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.
Latest filing Mar 31, 2026
First filing on the tape Jul 21, 2023 · 4 filings
SEC status approved since Aug 22, 2023
RAUM
$136M
reported, Item 5.F
Discretionary
47%
of RAUM
Private clients
19%
$25.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$136M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$136M as of Mar 31, 2026
Mar 26, 2024$41.4M then
HNW client RAUM$25.3M as of Mar 31, 2026
Mar 26, 2024$1.7M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 26, 20241 then
Employees (5.A)7 as of Mar 31, 2026
Mar 26, 20242 then
Private funds: 3
RAUM +26% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
- $136MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 47%derivedof RAUM
- Institutional
- 8.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%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 fees, subscription, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, publicationsreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$67.7M50%
- Corporations and businesses$31.9M23%
- High-net-worth individuals$25.3M19%
- Charitable organizations$11.3M8.3%
- Individuals$35,9440.0%
- Individual clients
- n/areported
- HNW clients
- 24reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 57reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.19 fund_share=0.5 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• D••••• | Brooklyn, Ny | May 12, 2022 | 18 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••• · Managing Member And Chief Compliance Officercontrolsince 10/2021 · owns 75% or more
- F•••••••• K••••• M•••••• · Ownercontrolsince 02/2023 · owns 50% to 75% of J•••••• L••
- F•••••••• L•••••• R•• · Ownercontrolsince 02/2023 · owns 50% to 75% of J•••••• L••
- M••••••••• R•••••• D•••• · Ceo And Managercontrolsince 04/2018 · owns F of S••••• D••• C••••••• I•••
Entity owners
- S••••• D••• C••••••• I••• · Managerindirect · owns F of S••••• D••• A••••••••• L••
- J•••••• L•• · Ownerdirect · owns less than 5%
- S••••• D••• A••••••••• L•• · Ownerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- M••• D•••••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 31, 2026subscription fees (Item 5.E.3): no on the filing of 2025-03-31, yes on the filing of 2026-03-31peers: other advisers, $100M to $500M (212)
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 22.0% to 47.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: other advisers, $100M to $500M (212)
What changed
consecutive filings, newest first
- Accounts · 31 to 57Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 1 to 5Mar 31, 2025 to Mar 31, 2026
- Advisory activities · 3 to 4Mar 31, 2025 to Mar 31, 2026
- Charity clients · 1.0 to unsetMar 31, 2025 to Mar 31, 2026
- Corporate clients · 7 to 11Mar 31, 2025 to Mar 31, 2026
- HNW clients · 7 to 24Mar 31, 2025 to Mar 31, 2026
- Individual clients · 2.0 to unsetMar 31, 2025 to Mar 31, 2026
- Employees · 6 to 7Mar 31, 2025 to Mar 31, 2026
- Insurance-licensed employees · 0 to 1Mar 31, 2025 to Mar 31, 2026
- Private funds · unset to 3Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $24.0M to $64.4MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $7.3M to $25.3MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $293,125 to $35,944Mar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $83.7M to $71.8MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $70.0M to $67.7MMar 31, 2025 to Mar 31, 2026
- RAUM · $108M to $136MMar 31, 2025 to Mar 31, 2026
- Accounts · 14 to 31Mar 26, 2024 to Mar 31, 2025
- Charity clients · unset to 1.0Mar 26, 2024 to Mar 31, 2025
- Corporate clients · 3 to 7Mar 26, 2024 to Mar 31, 2025
- HNW clients · 5 to 7Mar 26, 2024 to Mar 31, 2025
- Individual clients · 4 to 2Mar 26, 2024 to Mar 31, 2025
- Pension plan clients · unset to 0.0Mar 26, 2024 to Mar 31, 2025
- Employees · 2 to 6Mar 26, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 31, 2025
- HQ city · unset to Mar 26, 2024 to Mar 31, 2025
- HQ state · unset to Mar 26, 2024 to Mar 31, 2025
- Other offices · 0 to 1Mar 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $11.5M to $24.0MMar 26, 2024 to Mar 31, 2025
- HNW RAUM · $1.7M to $7.3MMar 26, 2024 to Mar 31, 2025
- Individual RAUM · $362,900 to $293,125Mar 26, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $29.8M to $83.7MMar 26, 2024 to Mar 31, 2025
- Pension RAUM · unset to 0.0Mar 26, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $29.8M to $70.0MMar 26, 2024 to Mar 31, 2025
- RAUM · $41.4M to $108MMar 26, 2024 to Mar 31, 2025
- Accounts · 9 to 14Jul 21, 2023 to Mar 26, 2024
- Corporate clients · unset to 3.0Jul 21, 2023 to Mar 26, 2024
- HNW clients · unset to 5.0Jul 21, 2023 to Mar 26, 2024
- Individual clients · unset to 4.0Jul 21, 2023 to Mar 26, 2024
- Employees · 1 to 2Jul 21, 2023 to Mar 26, 2024
- Discretionary RAUM · $3.5M to $11.5MJul 21, 2023 to Mar 26, 2024
Signals
1 dated events
- I•• H•••••••• L•• filed its initial SEC registration (Form ADV)Jul 21, 2023 · 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
- Firm profile
- linkedin.com/company/icw-holdings-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- i••••••••.coreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 347-413-4750reportedpublic record, Form ADV, Mar 31, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $136Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026