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•••••• P••• C••••••• L••
Latest filing May 13, 2026
First filing on the tape Oct 22, 2022 · 9 filings
SEC status approved since Nov 21, 2022
RAUM
$332M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$332M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$332M as of May 13, 2026
Mar 29, 2023$181M then
HNW client RAUM$332M as of May 13, 2026
Mar 29, 2023$181M then
State-registered IARs (5.B.3)0 as of May 13, 2026
Mar 29, 20230 then
Employees (5.A)5 as of May 13, 2026
Mar 29, 20232 then
Private funds: no history
RAUM +65% over the last fiscal year+23% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of May 13, 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
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.1MderivedHNW RAUM over HNW clients
- Average account
- $11.1MderivedRAUM 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
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +65%derivedbetween 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 fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $34.3M, 4 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$332M100%
- Individual clients
- n/areported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 30reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $34.3M for 4 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- 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
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
- P•••••• E•••••• M•••• · Chief Compliance Officercontrolsince 06/2020 · owns less than 5%
- S••••••• D••••• Z•• · Chief Executive Officer, Chief Investment Officer, Sole Membercontrolsince 03/2020 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing May 13, 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
- unusually large average HNW clientStatic outlier · filing May 13, 2026HNW RAUM per HNW client of $11,079,304 against a peer median of $2,402,920 (4942 comparable advisers, 100.0th percentile, 5.9 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 100% percentile
- RAUM up 50 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $201,459,042 to $332,379,112 (+65.0%) between the annual amendments of 2025-03-31 and 2026-03-26; the peer median change was +15.0% (4549 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 97% percentile
What changed
consecutive filings, newest first
- Other offices · 0 to 1Mar 26, 2026 to May 13, 2026
- Accounts · 28 to 30Oct 3, 2025 to Mar 26, 2026
- Advisory employees · 2 to 3Oct 3, 2025 to Mar 26, 2026
- HNW clients · 28 to 30Oct 3, 2025 to Mar 26, 2026
- Assets in custody · $44.4M to $34.3MOct 3, 2025 to Mar 26, 2026
- Employees · 4 to 5Oct 3, 2025 to Mar 26, 2026
- HNW RAUM · $201M to $332MOct 3, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $201M to $332MOct 3, 2025 to Mar 26, 2026
- RAUM · $201M to $332MOct 3, 2025 to Mar 26, 2026
- Assets in custody · $1.0M to $44.4MMar 31, 2025 to Oct 3, 2025
- Accounts · 16 to 28Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 1 to 2Mar 29, 2024 to Mar 31, 2025
- BD registered reps · 1 to 0Mar 29, 2024 to Mar 31, 2025
- HNW clients · 16 to 28Mar 29, 2024 to Mar 31, 2025
- Assets in custody · unset to 1029122.0Mar 29, 2024 to Mar 31, 2025
- Custody of client assets · false to trueMar 29, 2024 to Mar 31, 2025
- Employees · 2 to 4Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- HNW RAUM · $156M to $201MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $156M to $201MMar 29, 2024 to Mar 31, 2025
- RAUM · $156M to $201MMar 29, 2024 to Mar 31, 2025
- Accounts · 13 to 16Mar 29, 2023 to Mar 29, 2024
- Advisory activities · 3 to 2Mar 29, 2023 to Mar 29, 2024
- HNW clients · 13 to 16Mar 29, 2023 to Mar 29, 2024
- HNW RAUM · $181M to $156MMar 29, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $181M to $156MMar 29, 2023 to Mar 29, 2024
- RAUM · $181M to $156MMar 29, 2023 to Mar 29, 2024
- Accounts · 14 to 13Dec 21, 2022 to Mar 29, 2023
- Corporate clients · 1.0 to unsetDec 21, 2022 to Mar 29, 2023
- HNW RAUM · $169M to $181MDec 21, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $172M to $181MDec 21, 2022 to Mar 29, 2023
- RAUM · $172M to $181MDec 21, 2022 to Mar 29, 2023
Signals
2 dated events
- C•••••• P••• C••••••• L•• reported RAUM $332.4M, up 65% from $201.5M (2025-10-03 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- C•••••• P••• C••••••• L•• filed its initial SEC registration (Form ADV)Oct 22, 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
- Principal office phone
- 212-430-1030reportedpublic record, Form ADV, May 13, 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