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
D••••• W••••• M••••••••• L••
Latest filing Feb 4, 2026
First filing on the tape Oct 19, 2022 · 11 filings
SEC status approved since Nov 17, 2022
RAUM
$269M
reported, Item 5.F
Discretionary
15%
of RAUM
Private clients
72%
$193M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$134M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$269M as of Feb 4, 2026
Mar 3, 2023$115M then
HNW client RAUM$152M as of Feb 4, 2026
Mar 3, 2023$95.3M then
State-registered IARs (5.B.3)1 as of Feb 4, 2026
Mar 3, 20233 then
Employees (5.A)2 as of Feb 4, 2026
Mar 3, 20233 then
Private funds: no history
RAUM +67% over the last fiscal year+33% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 4, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $134MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $25.3MderivedHNW RAUM over HNW clients
- Average account
- $3.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 15%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +67%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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$152M56%
- Corporations and businesses$75.9M28%
- Individuals$41.3M15%
- Individual clients
- 62reported
- HNW clients
- 6reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 85reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.72 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•••••• I•••• Z•• | Port Washington, Ny | Jul 23, 2021 | 30 y | 3 |
| S•••••• S•••••••• | Port Washington, Ny | Oct 21, 2022 | 19 y | 4 |
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 headcount1 left over 36 months
Left, latest
- N••••••• B•••• B•••• to L•••••• W••••• A•••••••• L••Aug 19, 2024 · RIA to RIA
Joined, latest
- S•••••• S•••••••• from W•••••• I••••••••• S•••••••••Oct 21, 2022 · Affiliated broker-dealer or bank to independent RIA
- A•••••• I•••• Z•• from W•••••• I••••••••• S•••••••••Jul 23, 2021 · Affiliated broker-dealer or bank to independent RIA
- N••••••• B•••• B•••• from W•••••• I••••••••• S•••••••••Jul 23, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Z••• A••••••• I•••• · Managing Partner, Ccocontrolsince 02/2024 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Port Washington, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Feb 4, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $160,879,727 to $268,769,992, advisors 1 to 1, private clients 67 to 68, offices 0 to 0 (2025-03-03 to 2026-02-04)peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 50 %Change between filings · filing Feb 4, 2026RAUM (Item 5.F) moved from $160,879,727 to $268,769,992 (+67.0%) between the annual amendments of 2025-03-03 and 2026-02-04; the peer median change was +15.0% (4550 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 98% percentile
- client mix shiftChange between filings · filing Feb 4, 2026private-client share of RAUM moved from 97.0% to 72.0% between the annual amendments of 2025-03-03 and 2026-02-04peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Feb 4, 2026HNW share of RAUM moved from 84.0% to 56.0% between the annual amendments of 2025-03-03 and 2026-02-04peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Feb 4, 2026institutional share of RAUM moved from 3.0% to 28.0% between the annual amendments of 2025-03-03 and 2026-02-04peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 97 to 85Jun 17, 2025 to Feb 4, 2026
- Corporate clients · 1 to 8Jun 17, 2025 to Feb 4, 2026
- HNW clients · 4 to 6Jun 17, 2025 to Feb 4, 2026
- Individual clients · 63 to 62Jun 17, 2025 to Feb 4, 2026
- Discretionary RAUM · $20.4M to $41.3MJun 17, 2025 to Feb 4, 2026
- HNW RAUM · $136M to $152MJun 17, 2025 to Feb 4, 2026
- Individual RAUM · $20.4M to $41.3MJun 17, 2025 to Feb 4, 2026
- Non-discretionary RAUM · $141M to $227MJun 17, 2025 to Feb 4, 2026
- RAUM · $161M to $269MJun 17, 2025 to Feb 4, 2026
- BD registered reps · 1 to 0Mar 3, 2025 to Jun 17, 2025
- Financial planning clients · 0 to 0Mar 3, 2025 to Jun 17, 2025
- Accounts · 81 to 97Jun 20, 2024 to Mar 3, 2025
- Advisory employees · 3 to 2Jun 20, 2024 to Mar 3, 2025
- BD registered reps · 3 to 1Jun 20, 2024 to Mar 3, 2025
- Individual clients · 58 to 63Jun 20, 2024 to Mar 3, 2025
- Employees · 3 to 2Jun 20, 2024 to Mar 3, 2025
- HQ city · unset to Jun 20, 2024 to Mar 3, 2025
- HQ state · unset to Jun 20, 2024 to Mar 3, 2025
- State-registered IARs · 3 to 1Jun 20, 2024 to Mar 3, 2025
- Discretionary RAUM · $22.7M to $20.4MJun 20, 2024 to Mar 3, 2025
- HNW RAUM · $111M to $136MJun 20, 2024 to Mar 3, 2025
- Individual RAUM · $21.3M to $20.4MJun 20, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $111M to $141MJun 20, 2024 to Mar 3, 2025
- RAUM · $134M to $161MJun 20, 2024 to Mar 3, 2025
- HQ city · UNIONDALE to unsetMar 4, 2024 to Jun 20, 2024
- HQ state · NY to unsetMar 4, 2024 to Jun 20, 2024
- Accounts · 63 to 81Mar 3, 2023 to Mar 1, 2024
- Corporate clients · 2 to 1Mar 3, 2023 to Mar 1, 2024
- HNW clients · 5 to 4Mar 3, 2023 to Mar 1, 2024
- Individual clients · 56 to 58Mar 3, 2023 to Mar 1, 2024
- HQ city · unset to UNIONDALEMar 3, 2023 to Mar 1, 2024
- HQ state · unset to NYMar 3, 2023 to Mar 1, 2024
- Discretionary RAUM · $15.4M to $22.7MMar 3, 2023 to Mar 1, 2024
- HNW RAUM · $95.3M to $111MMar 3, 2023 to Mar 1, 2024
- Individual RAUM · $16.2M to $21.3MMar 3, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $99.1M to $111MMar 3, 2023 to Mar 1, 2024
- RAUM · $115M to $134MMar 3, 2023 to Mar 1, 2024
- Accounts · 60 to 63Jan 3, 2023 to Mar 3, 2023
- Advisory employees · 2 to 3Jan 3, 2023 to Mar 3, 2023
- BD registered reps · 2 to 3Jan 3, 2023 to Mar 3, 2023
Signals
4 dated events
- D••••• W••••• M••••••••• L•• reported RAUM $268.8M, up 67% from $160.9M (2025-06-17 to 2026-02-04)Feb 4, 2026 · RAUM change · derived
- N••••••• B•••• B•••• left D••••• W••••• M••••••••• L•• for L•••••• W••••• A•••••••• L•• (registered 2024-07-31)Aug 19, 2024 · Advisor changed firm · fact
- B•••• N••••••• B•••• (Managing Partner And Cco) no longer on Schedule A of D••••• W••••• M••••••••• L•• (listed 2023-03-03, absent 2024-03-01)Mar 1, 2024 · Control person left · inference
- D••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 19, 2022 · 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
- 516-695-6114reportedpublic record, Form ADV, Feb 4, 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
- $134Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026