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•••••• W••••• M•••••••••
Legal name C•••••• P•••••• W••••• M••••••••• L••
Latest filing Sep 5, 2026
First filing on the tape Aug 1, 2023 · 13 filings
SEC status approved since Aug 31, 2023
RAUM
$45.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$45.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$45.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$45.1M as of Jul 17, 2026
Jan 14, 2024$31.2M then
HNW client RAUM$45.1M as of Jul 17, 2026
Jan 14, 2024$31.2M then
State-registered IARs (5.B.3)1 as of Jul 17, 2026
Jan 14, 20241 then
Employees (5.A)1 as of Jul 17, 2026
Jan 14, 20241 then
Private funds: no history
RAUM +32% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Sep 5, 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
- $45.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $446,623derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%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, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$45.1M100%
- Individual clients
- n/areported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 101reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• C•••• | New York, Ny | Sep 1, 2023 | 22 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Left, latest
- E••• P••••• M•••••• to C•••• A•••• M••••••••• L••Feb 2, 2026 · RIA to RIA
Joined, latest
- E••• P••••• M•••••• from C••••• I••••••••• A••••••• L••Dec 11, 2025 · Affiliated broker-dealer or bank to independent RIA
- L•••• C•••• from C•••••• S••••••••• M••••••••• I•••Sep 1, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• L•••• · Managing Director And Ccocontrolsince 08/2022 · owns 75% or more
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 · principal | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Rumson, NJ1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Jul 17, 2026 to Sep 5, 2026
- Other offices · 2 to 1Jul 17, 2026 to Sep 5, 2026
- Related adviser · false to unsetJul 17, 2026 to Sep 5, 2026
- Related bank · false to unsetJul 17, 2026 to Sep 5, 2026
- Related broker-dealer · false to unsetJul 17, 2026 to Sep 5, 2026
- Related insurance company · false to unsetJul 17, 2026 to Sep 5, 2026
- Succession · false to unsetJul 17, 2026 to Sep 5, 2026
- Advisory employees · 2 to 1Jan 6, 2026 to Feb 2, 2026
- Employees · 2 to 1Jan 6, 2026 to Feb 2, 2026
- State-registered IARs · 2 to 1Jan 6, 2026 to Feb 2, 2026
- Accounts · 71 to 101Oct 31, 2025 to Jan 6, 2026
- HNW clients · 24 to 32Oct 31, 2025 to Jan 6, 2026
- Other offices · 1 to 2Oct 31, 2025 to Jan 6, 2026
- Discretionary RAUM · $34.2M to $45.1MOct 31, 2025 to Jan 6, 2026
- HNW RAUM · $34.2M to $45.1MOct 31, 2025 to Jan 6, 2026
- RAUM · $34.2M to $45.1MOct 31, 2025 to Jan 6, 2026
- Advisory employees · 1 to 2Feb 12, 2025 to Oct 31, 2025
- Employees · 1 to 2Feb 12, 2025 to Oct 31, 2025
- State-registered IARs · 0 to 2Feb 12, 2025 to Oct 31, 2025
- Financial planning clients · 1-10 to 1-10Jan 7, 2025 to Feb 12, 2025
- Accounts · 53 to 71Oct 29, 2024 to Jan 7, 2025
- State-registered IARs · 1 to 0Oct 29, 2024 to Jan 7, 2025
- Discretionary RAUM · $25.7M to $34.2MOct 29, 2024 to Jan 7, 2025
- HNW RAUM · $33.8M to $34.2MOct 29, 2024 to Jan 7, 2025
- Non-discretionary RAUM · $8.2M to $0Oct 29, 2024 to Jan 7, 2025
- RAUM · $33.8M to $34.2MOct 29, 2024 to Jan 7, 2025
- HQ city · unset to NEW YORKOct 28, 2024 to Oct 29, 2024
- HQ state · unset to NYOct 28, 2024 to Oct 29, 2024
- HNW clients · 19 to 24Jan 14, 2024 to Oct 22, 2024
- HQ city · NEW YORK to unsetJan 14, 2024 to Oct 22, 2024
- HQ state · NY to unsetJan 14, 2024 to Oct 22, 2024
- Discretionary RAUM · $21.7M to $25.7MJan 14, 2024 to Oct 22, 2024
- HNW RAUM · $31.2M to $33.8MJan 14, 2024 to Oct 22, 2024
- Non-discretionary RAUM · $9.5M to $8.2MJan 14, 2024 to Oct 22, 2024
- RAUM · $31.2M to $33.8MJan 14, 2024 to Oct 22, 2024
- Accounts · 0 to 53Aug 31, 2023 to Jan 14, 2024
- Advisory activities · 1 to 2Aug 31, 2023 to Jan 14, 2024
- HNW clients · unset to 19.0Aug 31, 2023 to Jan 14, 2024
- Financial planning clients · unset to 1-10Aug 31, 2023 to Jan 14, 2024
- Discretionary RAUM · $0 to $21.7MAug 31, 2023 to Jan 14, 2024
Signals
2 dated events
- Erin Pember Mcclain left Coastal Wealth Management for Clark Asset Management, Llc (registered 2026-04-10)Feb 2, 2026 · Advisor changed firm · fact
- Coastal Private Wealth Management filed its initial SEC registration (Form ADV)Aug 1, 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 phone
- 908-433-7922reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 917-558-2468reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- coastalprivatewealthmgmt.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 917-558-2468reportedpublic record, Form ADV, Sep 5, 2026
- Contact form
- coastalprivatewealthmgmt.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- coastalprivatewealthmgmt.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $45.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026