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•••• R•••
Legal name A•••• R••• L••
Latest filing Sep 11, 2026
First filing on the tape May 16, 2023 · 21 filings
SEC status approved since Nov 18, 2025
RAUM
$159M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$157M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$39.7M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$159M as of Aug 14, 2026
Mar 19, 2024$3.1M then
HNW client RAUM$154M as of Aug 14, 2026
Mar 19, 2024$3.1M then
State-registered IARs (5.B.3)4 as of Aug 14, 2026
Mar 19, 20245 then
Employees (5.A)7 as of Aug 14, 2026
Mar 19, 20246 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 11, 2026; every figure names its basis
- RAUM per advisor
- $39.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.7MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 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, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$154M97%
- Individuals$2.5M1.6%
- Insurance companies$2.0M1.2%
- Individual clients
- 3reported
- HNW clients
- 23reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 111reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• L••• B••••••••Chartered Financial Analyst | New York, Ny | Jun 17, 2024 | 18 y | 2 |
| J••• T••••• K••••••••Chartered Financial Analyst | Cohasset, Ma | Jun 17, 2024 | 22 y | 2 |
| N••••••• T••••• G•••• | New York, Ny | Jan 1, 2026 | 23 y | 2 |
| A••••• H•••••• B••••• | New York, Ny | Jan 6, 2026 | 27 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- I••••• A•••••• to A••••••••• L•••Jul 9, 2025 · Other
Joined, latest
- A••••• H•••••• B••••• from J••• M••••• S••••••••• L••Jan 6, 2026 · Wirehouse to independent RIA
- N••••••• T••••• G•••• from C••••• F•• W••••• P••••••• A•••••••• I••Jan 1, 2026 · Other
- J••• T••••• K•••••••• from C•••••• A•••• M••••••••• L••Jun 17, 2024 · RIA to RIA
- C•••• L••• B•••••••• from C••••••• A•••••••• I•••Jun 17, 2024 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••••• H•••••• · Membercontrolsince 12/2020 · owns 25% to 50%
- B•••• A•••••• K•••• · Member, Cio, Ccocontrolsince 12/2020 · owns 25% to 50%
- L•••••• W•••••• N••• · Membercontrolsince 12/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Aug 14, 2026 to Sep 11, 2026
- HQ city · to unsetAug 14, 2026 to Sep 11, 2026
- HQ state · to unsetAug 14, 2026 to Sep 11, 2026
- Related adviser · false to unsetAug 14, 2026 to Sep 11, 2026
- Related bank · false to unsetAug 14, 2026 to Sep 11, 2026
- Related broker-dealer · false to unsetAug 14, 2026 to Sep 11, 2026
- Related insurance company · false to unsetAug 14, 2026 to Sep 11, 2026
- Succession · false to unsetAug 14, 2026 to Sep 11, 2026
- Advisory employees · 5 to 4Jul 10, 2026 to Aug 14, 2026
- Employees · 8 to 7Jul 10, 2026 to Aug 14, 2026
- State-registered IARs · 5 to 4Jul 10, 2026 to Aug 14, 2026
- Other offices · 4 to 3Jul 10, 2026 to Aug 14, 2026
- Other offices · 0 to 4Jun 24, 2026 to Jul 10, 2026
- Financial planning clients · 0 to 1-10Apr 23, 2026 to Jun 24, 2026
- Employees · 6 to 8Mar 25, 2026 to Apr 23, 2026
- Financial planning clients · 1-10 to 0Mar 25, 2026 to Apr 23, 2026
- Other offices · 1 to 0Mar 25, 2026 to Apr 23, 2026
- Accounts · 85 to 111Dec 8, 2025 to Mar 25, 2026
- HNW clients · 19 to 23Dec 8, 2025 to Mar 25, 2026
- Individual clients · 1 to 3Dec 8, 2025 to Mar 25, 2026
- Discretionary RAUM · $141M to $159MDec 8, 2025 to Mar 25, 2026
- HNW RAUM · $138M to $154MDec 8, 2025 to Mar 25, 2026
- Individual RAUM · $1.1M to $2.5MDec 8, 2025 to Mar 25, 2026
- RAUM · $141M to $159MDec 8, 2025 to Mar 25, 2026
- Accounts · 1 to 85Jun 18, 2024 to Sep 30, 2025
- Advisory employees · 10 to 5Jun 18, 2024 to Sep 30, 2025
- Advisory activities · 4 to 5Jun 18, 2024 to Sep 30, 2025
- BD registered reps · 0 to 1Jun 18, 2024 to Sep 30, 2025
- Charity clients · unset to 0.0Jun 18, 2024 to Sep 30, 2025
- Corporate clients · unset to 0.0Jun 18, 2024 to Sep 30, 2025
- HNW clients · 1 to 19Jun 18, 2024 to Sep 30, 2025
- Individual clients · unset to 1.0Jun 18, 2024 to Sep 30, 2025
- Pension plan clients · unset to 0.0Jun 18, 2024 to Sep 30, 2025
- Pooled vehicle clients · unset to 0.0Jun 18, 2024 to Sep 30, 2025
- Employees · 11 to 6Jun 18, 2024 to Sep 30, 2025
- Financial planning clients · 0 to 1-10Jun 18, 2024 to Sep 30, 2025
- HQ city · unset to Jun 18, 2024 to Sep 30, 2025
- HQ state · unset to Jun 18, 2024 to Sep 30, 2025
- State-registered IARs · 10 to 5Jun 18, 2024 to Sep 30, 2025
- Other offices · 0 to 1Jun 18, 2024 to Sep 30, 2025
Signals
2 dated events
- I••••• A•••••• left A•••• R••• for A••••••••• L••• (registered 2026-07-20)Jul 9, 2025 · Advisor changed firm · fact
- A•••• R••• filed its initial SEC registration (Form ADV)May 16, 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
- Business email
- info@altarrockwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/altarrockwealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- altarrockwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (917) 226-0565reportedpublic record, Form ADV, Sep 11, 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
- $39.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026