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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A••••• I••••••••• L••
Latest filing Jun 18, 2026
First filing on the tape Oct 27, 2021 · 31 filings
SEC status approved since Mar 17, 2022
RAUM
$390M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$390M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$48.8M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$390M as of Jun 18, 2026
Mar 8, 2022$100M then
HNW client RAUM$390M as of Jun 18, 2026
Mar 8, 2022$100M then
State-registered IARs (5.B.3)7 as of Jun 18, 2026
Mar 8, 20221 then
Employees (5.A)7 as of Jun 18, 2026
Mar 8, 20222 then
Private funds: no history
RAUM +90% over the last fiscal year+53% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Jun 18, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $48.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $20.5MderivedHNW RAUM over HNW clients
- Average account
- $20.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +90%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- 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$390M100%
- Individual clients
- 0reported
- HNW clients
- 19reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 19reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• Y••• Z•••• | Nyack, Ny | Mar 7, 2022 | 11 y | 0 |
| A••••• J••••• L•••• | New York, Ny | Jul 8, 2022 | 12 y | 0 |
| M••• R••••• C••••• | New York, Ny | Mar 3, 2023 | 11 y | 0 |
| M••• P•••• D•••• | New York, Ny | Aug 18, 2023 | 14 y | 0 |
| E••••• J•• K•• | New York, Ny | Apr 7, 2025 | 10 y | 0 |
| E••••• T••••• D•••••• | New York, Ny | Jul 10, 2025 | 16 y | 0 |
| E•• G••••• | New York, Ny | Jun 12, 2026 | 10 y | 0 |
| R••• C• H••••• | New York, Ny | Aug 13, 2026 | 20 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• M•••• P•••• · Partnercontrolsince 09/2021 · owns 50% to 75%
- T•••• K••••• W•• J••• · Partnercontrolsince 09/2021 · owns 10% to 25%
- Z••••• C••••• Y••• · Cio/Partnercontrolsince 01/2023 · owns less than 5%
- L••••• A•••••• J••••• · Director And Chief Compliance Officersince 01/2023 · owns less than 5%
Related persons
Schedule D 7.A
- B••••• L••••n
- C•••••• C••••••insurancen
- I•••••••• B••••••••• F••• G• I• L••pooled vehicle sponsorn
- I•••••••• V••••••• E•••• S•••• M••••••••• L••investment adviserpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 8 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jun 18, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $205,775,592 to $390,219,029 (+90.0%) between the annual amendments of 2025-04-09 and 2026-03-27; the peer median change was +15.0% (4549 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 99% percentile
What changed
consecutive filings, newest first
- Advisory employees · 6 to 7Mar 27, 2026 to Jun 18, 2026
- Employees · 6 to 7Mar 27, 2026 to Jun 18, 2026
- State-registered IARs · 6 to 7Mar 27, 2026 to Jun 18, 2026
- Accounts · 16 to 19Sep 12, 2025 to Mar 27, 2026
- HNW clients · 16 to 19Sep 12, 2025 to Mar 27, 2026
- Employees · 7 to 6Sep 12, 2025 to Mar 27, 2026
- State-registered IARs · 7 to 6Sep 12, 2025 to Mar 27, 2026
- HNW RAUM · $253M to $390MSep 12, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $253M to $390MSep 12, 2025 to Mar 27, 2026
- RAUM · $253M to $390MSep 12, 2025 to Mar 27, 2026
- Advisory employees · 5 to 6Jun 26, 2025 to Sep 12, 2025
- Charity clients · unset to 0.0Jun 26, 2025 to Sep 12, 2025
- Corporate clients · unset to 0.0Jun 26, 2025 to Sep 12, 2025
- Individual clients · unset to 0.0Jun 26, 2025 to Sep 12, 2025
- Pension plan clients · unset to 0.0Jun 26, 2025 to Sep 12, 2025
- Pooled vehicle clients · unset to 0.0Jun 26, 2025 to Sep 12, 2025
- Employees · 6 to 7Jun 26, 2025 to Sep 12, 2025
- State-registered IARs · 6 to 7Jun 26, 2025 to Sep 12, 2025
- HNW RAUM · $206M to $253MJun 26, 2025 to Sep 12, 2025
- Individual RAUM · unset to 0.0Jun 26, 2025 to Sep 12, 2025
- Non-discretionary RAUM · $206M to $253MJun 26, 2025 to Sep 12, 2025
- Pension RAUM · unset to 0.0Jun 26, 2025 to Sep 12, 2025
- Pooled vehicle RAUM · unset to 0.0Jun 26, 2025 to Sep 12, 2025
- RAUM · $206M to $253MJun 26, 2025 to Sep 12, 2025
- Advisory employees · 6 to 5May 16, 2025 to Jun 26, 2025
- Employees · 7 to 6May 16, 2025 to Jun 26, 2025
- Financial planning clients · unset to May 16, 2025 to Jun 26, 2025
- State-registered IARs · 7 to 6May 16, 2025 to Jun 26, 2025
- Accounts · 13 to 16Feb 5, 2025 to Apr 9, 2025
- Advisory employees · 5 to 6Feb 5, 2025 to Apr 9, 2025
- HNW clients · 13 to 16Feb 5, 2025 to Apr 9, 2025
- Employees · 6 to 7Feb 5, 2025 to Apr 9, 2025
- State-registered IARs · 6 to 7Feb 5, 2025 to Apr 9, 2025
- HNW RAUM · $173M to $206MFeb 5, 2025 to Apr 9, 2025
- Non-discretionary RAUM · $173M to $206MFeb 5, 2025 to Apr 9, 2025
- RAUM · $173M to $206MFeb 5, 2025 to Apr 9, 2025
- Advisory employees · 4 to 5Nov 26, 2024 to Feb 5, 2025
- Employees · 5 to 6Nov 26, 2024 to Feb 5, 2025
- State-registered IARs · 5 to 6Nov 26, 2024 to Feb 5, 2025
- Advisory employees · 3 to 4Jun 25, 2024 to Jul 3, 2024
Signals
3 dated events
- A••••• I••••••••• L•• reported RAUM $390.2M, up 54% from $253.5M (2025-09-12 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Yubo Christopher Zhang (Chief Compliance Officer) appeared on Schedule A of A••••• I••••••••• L••Mar 8, 2022 · Control person joined · fact
- I•••••••• F••••• O••••• L•• filed its initial SEC registration (Form ADV)Oct 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
- Website
- ascend.foreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 914-746-0436reportedpublic record, Form ADV, Jun 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
- $48.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026