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
S•••• G•••• A•••• M••••••••• L••
Latest filing Jul 10, 2026
First filing on the tape Mar 12, 2021 · 22 filings
SEC status approved since May 5, 2021
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
55%
$782M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$235M
derived; firm RAUM over IAPD count
Employees
14
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.4B as of Jul 10, 2026
Mar 30, 2022$2.3B then
HNW client RAUM$782M as of Jul 10, 2026
Mar 30, 2022$190M then
State-registered IARs (5.B.3)6 as of Jul 10, 2026
Mar 30, 20229 then
Employees (5.A)14 as of Jul 10, 2026
Mar 30, 202216 then
Private funds1 as of Mar 29, 2023
Mar 30, 20221 then
RAUM -18% over the last fiscal year-7.6% a year over threeIARs 8 to 6
Practice profile
derived from the filing of Jul 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $235MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 383derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $340,309derivedHNW RAUM over HNW clients
- Average account
- $607,873derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 39%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +55%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$782M55%
- State and municipal entities$230M16%
- Charitable organizations$182M13%
- Pension and profit-sharing plans$137M9.7%
- Investment companies$39.4M2.8%
- Corporations and businesses$39.3M2.8%
- Individual clients
- 0reported
- HNW clients
- 2,299reported
- Pension plan clients
- 5reported
- Charitable clients
- 4reported
- Accounts
- 2,320reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $761M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.55 fund_share=0.03 institutional_share=0.39 related_bd=true related_bank=true bd_reps=2.0 bank_owner=falsederived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- O••• B•••• from C••••• F••••••••• I••••••••• A•••••••Jan 3, 2023 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from S•••• G•••• A•••• M•••••••••Oct 5, 2021 · D•••••, Tx · Firm absorbed
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• G•••• E••••• O••••••••• F•••• L•no longer reported | Other Private Fund | $14.1M | 3 | Mar 20, 2019 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••• M••• · General Counsel And Secretarycontrolsince 08/2025 · owns less than 5%
- B•••• J•••• D•••• · President And Chief Investment Officercontrolsince 07/2021 · owns less than 5%
- F••••• W••••••• J••••• · Global Head Of Asset Managementcontrolsince 06/2022 · owns less than 5%
- J••••• J•••• J••••• · Senior Managing Director & Secretarycontrolsince 02/2021 · owns less than 5%
- K•••••• M•••• E••••• · Chief Operating Officercontrolsince 02/2021 · owns less than 5%
- K••••• W•••••• D•••••• · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- M••••••• M••••••• G••••• · Senior Vice Presidentcontrolsince 02/2021 · owns less than 5%
- P••••••• K••••••• M•••••• · Chief Financial Officer Investment Officercontrolsince 02/2021 · owns less than 5%
- S••••• S••••••• S•••••• · Ceo, Chairman Of Investment Committeecontrolsince 07/2021 · owns less than 5%
- L••••••• H•••••• W•••••• · Sole Trusteecontrolsince 05/2009 · owns 75% or more of H••••• W• L•••••• P••••••• A•••• T••••
- L••••••• H•••••• W•••••• · Sole Trusteecontrolsince 01/2010 · owns 75% or more of H••••• W• L•••••• R•••••••• T••••
- S••••• S••••••• S•••••• · Limited Partnercontrolsince 04/2008 · owns 25% to 50% of S•••• G•••• E••••••• P•••••• 1• L••
Entity owners
- C••••• F••••••••• I••••••••• · Managing Memberdirect · owns 75% or more
- S•••• G•••• A•••• M••••••••• · Memberdirect · owns 25% to 50%
- C••••• F••••••••• I••••••••• A••••••• H•••••••• L•• · Memberindirect · owns 75% or more of C••••• F••••••••• I••••••••• A•••••••
- C••••• F••••••••• L••• · Sole Memberindirect · owns 75% or more of C••••• F••••••••• I••••••••• A••••••• H•••••••• L••
- C• G•••• M••••••••• I••• · Managing General Partnerindirect · owns F of C••••• F••••••••• L•••
- D••••• A•••••••• L•• · General Partnerindirect · owns F of S•••• G•••• A•••• M•••••••••
- H••••• W• L•••••• P••••••• A•••• T•••• · Limited Partnerindirect · owns 25% to 50% of C••••• F••••••••• L•••
- H••••• W• L•••••• R•••••••• T•••• · Shareholderindirect · owns 75% or more of C• G•••• M••••••••• I•••
- S•••• G•••• E••••••• P•••••• 1• L•• · Limited Partnerindirect · owns 25% to 50% of S•••• G•••• A•••• M•••••••••
- S•••• G•••• E••••••• P•••••• 2• L•• · Limited Partnerindirect · owns F of S•••• G•••• A•••• M•••••••••
Related persons
Schedule D 7.A
- C••••• F••••••••• • C••broker-dealern
- C••••• F••••••••• I••••••••• A•••••••investment adviseryRAUM $3.2B
- S•••• G•••• A•••• M•••••••••investment advisernRAUM $182M
Advisers that list S•••• G•••• A•••• M••••••••• L•• as a related person
- 161441 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| D•••••, Tx · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
9 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 10, 2026J••••• J•••• J••••• (SENIOR MANAGING DIRECTOR & SECRETARY) left Schedule A between the filings of 2023-09-18 and 2026-07-10peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 10, 2026M••••••• M••••••• G••••• (SENIOR VICE PRESIDENT) left Schedule A between the filings of 2023-09-18 and 2026-07-10peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 10, 2026K•••••• M•••• E••••• (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2023-09-18 and 2026-07-10peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 10, 2026B•••••• A•••• M••• (GENERAL COUNSEL AND SECRETARY) appeared on Schedule A between the filings of 2023-09-18 and 2026-07-10peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 10, 2026L••••••• H•••••• W•••••• (SOLE TRUSTEE) left Schedule A between the filings of 2023-09-18 and 2026-07-10peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 10, 2026B•••• J•••• D•••• (PRESIDENT AND CHIEF INVESTMENT OFFICER) left Schedule A between the filings of 2023-09-18 and 2026-07-10peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 10, 2026S••••• S••••••• S•••••• (CEO, CHAIRMAN OF INVESTMENT COMMITTEE) left Schedule A between the filings of 2023-09-18 and 2026-07-10peers: independent wealth managers, $1B to $5B (1,362)
- account count surgeChange between filings · filing Mar 26, 2026accounts (Item 5.F.2.f) moved from 1,509.0 to 2,324.0 (+54.0%) between the annual amendments of 2025-04-28 and 2026-03-26; the peer median change was +6.0% (1206 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 93% percentile
- client count surgeChange between filings · filing Mar 26, 2026individual and HNW clients (Item 5.D) moved from 1,483.0 to 2,299.0 (+55.0%) between the annual amendments of 2025-04-28 and 2026-03-26; the peer median change was +5.0% (1132 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,132) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 2,324 to 2,320Mar 26, 2026 to Jul 10, 2026
- Discretionary RAUM · $2.2B to $1.4BMar 26, 2026 to Jul 10, 2026
- RAUM · $2.2B to $1.4BMar 26, 2026 to Jul 10, 2026
- Accounts · 1,509 to 2,324Oct 21, 2025 to Mar 26, 2026
- Advisory employees · 8 to 12Oct 21, 2025 to Mar 26, 2026
- HNW clients · 1,483 to 2,299Oct 21, 2025 to Mar 26, 2026
- Employees · 15 to 14Oct 21, 2025 to Mar 26, 2026
- Insurance-licensed employees · 1 to 6Oct 21, 2025 to Mar 26, 2026
- State-registered IARs · 8 to 6Oct 21, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.7B to $2.2BOct 21, 2025 to Mar 26, 2026
- HNW RAUM · $579M to $782MOct 21, 2025 to Mar 26, 2026
- Pension RAUM · $123M to $137MOct 21, 2025 to Mar 26, 2026
- RAUM · $1.7B to $2.2BOct 21, 2025 to Mar 26, 2026
- Wrap assets (manager) · $444M to $761MOct 21, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0May 8, 2025 to Oct 21, 2025
- Accounts · 719 to 1,509Jan 9, 2025 to Apr 28, 2025
- Charity clients · 5 to 4Jan 9, 2025 to Apr 28, 2025
- HNW clients · 691 to 1,483Jan 9, 2025 to Apr 28, 2025
- Insurance-licensed employees · 0 to 1Jan 9, 2025 to Apr 28, 2025
- Discretionary RAUM · $2.1B to $1.7BJan 9, 2025 to Apr 28, 2025
- HNW RAUM · $311M to $579MJan 9, 2025 to Apr 28, 2025
- Pension RAUM · $116M to $123MJan 9, 2025 to Apr 28, 2025
- RAUM · $2.1B to $1.7BJan 9, 2025 to Apr 28, 2025
- Wrap assets (manager) · $312M to $444MJan 9, 2025 to Apr 28, 2025
- Accounts · 717 to 719Mar 27, 2024 to Jan 9, 2025
- Discretionary RAUM · $2.0B to $2.1BMar 27, 2024 to Jan 9, 2025
- RAUM · $2.0B to $2.1BMar 27, 2024 to Jan 9, 2025
- Accounts · 351 to 717Jan 16, 2024 to Mar 27, 2024
- BD registered reps · 0 to 2Jan 16, 2024 to Mar 27, 2024
- HNW clients · 323 to 691Jan 16, 2024 to Mar 27, 2024
- Pension plan clients · 6 to 5Jan 16, 2024 to Mar 27, 2024
- Pooled vehicle clients · 2 to 0Jan 16, 2024 to Mar 27, 2024
- Assets in custody · 14137875.0 to unsetJan 16, 2024 to Mar 27, 2024
- Custody of client assets · true to falseJan 16, 2024 to Mar 27, 2024
- Private funds · 1 to unsetJan 16, 2024 to Mar 27, 2024
- Discretionary RAUM · $1.8B to $2.0BJan 16, 2024 to Mar 27, 2024
- HNW RAUM · $173M to $311MJan 16, 2024 to Mar 27, 2024
- Pension RAUM · $101M to $116MJan 16, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $14.1M to $0Jan 16, 2024 to Mar 27, 2024
- RAUM · $1.8B to $2.0BJan 16, 2024 to Mar 27, 2024
Signals
15 dated events
- S•••• G•••• A•••• M••••••••• L•• reported RAUM $1.4B, down 36% from $2.2B (2026-03-26 to 2026-07-10)Jul 10, 2026 · RAUM change · derived
- S•••• G•••• A•••• M••••••••• L•• reported RAUM $2.2B, up 29% from $1.7B (2025-10-21 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- Joseph J••• Jones (Senior Managing Director & Secretary) appeared on Schedule A of S•••• G•••• A•••• M••••••••• L••Sep 18, 2023 · Control person joined · fact
- Marcus Stephen Merkel (General Counsel And Secretary) no longer on Schedule A of S•••• G•••• A•••• M••••••••• L•• (listed 2023-03-29, absent 2023-09-18)Sep 18, 2023 · Control person left · inference
- Desmond Walter Karle (Chief Compliance Officer) appeared on Schedule A of S•••• G•••• A•••• M••••••••• L••Sep 18, 2023 · Control person joined · fact
- Lucinda Neumann (Chief Compliance Officer) no longer on Schedule A of S•••• G•••• A•••• M••••••••• L•• (listed 2023-03-29, absent 2023-09-18)Sep 18, 2023 · Control person left · inference
- Joseph William Ferri (Global Head Of Asset Management) appeared on Schedule A of S•••• G•••• A•••• M••••••••• L••Mar 29, 2023 · Control person joined · fact
- Joseph Thomas Anzalone (Chief Operations Officer) no longer on Schedule A of S•••• G•••• A•••• M••••••••• L•• (listed 2022-11-14, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Elliot Mark Kaplan (Chief Operating Officer) appeared on Schedule A of S•••• G•••• A•••• M••••••••• L••Mar 29, 2023 · Control person joined · fact
- D•••• J••• B••• (Chief Investment Officer) appeared on Schedule A of S•••• G•••• A•••• M••••••••• L••Jul 7, 2021 · Control person joined · fact
- Desmond Walter Karle (Chief Compliance Officer) no longer on Schedule A of S•••• G•••• A•••• M••••••••• L•• (listed 2021-05-05, absent 2021-07-07)Jul 7, 2021 · Control person left · inference
- S•••• G•••• A•••• M••••••••• L•• reported 10 state-registered advisory representatives, up from 0 (2021-05-05 to 2021-07-07)Jul 7, 2021 · Advisor headcount change · derived
- Lucinda Neumann (Chief Compliance Officer) appeared on Schedule A of S•••• G•••• A•••• M••••••••• L••Jul 7, 2021 · Control person joined · fact
- Spencer Stephen Smith (Ceo, Chairman Of Investment Committee) appeared on Schedule A of S•••• G•••• A•••• M••••••••• L••Jul 7, 2021 · Control person joined · fact
- S•••• A•••• G•••• M••••••••• 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
- Firm profile
- linkedin.com/company/3038714reportedpublic record, Form ADV, Sep 18, 2026
- Website
- cantorassetmanagement.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-880-4600reportedpublic record, Form ADV, Jul 10, 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
- $235Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026