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
R••• H••••• P••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 8, 2023 · 5 filings
SEC status approved since Apr 7, 2023
RAUM
$2.7B
reported, Item 5.F
Discretionary
3.6%
of RAUM
Private clients
96%
$2.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$2.7B as of Mar 27, 2026
Mar 20, 2024$2.1B then
HNW client RAUM$2.6B as of Mar 27, 2026
Mar 20, 2024$2.1B then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 20, 20240 then
Employees (5.A)4 as of Mar 27, 2026
Mar 20, 20243 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 0 to 0
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
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $41.2MderivedHNW RAUM over HNW clients
- Average account
- $20.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 3.6%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.6B96%
- Pooled investment vehicles$66.6M2.5%
- Charitable organizations$47.5M1.8%
- Individual clients
- 0reported
- HNW clients
- 62reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 129reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, performancereported
- Class basis
- private_client_share=0.96 fund_share=0.03 institutional_share=0.02 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
- A•••••• E•••• S•••• · Chief Executive Officer, Chief Investment Officer, Member, Manager Compliance Officercontrolsince 10/2021 · owns 75% or more
- S••••••••• A••••••••• W••••• · Director Of Operations & Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 27, 2026HNW RAUM per HNW client of $41,152,027 against a peer median of $3,646,459 (1309 comparable advisers, 99.0th percentile, 18.6 robust deviations)peers: independent wealth managers, $1B to $5B (1,309) · 99% percentile
- control person changedChange between filings · filing Mar 27, 2026S••••••••• A••••••••• W••••• (DIRECTOR OF OPERATIONS & CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2023-03-08 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 98 to 129Mar 27, 2025 to Mar 27, 2026
- Pooled vehicle clients · 0 to 1Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $51.6M to $95.3MMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $2.3B to $2.6BMar 27, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $2.3B to $2.6BMar 27, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $0 to $66.6MMar 27, 2025 to Mar 27, 2026
- RAUM · $2.3B to $2.7BMar 27, 2025 to Mar 27, 2026
- Accounts · 61 to 98Mar 20, 2024 to Mar 27, 2025
- Advisory employees · 3 to 4Mar 20, 2024 to Mar 27, 2025
- Advisory activities · 1 to 3Mar 20, 2024 to Mar 27, 2025
- Charity clients · 1.0 to unsetMar 20, 2024 to Mar 27, 2025
- HNW clients · 60 to 62Mar 20, 2024 to Mar 27, 2025
- Employees · 3 to 4Mar 20, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 20, 2024 to Mar 27, 2025
- Discretionary RAUM · $2.1B to $51.6MMar 20, 2024 to Mar 27, 2025
- HNW RAUM · $2.1B to $2.3BMar 20, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $0 to $2.3BMar 20, 2024 to Mar 27, 2025
- RAUM · $2.1B to $2.3BMar 20, 2024 to Mar 27, 2025
- Accounts · 60 to 61Aug 3, 2023 to Mar 20, 2024
- HNW clients · 59 to 60Aug 3, 2023 to Mar 20, 2024
- Discretionary RAUM · $2.1B to $2.1BAug 3, 2023 to Mar 20, 2024
- HNW RAUM · $2.1B to $2.1BAug 3, 2023 to Mar 20, 2024
- RAUM · $2.1B to $2.1BAug 3, 2023 to Mar 20, 2024
- Accounts · 0 to 60Mar 8, 2023 to Aug 3, 2023
- Advisory employees · 2 to 3Mar 8, 2023 to Aug 3, 2023
- Advisory activities · 2 to 1Mar 8, 2023 to Aug 3, 2023
- Charity clients · 0 to 1Mar 8, 2023 to Aug 3, 2023
- HNW clients · 0 to 59Mar 8, 2023 to Aug 3, 2023
- Discretionary RAUM · $0 to $2.1BMar 8, 2023 to Aug 3, 2023
- HNW RAUM · $0 to $2.1BMar 8, 2023 to Aug 3, 2023
- RAUM · $0 to $2.1BMar 8, 2023 to Aug 3, 2023
- Related adviser · true to falseMar 8, 2023 to Aug 3, 2023
Signals
1 dated events
- R••• H••••• P••••••• L•• filed its initial SEC registration (Form ADV)Mar 8, 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
- Principal office phone
- 914-215-5873reportedpublic 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026