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
R••••• A••••••• L••
Latest filing Feb 5, 2026
First filing on the tape Feb 21, 2024 · 5 filings
SEC status approved since Mar 22, 2024
RAUM
$2.4B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.2%
$3.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.4B
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$2.4B as of Feb 5, 2026
Mar 28, 2025$85.5M then
HNW client RAUM: $3.6M
State-registered IARs (5.B.3)0 as of Feb 5, 2026
Mar 28, 20250 then
Employees (5.A)2 as of Feb 5, 2026
Mar 28, 20251 then
Private funds: no history
RAUM +2694% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 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
- $2.4BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $88.5MderivedRAUM 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
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2694%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 feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Banks and thrifts$2.2B94%
- Pooled investment vehicles$149M6.3%
- High-net-worth individuals$3.6M0.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 27reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.06 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• K••••• | New York, Ny | Jul 14, 2026 | 11 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• A•••• I•••• · Member And Chief Compliance Officercontrolsince 02/2024 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Feb 5, 2026discretionary share of RAUM of 0% against a peer median of 100% (247 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $1B to $5B (247) · 0.0% percentile
- business activity changedChange between filings · filing Feb 5, 2026advises private funds (Item 7.B): no on the filing of 2025-09-11, yes on the filing of 2026-02-05peers: other advisers, $1B to $5B (247)
- institutional asset share shiftChange between filings · filing Feb 5, 2026institutional share of RAUM moved from 10.0% to 94.0% between the annual amendments of 2025-03-28 and 2026-02-05peers: other advisers, $1B to $5B (247)
- RAUM up 50 %Change between filings · filing Feb 5, 2026RAUM (Item 5.F) moved from $85,482,252 to $2,388,380,041 (+2694.0%) between the annual amendments of 2025-03-28 and 2026-02-05; the peer median change was +11.0% (231 comparable advisers, 100.0th percentile of changes)peers: other advisers, $1B to $5B (231) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 27Sep 11, 2025 to Feb 5, 2026
- Employees · 1 to 2Sep 11, 2025 to Feb 5, 2026
- HNW RAUM · unset to 3642077.0Sep 11, 2025 to Feb 5, 2026
- Non-discretionary RAUM · $85.5M to $2.4BSep 11, 2025 to Feb 5, 2026
- Pooled vehicle RAUM · $76.6M to $149MSep 11, 2025 to Feb 5, 2026
- RAUM · $85.5M to $2.4BSep 11, 2025 to Feb 5, 2026
- Advisory activities · 2 to 3Mar 28, 2025 to Sep 11, 2025
- Accounts · 2 to 3Jul 22, 2024 to Mar 28, 2025
- Financial planning clients · unset to Jul 22, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $406M to $85.5MJul 22, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $406M to $76.6MJul 22, 2024 to Mar 28, 2025
- RAUM · $406M to $85.5MJul 22, 2024 to Mar 28, 2025
- Accounts · 0 to 2Feb 21, 2024 to Jul 22, 2024
- Pooled vehicle clients · unset to 1.0Feb 21, 2024 to Jul 22, 2024
- HQ city · unset to NEW YORKFeb 21, 2024 to Jul 22, 2024
- HQ state · unset to NYFeb 21, 2024 to Jul 22, 2024
- Other offices · 0 to 1Feb 21, 2024 to Jul 22, 2024
- Non-discretionary RAUM · $0 to $406MFeb 21, 2024 to Jul 22, 2024
- Pooled vehicle RAUM · unset to 405527726.0Feb 21, 2024 to Jul 22, 2024
- RAUM · $0 to $406MFeb 21, 2024 to Jul 22, 2024
Signals
3 dated events
- R••••• A••••••• L•• reported RAUM $2.4B, up 2694% from $85.5M (2025-09-11 to 2026-02-05)Feb 5, 2026 · RAUM change · derived
- R••••• A••••••• L•• reported RAUM $85.5M, down 79% from $405.5M (2024-07-22 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- R••••• A••••••• L•• filed its initial SEC registration (Form ADV)Feb 21, 2024 · 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
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 917-325-7440reportedpublic record, Form ADV, Feb 5, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $2.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026