
- Individual clients · 268 to 1,259Jan 18, 2024 to Mar 31, 2024
- Employees · 8 to 20Jan 18, 2024 to Mar 31, 2024
- Discretionary RAUM · $8.7M to $272MJan 18, 2024 to Mar 31, 2024
- Individual RAUM · $8.7M to $8.0MJan 18, 2024 to Mar 31, 2024
- Non-discretionary RAUM · $1.3B to $1.3BJan 18, 2024 to Mar 31, 2024
- RAUM · $1.4B to $1.5BJan 18, 2024 to Mar 31, 2024
- Advisory employees · 4 to 8Jun 23, 2023 to Jul 24, 2023
- BD registered reps · 0 to 6Jun 23, 2023 to Jul 24, 2023
- Business name · H••••• L•• to A••••• I••••• L••Jun 23, 2023 to Jul 24, 2023
- Legal name · H••••• ADVISORS LLC to A••••• I••••• L••Jun 23, 2023 to Jul 24, 2023
- Accounts · 231 to 642Feb 10, 2023 to Jun 23, 2023
Signals
9 dated events
- A••••• I••••• L•• reported RAUM $319.5M, down 31% from $462.9M (2026-02-09 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- A••••• I••••• L•• reported RAUM $462.9M, down 70% from $1.5B (2025-01-02 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- A••••• I••••• L•• reported RAUM $1.4B, up 223% from $419.0M (2023-02-10 to 2023-06-23)Jun 23, 2023 · RAUM change · derived
- Ann Catherine Makstenieks (Chief Compliance Officer) appeared on Schedule A of A••••• I••••• L••Jun 23, 2023 · Control person joined · fact
- Mitchell Jeffrey Press (Chief Compliance Officer) no longer on Schedule A of A••••• I••••• L•• (listed 2023-02-10, absent 2023-06-23)Jun 23, 2023 · Control person left · inference
- Mitchell Jeffrey Press (Chief Compliance Officer) appeared on Schedule A of A••••• I••••• L••Jan 5, 2023 · Control person joined · fact
- D••••• T••••• S••••••• (Chief Compliance Officer) no longer on Schedule A of A••••• I••••• L•• (listed 2022-03-31, absent 2023-01-05)Jan 5, 2023 · Control person left · inference
- D••••• T••••• S••••••• (Chief Compliance Officer) appeared on Schedule A of A••••• I••••• L••Nov 23, 2021 · Control person joined · fact
- H••••• L•• filed its initial SEC registration (Form ADV)Apr 1, 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
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-419-5036reportedpublic record, Form ADV, Aug 6, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $160Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026