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
M••••••• W••••• A••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Feb 21, 2024 · 10 filings
SEC status approved since Apr 1, 2024
RAUM
$204M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
62%
$126M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$68.0M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$204M as of Mar 18, 2026
Feb 5, 2025$156M then
HNW client RAUM$86.4M as of Mar 18, 2026
Feb 5, 2025$65.7M then
State-registered IARs (5.B.3)3 as of Mar 18, 2026
Feb 5, 20250 then
Employees (5.A)7 as of Mar 18, 2026
Feb 5, 20257 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 0 to 3
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $68.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $339,537derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -25%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $202MreportedItem 5.I
- Custody
- $22.9M, 75 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
- 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)
- 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$86.4M42%
- Pension and profit-sharing plans$57.5M28%
- Individuals$39.7M19%
- Corporations and businesses$20.5M10%
- Individual clients
- 180reported
- HNW clients
- 29reported
- Pension plan clients
- 65reported
- Charitable clients
- n/areported
- Accounts
- 601reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $22.9M for 75 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.62 fund_share=0.0 institutional_share=0.28 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• B• S•••Certified Financial Planner | Jericho, Ny | Apr 3, 2024 | 22 y | 4 |
| S••••• P••••• S••• | Jericho, Ny | Nov 29, 2025 | 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
- P••••• B• S••• from C••••• A••••••• G••••• L••Apr 3, 2024 · RIA to a newly registered adviser
- T•• P•••••• H•••••••• from C••••• A••••••• G••••• L••Apr 3, 2024 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C••••• A••••••• G••••• L••May 31, 2024 · Hicksville,, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••• P•••••• B• · Ownercontrolsince 01/2024 · owns 75% or more
- H•••••• C••••••••• M•••• · Chief Compliance Officersince 02/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Jericho, Ny · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 18, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $181,943,248 to $204,061,905, advisors 0 to 3, private clients 277 to 209, offices 0 to 0 (2025-03-21 to 2026-03-18)peers: independent wealth managers, $100M to $500M (5,676)
- account count surgeChange between filings · filing Mar 18, 2026accounts (Item 5.F.2.f) moved from 363.0 to 601.0 (+66.0%) between the annual amendments of 2025-03-21 and 2026-03-18; the peer median change was +5.0% (3687 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 97% percentile
- custody status changedChange between filings · filing Mar 18, 2026custody of client assets (Item 9.A): no on the filing of 2025-05-21, yes on the filing of 2026-03-18peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 363 to 601May 21, 2025 to Mar 18, 2026
- Advisory employees · 2 to 3May 21, 2025 to Mar 18, 2026
- Corporate clients · 17 to 12May 21, 2025 to Mar 18, 2026
- HNW clients · 27 to 29May 21, 2025 to Mar 18, 2026
- Individual clients · 250 to 180May 21, 2025 to Mar 18, 2026
- Pension plan clients · 69 to 65May 21, 2025 to Mar 18, 2026
- Assets in custody · unset to 22859958.0May 21, 2025 to Mar 18, 2026
- Custody of client assets · false to trueMay 21, 2025 to Mar 18, 2026
- State-registered IARs · 0 to 3May 21, 2025 to Mar 18, 2026
- Discretionary RAUM · $182M to $202MMay 21, 2025 to Mar 18, 2026
- HNW RAUM · $70.3M to $86.4MMay 21, 2025 to Mar 18, 2026
- Individual RAUM · $43.5M to $39.7MMay 21, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $0 to $2.3MMay 21, 2025 to Mar 18, 2026
- Pension RAUM · $42.5M to $57.5MMay 21, 2025 to Mar 18, 2026
- RAUM · $182M to $204MMay 21, 2025 to Mar 18, 2026
- Financial planning clients · 0 to 51-100Mar 21, 2025 to May 21, 2025
- Accounts · 482 to 363Feb 5, 2025 to Mar 21, 2025
- Corporate clients · 13 to 17Feb 5, 2025 to Mar 21, 2025
- HNW clients · 35 to 27Feb 5, 2025 to Mar 21, 2025
- Individual clients · 159 to 250Feb 5, 2025 to Mar 21, 2025
- Pension plan clients · 67 to 69Feb 5, 2025 to Mar 21, 2025
- Discretionary RAUM · $156M to $182MFeb 5, 2025 to Mar 21, 2025
- HNW RAUM · $65.7M to $70.3MFeb 5, 2025 to Mar 21, 2025
- Individual RAUM · $30.7M to $43.5MFeb 5, 2025 to Mar 21, 2025
- Pension RAUM · $45.4M to $42.5MFeb 5, 2025 to Mar 21, 2025
- RAUM · $156M to $182MFeb 5, 2025 to Mar 21, 2025
- HQ city · HICKSVILLE to JERICHONov 18, 2024 to Feb 5, 2025
- Accounts · 0 to 482Apr 3, 2024 to Jul 3, 2024
- Corporate clients · unset to 13.0Apr 3, 2024 to Jul 3, 2024
- HNW clients · unset to 35.0Apr 3, 2024 to Jul 3, 2024
- Individual clients · unset to 159.0Apr 3, 2024 to Jul 3, 2024
- Pension plan clients · unset to 67.0Apr 3, 2024 to Jul 3, 2024
- Discretionary RAUM · $0 to $156MApr 3, 2024 to Jul 3, 2024
- HNW RAUM · unset to 65669153.0Apr 3, 2024 to Jul 3, 2024
- Individual RAUM · unset to 30713233.0Apr 3, 2024 to Jul 3, 2024
- Pension RAUM · unset to 45426329.0Apr 3, 2024 to Jul 3, 2024
- RAUM · $0 to $156MApr 3, 2024 to Jul 3, 2024
Signals
2 dated events
- 2 advisors left C••••• A••••••• G••••• L•• (Hicksville,, NY) for M••••••• W••••• A••••••• L•• on the same dayMay 31, 2024 · Team lift-out · derived
- M••••••• W••••• 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
- Business email
- admin@pareshah.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- thawdar@pareshah.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- samir.s2s@pareshah.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- billy@pareshah.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- chris@pareshah.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- christina@pareshah.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- ravi@pareshah.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- corinne.s2s@pareshah.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-274-3790reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-268-3446reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-452-9746reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- pareshah.comreportedpublic record, Form ADV, Sep 18, 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
- $68.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026