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••••• C•••••••• W••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Oct 29, 2021 · 10 filings
SEC status approved since Nov 30, 2021
RAUM
$1.7B
reported, Item 5.F
Discretionary
12%
of RAUM
Private clients
94%
$1.6B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$170M
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.7B as of Mar 27, 2026
Mar 28, 2022$1.6B then
HNW client RAUM$1.6B as of Mar 27, 2026
Mar 28, 2022$1.6B then
State-registered IARs (5.B.3)9 as of Mar 27, 2026
Mar 28, 20225 then
Employees (5.A)9 as of Mar 27, 2026
Mar 28, 20226 then
Private funds: no history
RAUM n/a over the last fiscal year+3.5% a year over three
Practice profile
derived from the filing of Mar 27, 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
- $170MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $31.5MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 12%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 2.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $30.5M, 6 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.6B94%
- Charitable organizations$78.4M4.6%
- Corporations and businesses$15.3M0.9%
- Individual clients
- n/areported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 815reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.5M for 6 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• D••••• | New York, Ny | Dec 15, 2021 | 21 y | 1 |
| A••••• J•• H••••••• | New York, Ny | Dec 15, 2021 | 16 y | 1 |
| M•••••• S•••••• | New York, Ny | Dec 15, 2021 | 13 y | 1 |
| P••• S••••••Certified Financial Planner | New York, Ny | Mar 22, 2022 | 14 y | 1 |
| M••••••• M•• M•••••••Certified Financial Planner | New York, Ny | Mar 22, 2022 | 10 y | 2 |
| M•••••• S•••• F••••Certified Financial Planner, Chartered Financial Analyst | New York, Ny | Nov 25, 2025 | 10 y | 3 |
| F•••• L• W•••••••••Personal Financial Specialist | Chicago, Il | Nov 25, 2025 | 31 y | 1 |
| K•••••• P•••• K•••••••Certified Financial Planner | Salem, In | Nov 26, 2025 | 11 y | 2 |
| H••••• J••• C••• | New York, Ny | Jan 1, 2026 | 10 y | 6 |
| L•••• A• H••••Certified Financial Planner | Chicago, Il | Jun 30, 2026 | 21 y | 4 |
Advisor movement
0 left, 5 joined in 12 months
net +5 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- L•••• A• H•••• from R•• W••••• P•••••••Jun 30, 2026 · RIA to RIA
- H••••• J••• C••• from O••••• F•••••••• G••••• L••Jan 1, 2026 · RIA to RIA
- K•••••• P•••• K••••••• from O••••• F•••••••• G••••• L••Nov 26, 2025 · RIA to RIA
- M•••••• S•••• F•••• from L•• F•••••••• L••Nov 25, 2025 · Affiliated broker-dealer or bank to independent RIA
- F•••• L• W••••••••• from O••• W••••• A•••••••• L••Nov 25, 2025 · RIA to RIA
- M••••••• M•• M••••••• from A••••• I••••••••• L••Mar 22, 2022 · RIA to RIA
- P••• S•••••• from F•••••• F••••••••Mar 22, 2022 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C••••• C•••••••• W••••• M••••••••• L•Dec 23, 2021 · New York, Ny · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• M•••••• · Chief Compliance Officercontrolsince 10/2021 · owns less than 5%
Entity owners
- C••••• C•••••••• A•••••••• L•• · Ownerdirect · owns 75% or more
- C••••• I••••••••• L•• · Ownerindirect · owns 75% or more of C••••• C•••••••• A•••••••• L••
- C••••• P•••••• L•• · Ownerindirect · owns 75% or more of C••••• P••••••• H•••••••• L•••
- C••••• P••••••• H•••••••• L••• · Ownerindirect · owns 75% or more of C••••• I••••••••• L••
Related persons
Schedule D 7.A
- A••••• H•••••••insurancey
- C••••• C•••••••• A•••••••• L••insurancey
- M•••••• S••••••insurancey
- M•••••• D•••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 10 | 5 | 0 | ||
| Chicago, Il | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 762 to 815Nov 30, 2025 to Mar 27, 2026
- Advisory employees · 8 to 9Nov 30, 2025 to Mar 27, 2026
- HNW clients · 49 to 51Nov 30, 2025 to Mar 27, 2026
- Assets in custody · $21.4M to $30.5MNov 30, 2025 to Mar 27, 2026
- Employees · 8 to 9Nov 30, 2025 to Mar 27, 2026
- Insurance-licensed employees · 0 to 2Nov 30, 2025 to Mar 27, 2026
- State-registered IARs · 8 to 9Nov 30, 2025 to Mar 27, 2026
- Other offices · 3 to 4Nov 30, 2025 to Mar 27, 2026
- Discretionary RAUM · $177M to $203MNov 30, 2025 to Mar 27, 2026
- HNW RAUM · $1.5B to $1.6BNov 30, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $1.4B to $1.5BNov 30, 2025 to Mar 27, 2026
- RAUM · $1.6B to $1.7BNov 30, 2025 to Mar 27, 2026
- Related adviser · false to trueNov 30, 2025 to Mar 27, 2026
- Advisory employees · 5 to 8May 14, 2025 to Nov 30, 2025
- Employees · 5 to 8May 14, 2025 to Nov 30, 2025
- State-registered IARs · 5 to 8May 14, 2025 to Nov 30, 2025
- Other offices · 0 to 3May 14, 2025 to Nov 30, 2025
- Accounts · 753 to 762May 1, 2025 to May 14, 2025
- HNW clients · 48 to 49May 1, 2025 to May 14, 2025
- Financial planning clients · 1-10 to 1-10May 1, 2025 to May 14, 2025
- Discretionary RAUM · $132M to $177MMay 1, 2025 to May 14, 2025
- HNW RAUM · $1.5B to $1.5BMay 1, 2025 to May 14, 2025
- RAUM · $1.6B to $1.6BMay 1, 2025 to May 14, 2025
- Accounts · 727 to 753Mar 29, 2024 to May 1, 2025
- Corporate clients · unset to 2.0Mar 29, 2024 to May 1, 2025
- HNW clients · 45 to 48Mar 29, 2024 to May 1, 2025
- Assets in custody · $16.8M to $21.4MMar 29, 2024 to May 1, 2025
- Discretionary RAUM · $0 to $132MMar 29, 2024 to May 1, 2025
- HNW RAUM · $1.4B to $1.5BMar 29, 2024 to May 1, 2025
- Non-discretionary RAUM · $1.4B to $1.4BMar 29, 2024 to May 1, 2025
- RAUM · $1.4B to $1.6BMar 29, 2024 to May 1, 2025
- Accounts · 721 to 727Mar 30, 2023 to Mar 29, 2024
- Charity clients · 11 to 10Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $8.6M to $16.8MMar 30, 2023 to Mar 29, 2024
- Financial planning clients · 0 to 1-10Mar 30, 2023 to Mar 29, 2024
- HNW RAUM · $1.5B to $1.4BMar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $1.5B to $1.4BMar 30, 2023 to Mar 29, 2024
- RAUM · $1.5B to $1.4BMar 30, 2023 to Mar 29, 2024
- Accounts · 683 to 721Mar 28, 2022 to Mar 30, 2023
- Advisory activities · 2 to 3Mar 28, 2022 to Mar 30, 2023
Signals
2 dated events
- C••••• C•••••••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 29, 2021 · Succession (Item 4) · fact
- C••••• C•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 29, 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
- Principal office phone
- 212-697-1000reportedpublic record, Form ADV, Mar 27, 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
- $170Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026