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
H••••••• I••••••••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Dec 22, 2021 · 13 filings
SEC status approved since Jan 21, 2022
RAUM
$58.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
53%
$31.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$58.4M as of Mar 18, 2026
Mar 27, 2023$34.3M then
HNW client RAUM$31.0M as of Mar 18, 2026
Mar 27, 2023$18.0M then
State-registered IARs (5.B.3)1 as of Mar 18, 2026
Mar 27, 20231 then
Employees (5.A)1 as of Mar 18, 2026
Mar 27, 20231 then
Private funds: no history
RAUM +21% over the last fiscal year+19% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $58.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$31.0M54%
- Corporations and businesses$26.6M46%
- Individual clients
- n/areported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 23reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.53 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
- T•••••••• R•••••• K••• · Managing Partner/Ceo & Chief Compliance Officercontrolsince 12/2021 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 18, 2026hourly charges (Item 5.E.2): yes on the filing of 2026-02-24, no on the filing of 2026-03-18peers: independent wealth managers, under $100M (707)
What changed
consecutive filings, newest first
- Accounts · 55 to 23Feb 24, 2026 to Mar 18, 2026
- HNW clients · 17 to 15Feb 24, 2026 to Mar 18, 2026
- Discretionary RAUM · $48.2M to $58.4MFeb 24, 2026 to Mar 18, 2026
- HNW RAUM · $24.9M to $31.0MFeb 24, 2026 to Mar 18, 2026
- RAUM · $48.2M to $58.4MFeb 24, 2026 to Mar 18, 2026
- HQ city · RYE to PORT CHESTERMar 31, 2025 to Oct 2, 2025
- Accounts · 50 to 55Nov 13, 2024 to Mar 31, 2025
- HNW clients · 14 to 17Nov 13, 2024 to Mar 31, 2025
- Financial planning clients · unset to Nov 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $39.5M to $48.2MNov 13, 2024 to Mar 31, 2025
- HNW RAUM · $18.6M to $24.9MNov 13, 2024 to Mar 31, 2025
- RAUM · $39.5M to $48.2MNov 13, 2024 to Mar 31, 2025
- Accounts · 22 to 50Oct 18, 2023 to Mar 23, 2024
- Discretionary RAUM · $34.3M to $39.5MOct 18, 2023 to Mar 23, 2024
- HNW RAUM · $18.0M to $18.6MOct 18, 2023 to Mar 23, 2024
- RAUM · $34.3M to $39.5MOct 18, 2023 to Mar 23, 2024
- HQ city · unset to RYEMar 27, 2023 to Oct 18, 2023
- HQ state · unset to NYMar 27, 2023 to Oct 18, 2023
- Other offices · 0 to 1Mar 27, 2023 to Oct 18, 2023
- Accounts · 21 to 22Oct 31, 2022 to Mar 27, 2023
- HNW clients · 9 to 14Oct 31, 2022 to Mar 27, 2023
- Discretionary RAUM · $33.1M to $34.3MOct 31, 2022 to Mar 27, 2023
- HNW RAUM · $16.7M to $18.0MOct 31, 2022 to Mar 27, 2023
- RAUM · $33.1M to $34.3MOct 31, 2022 to Mar 27, 2023
- Accounts · 0 to 21Sep 30, 2022 to Oct 31, 2022
- HNW clients · unset to 9.0Sep 30, 2022 to Oct 31, 2022
- Discretionary RAUM · $0 to $33.1MSep 30, 2022 to Oct 31, 2022
- HNW RAUM · $0 to $16.7MSep 30, 2022 to Oct 31, 2022
- Individual RAUM · 0.0 to unsetSep 30, 2022 to Oct 31, 2022
- RAUM · $0 to $33.1MSep 30, 2022 to Oct 31, 2022
- Advisory activities · 4 to 3Sep 2, 2022 to Sep 30, 2022
- Financial planning clients · 0 to unsetSep 2, 2022 to Sep 30, 2022
Signals
1 dated events
- H••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 22, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••••• I••••••••• M••••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- b••@h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-302-3379reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 215-565-5653reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-302-3979reportedpublic record, Form ADV, Mar 18, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026