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
A•••• W••••• P•••••••
Legal name A•••• W••••• P••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Apr 28, 2022 · 8 filings
SEC status approved since May 27, 2022
RAUM
$268M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
81%
$218M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$89.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$268M as of Mar 25, 2026
Jan 30, 2023$116M then
HNW client RAUM$181M as of Mar 25, 2026
Jan 30, 2023$71.2M then
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Jan 30, 20234 then
Employees (5.A)3 as of Mar 25, 2026
Jan 30, 20234 then
Private funds1 as of Mar 25, 2026
Jan 25, 20241 then
RAUM +32% over the last fiscal year+32% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $89.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $464,433derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.6%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $2.2M, 1 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$181M68%
- Other investment advisers$46.1M17%
- Individuals$36.6M14%
- Pooled investment vehicles$4.3M1.6%
- Charitable organizations$177,5480.1%
- Corporations and businesses$7,5700.0%
- Individual clients
- 78reported
- HNW clients
- 59reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 578reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.2M for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.81 fund_share=0.19 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• F•••• S••••••Certified Financial Planner | Jersey City, Nj | May 27, 2022 | 11 y | 1 |
| K•••• M•••••• P••••••Certified Financial Planner | Jersey City, Nj | May 27, 2022 | 11 y | 1 |
| W•••• W••• | Jersey City, Nj | May 27, 2022 | 12 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
- M•••••• F•••• S•••••• from S•••••• F•••••••• A•••••••May 27, 2022 · Other
- K•••• M•••••• P•••••• from A•••• S•••••••• W•••••May 27, 2022 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• E••••••• U• E••••• F••• L• | Hedge Fund | $425,127 | 3 | Jan 25, 2024 |
Owners and control persons
Schedule A and B, latest filing
- P••••••• K••••• M•••••• · Managing Membercontrolsince 04/2022 · owns 25% to 50%
- S••••••• M••••••• F•••• · Managing Member, Chief Compliance Officercontrolsince 04/2022 · owns 25% to 50%
- G•••••••• J•••••• N••• · Member, Investment Adviser Representativesince 04/2022 · owns 5% to 10%
Related persons
Schedule D 7.A
- A•••• E••••••• U• E••••• F••• G• L••bankpooled vehicle sponsory
- A•••• T•• P••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Jersey City, Nj · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY3 employees
What changed
consecutive filings, newest first
- Accounts · 511 to 578Aug 27, 2025 to Mar 25, 2026
- HNW clients · 38 to 59Aug 27, 2025 to Mar 25, 2026
- Individual clients · 87 to 78Aug 27, 2025 to Mar 25, 2026
- Assets in custody · $1.3M to $2.2MAug 27, 2025 to Mar 25, 2026
- Discretionary RAUM · $199M to $263MAug 27, 2025 to Mar 25, 2026
- HNW RAUM · $119M to $181MAug 27, 2025 to Mar 25, 2026
- Individual RAUM · $46.8M to $36.6MAug 27, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $5.0M to $5.5MAug 27, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $1.3M to $4.3MAug 27, 2025 to Mar 25, 2026
- RAUM · $204M to $268MAug 27, 2025 to Mar 25, 2026
- Advisory employees · 4 to 3Mar 20, 2025 to Aug 27, 2025
- Employees · 4 to 3Mar 20, 2025 to Aug 27, 2025
- State-registered IARs · 4 to 3Mar 20, 2025 to Aug 27, 2025
- Accounts · 415 to 511Jan 25, 2024 to Mar 20, 2025
- HNW clients · 37 to 38Jan 25, 2024 to Mar 20, 2025
- Individual clients · 80 to 87Jan 25, 2024 to Mar 20, 2025
- Assets in custody · $425,127 to $1.3MJan 25, 2024 to Mar 20, 2025
- Financial planning clients · 101-250 to 101-250Jan 25, 2024 to Mar 20, 2025
- Discretionary RAUM · $153M to $199MJan 25, 2024 to Mar 20, 2025
- HNW RAUM · $100M to $119MJan 25, 2024 to Mar 20, 2025
- Individual RAUM · $33.5M to $46.8MJan 25, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $9.5M to $5.0MJan 25, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $425,127 to $1.3MJan 25, 2024 to Mar 20, 2025
- RAUM · $162M to $204MJan 25, 2024 to Mar 20, 2025
- Accounts · 344 to 415Jan 30, 2023 to Jan 25, 2024
- Advisory activities · 4 to 5Jan 30, 2023 to Jan 25, 2024
- HNW clients · 30 to 37Jan 30, 2023 to Jan 25, 2024
- Individual clients · 73 to 80Jan 30, 2023 to Jan 25, 2024
- Pooled vehicle clients · unset to 1.0Jan 30, 2023 to Jan 25, 2024
- Assets in custody · unset to 425127.0Jan 30, 2023 to Jan 25, 2024
- Custody of client assets · false to trueJan 30, 2023 to Jan 25, 2024
- Financial planning clients · 51-100 to 101-250Jan 30, 2023 to Jan 25, 2024
- Private funds · unset to 1Jan 30, 2023 to Jan 25, 2024
- Discretionary RAUM · $107M to $153MJan 30, 2023 to Jan 25, 2024
- HNW RAUM · $71.2M to $100MJan 30, 2023 to Jan 25, 2024
- Individual RAUM · $22.7M to $33.5MJan 30, 2023 to Jan 25, 2024
- Non-discretionary RAUM · $8.8M to $9.5MJan 30, 2023 to Jan 25, 2024
- Pooled vehicle RAUM · unset to 425127.0Jan 30, 2023 to Jan 25, 2024
- RAUM · $116M to $162MJan 30, 2023 to Jan 25, 2024
- Related bank · false to trueJan 30, 2023 to Jan 25, 2024
Signals
1 dated events
- A•••• W••••• P••••••• filed its initial SEC registration (Form ADV)Apr 28, 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
- 800-805-8740reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- astrawp.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 800-805-8740reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- astrawp.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- astrawp.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $89.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026