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
C•••••••• W••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jul 27, 2021 · 21 filings
SEC status approved since Aug 26, 2021
RAUM
$1.3B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$1.3B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$181M
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.3B as of Mar 30, 2026
Mar 8, 2022$715M then
HNW client RAUM$1.2B as of Mar 30, 2026
Mar 8, 2022$619M then
State-registered IARs (5.B.3)7 as of Mar 30, 2026
Mar 8, 20224 then
Employees (5.A)11 as of Mar 30, 2026
Mar 8, 20229 then
Private funds: no history
RAUM +22% over the last fiscal year+22% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $181MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $641,761derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $1.3BreportedItem 5.I
- Custody
- $453M, 259 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B95%
- Individuals$61.4M4.9%
- Corporations and businesses$5.3M0.4%
- Charitable organizations$691,0730.1%
- Individual clients
- 227reported
- HNW clients
- 331reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,970reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $453M for 259 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• C••••••Certified Financial Planner | New York, Ny | Sep 16, 2021 | 27 y | 1 |
| K••• H• D••••••••Chartered Financial Analyst | Concord, Ma | Sep 16, 2021 | 20 y | 1 |
| C••••• W•• C••• | New York, Ny | Feb 28, 2022 | 17 y | 0 |
| N••• L• S•••••••••Certified Financial Planner | New York, Ny | Nov 22, 2023 | 10 y | 0 |
| A••••••• J••••• S•••••••• | New York, Ny | Dec 2, 2023 | 10 y | 0 |
| K••••• G•••• S••••••• | New York, Ny | Jun 12, 2025 | 11 y | 1 |
| S••••• E•••••• | New York, Ny | Jun 12, 2025 | 12 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
- K••••• G•••• S••••••• from A••••• A•• P••••••• S•••••••Jun 12, 2025 · Affiliated broker-dealer or bank to independent RIA
- S••••• E•••••• from P••• A••••• S••••••••• L••Jun 12, 2025 · Affiliated broker-dealer or bank to independent RIA
- K••• H• D•••••••• from A••••••••• F•••••••• S•••••••• L••Sep 16, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- M••• C•••••• from A••••••••• F•••••••• S•••••••• L••Sep 16, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• C•••••• W•• · Director Of Operations / Chief Compliance Officercontrolsince 08/2021 · owns less than 5%
- C••••••• M••• · Managing Member / Ceo / Private Wealth Advisor Chief Compliance Officercontrolsince 08/2021 · 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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person c•••gedChange between filings · filing Mar 30, 2026C•••• C•••••• W•• (DIRECTOR OF OPERATIONS / CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2021-09-15 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,817 to 1,970Jan 21, 2025 to Jan 29, 2026
- Advisory employees · 6 to 7Jan 21, 2025 to Jan 29, 2026
- HNW clients · 294 to 331Jan 21, 2025 to Jan 29, 2026
- Individual clients · 232 to 227Jan 21, 2025 to Jan 29, 2026
- Assets in custody · $373M to $453MJan 21, 2025 to Jan 29, 2026
- Employees · 10 to 11Jan 21, 2025 to Jan 29, 2026
- State-registered IARs · 6 to 7Jan 21, 2025 to Jan 29, 2026
- Discretionary RAUM · $1.0B to $1.3BJan 21, 2025 to Jan 29, 2026
- HNW RAUM · $953M to $1.2BJan 21, 2025 to Jan 29, 2026
- Individual RAUM · $75.6M to $61.4MJan 21, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $9.6M to $11.1MJan 21, 2025 to Jan 29, 2026
- RAUM · $1.0B to $1.3BJan 21, 2025 to Jan 29, 2026
- Accounts · 1,623 to 1,817Aug 6, 2024 to Jan 21, 2025
- Corporate clients · 6.0 to unsetAug 6, 2024 to Jan 21, 2025
- HNW clients · 259 to 294Aug 6, 2024 to Jan 21, 2025
- Individual clients · 233 to 232Aug 6, 2024 to Jan 21, 2025
- Assets in custody · $314M to $373MAug 6, 2024 to Jan 21, 2025
- Employees · 9 to 10Aug 6, 2024 to Jan 21, 2025
- Financial planning clients · 51-100 to 51-100Aug 6, 2024 to Jan 21, 2025
- Discretionary RAUM · $838M to $1.0BAug 6, 2024 to Jan 21, 2025
- HNW RAUM · $752M to $953MAug 6, 2024 to Jan 21, 2025
- Individual RAUM · $88.0M to $75.6MAug 6, 2024 to Jan 21, 2025
- Non-discretionary RAUM · $8.4M to $9.6MAug 6, 2024 to Jan 21, 2025
- RAUM · $847M to $1.0BAug 6, 2024 to Jan 21, 2025
- Accounts · 1,512 to 1,623Apr 21, 2023 to Jan 23, 2024
- Advisory employees · 4 to 6Apr 21, 2023 to Jan 23, 2024
- Charity clients · 8.0 to unsetApr 21, 2023 to Jan 23, 2024
- Corporate clients · 5 to 6Apr 21, 2023 to Jan 23, 2024
- HNW clients · 201 to 259Apr 21, 2023 to Jan 23, 2024
- Individual clients · 261 to 233Apr 21, 2023 to Jan 23, 2024
- Pension plan clients · 18.0 to unsetApr 21, 2023 to Jan 23, 2024
- Assets in custody · $237M to $314MApr 21, 2023 to Jan 23, 2024
- State-registered IARs · 4 to 6Apr 21, 2023 to Jan 23, 2024
- Discretionary RAUM · $686M to $838MApr 21, 2023 to Jan 23, 2024
- HNW RAUM · $585M to $752MApr 21, 2023 to Jan 23, 2024
- Individual RAUM · $97.1M to $88.0MApr 21, 2023 to Jan 23, 2024
- Non-discretionary RAUM · $7.6M to $8.4MApr 21, 2023 to Jan 23, 2024
- Pension RAUM · 2563428.0 to unsetApr 21, 2023 to Jan 23, 2024
- RAUM · $693M to $847MApr 21, 2023 to Jan 23, 2024
- Accounts · 1,344 to 1,512Mar 8, 2022 to Feb 15, 2023
Signals
4 dated events
- Edward Christopher Winn (Chief Compliance Officer) no longer on Schedule A of C•••••••• W••••• M••••••••• L•• (listed 2021-08-03, absent 2021-09-15)Sep 15, 2021 · Control person left · inference
- M••• C•••••• (Managing Member / Ceo / Private Wealth Advisor) appeared on Schedule A of C•••••••• W••••• M••••••••• L••Sep 15, 2021 · Control person joined · fact
- Wah Cheung Chan (Director Of Operations / Chief Compliance Officer) appeared on Schedule A of C•••••••• W••••• M••••••••• L••Sep 15, 2021 · Control person joined · fact
- A••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 27, 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
- Business email
- info@chemistrywealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-970-8900reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-970-1141reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- chemistrywealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (212) 970-8900reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- chemistrywealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- chemistrywealth.com/our-peoplereportedpublished by the firm, firm site, Sep 15, 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
- $181Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026