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
R•••••• W••••• A•••••••• L••
Latest filing May 28, 2026
First filing on the tape Feb 1, 2022 · 15 filings
SEC status approved since Jun 2, 2022
RAUM
$121M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
63%
$76.0M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$60.5M
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
15 filings and snapshots on the tape
RAUM$121M as of May 28, 2026
Mar 6, 2023$90.5M then
HNW client RAUM$73.4M as of May 28, 2026
Mar 6, 2023$51.5M then
State-registered IARs (5.B.3)2 as of May 28, 2026
Mar 6, 20232 then
Employees (5.A)2 as of May 28, 2026
Mar 6, 20232 then
Private funds: no history
RAUM +9.3% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 28, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $60.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- +9.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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$73.4M96%
- Individuals$2.6M3.4%
- Corporations and businesses$193,4900.3%
- Individual clients
- 17reported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 110reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.63 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 |
|---|---|---|---|---|
| M•••• I••• R•••••• | Palm Beach Gardens, Fl | Jan 1, 2025 | 25 y | 8 |
| M••••••• R•• L••••• | Palm Beach Gardens, Fl | Jan 1, 2025 | 24 y | 5 |
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
- M••••••• R•• L••••• from M••••• P•••••• C•••••• G••••Jan 1, 2025 · RIA to RIA
- M•••• I••• R•••••• from M••••• P•••••• C•••••• G••••Jan 1, 2025 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M••••• P•••••• C•••••• G••••Jul 1, 2022 · West Palm Beach, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• M••••• I••• · Ceo/Ccocontrolsince 08/2020 · owns less than 5%
- R••••••• M••••• I••• · Managing Membercontrolsince 08/2020 · owns 75% or more of R•••••• G••••• H•••••••• L••
Entity owners
- R•••••• G••••• H•••••••• L•• · Managing Memberdirect · 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 |
|---|---|---|---|---|---|
| Palm Beach Gardens, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 104 to 110Mar 14, 2025 to Mar 17, 2026
- Corporate clients · 8 to 7Mar 14, 2025 to Mar 17, 2026
- HNW clients · 29 to 36Mar 14, 2025 to Mar 17, 2026
- Individual clients · 16 to 17Mar 14, 2025 to Mar 17, 2026
- Discretionary RAUM · $110M to $120MMar 14, 2025 to Mar 17, 2026
- HNW RAUM · $65.8M to $73.4MMar 14, 2025 to Mar 17, 2026
- Individual RAUM · $1.7M to $2.6MMar 14, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $729,093 to $882,568Mar 14, 2025 to Mar 17, 2026
- RAUM · $111M to $121MMar 14, 2025 to Mar 17, 2026
- Accounts · 97 to 104Mar 25, 2024 to Mar 14, 2025
- Corporate clients · 7 to 8Mar 25, 2024 to Mar 14, 2025
- HNW clients · 25 to 29Mar 25, 2024 to Mar 14, 2025
- Individual clients · 14 to 16Mar 25, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 0Mar 25, 2024 to Mar 14, 2025
- Discretionary RAUM · $95.6M to $110MMar 25, 2024 to Mar 14, 2025
- HNW RAUM · $54.4M to $65.8MMar 25, 2024 to Mar 14, 2025
- Individual RAUM · $1.3M to $1.7MMar 25, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $653,191 to $729,093Mar 25, 2024 to Mar 14, 2025
- RAUM · $96.3M to $111MMar 25, 2024 to Mar 14, 2025
- Accounts · 93 to 97May 31, 2023 to Mar 25, 2024
- Corporate clients · 5 to 7May 31, 2023 to Mar 25, 2024
- HNW clients · 24 to 25May 31, 2023 to Mar 25, 2024
- Individual clients · 15 to 14May 31, 2023 to Mar 25, 2024
- Assets in custody · 1359494.0 to unsetMay 31, 2023 to Mar 25, 2024
- Custody of client assets · true to falseMay 31, 2023 to Mar 25, 2024
- Discretionary RAUM · $89.8M to $95.6MMay 31, 2023 to Mar 25, 2024
- HNW RAUM · $51.5M to $54.4MMay 31, 2023 to Mar 25, 2024
- Individual RAUM · $1.5M to $1.3MMay 31, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $631,006 to $653,191May 31, 2023 to Mar 25, 2024
- RAUM · $90.5M to $96.3MMay 31, 2023 to Mar 25, 2024
- HQ city · unset to PALM BEACH GARDENSMay 24, 2023 to May 31, 2023
- HQ state · unset to FLMay 24, 2023 to May 31, 2023
- Accounts · 88 to 93Feb 7, 2023 to Mar 6, 2023
- Corporate clients · unset to 5.0Feb 7, 2023 to Mar 6, 2023
- HNW clients · 25 to 24Feb 7, 2023 to Mar 6, 2023
- Individual clients · 13 to 15Feb 7, 2023 to Mar 6, 2023
- Assets in custody · unset to 1359494.0Feb 7, 2023 to Mar 6, 2023
- Custody of client assets · false to trueFeb 7, 2023 to Mar 6, 2023
- Discretionary RAUM · $101M to $89.8MFeb 7, 2023 to Mar 6, 2023
- HNW RAUM · $55.5M to $51.5MFeb 7, 2023 to Mar 6, 2023
Signals
2 dated events
- 2 advisors left M••••• P•••••• C•••••• G•••• (West Palm Beach, FL) for R•••••• W••••• A•••••••• L•• on the same dayJul 1, 2022 · Team lift-out · derived
- R•••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 1, 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
- Business phone
- 561-453-1120reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/resnick-wealth-alliancereportedpublic record, Form ADV, Sep 18, 2026
- Website
- resnickwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 561-453-1120reportedpublic record, Form ADV, May 28, 2026
- Contact form
- resnickwealthalliance.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $60.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026