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
O••••• P•••••• W••••• L••
Latest filing Jun 23, 2026
First filing on the tape Apr 24, 2024 · 10 filings
SEC status approved since May 21, 2024
RAUM
$448M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$344M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$149M
derived; firm RAUM over IAPD count
Employees
6
2 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$448M as of Jun 23, 2026
Jan 31, 2025$159M then
HNW client RAUM$340M as of Jun 23, 2026
Jan 31, 2025$157M then
State-registered IARs (5.B.3)2 as of Jun 23, 2026
Jan 31, 20251 then
Employees (5.A)6 as of Jun 23, 2026
Jan 31, 20252 then
Private funds: no history
RAUM +177% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Jun 23, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $149MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.7MderivedHNW RAUM over HNW clients
- Average account
- $3.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +177%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +51%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $448M, 58 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
- 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$340M76%
- Charitable organizations$104M23%
- Individuals$3.8M0.8%
- Individual clients
- 12reported
- HNW clients
- 44reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 124reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $448M for 58 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• G••• Y••••••• | New York, Ny | Jul 17, 2024 | 33 y | 3 |
| M••••••• L••••• G••••• C•••••••Certified Financial Planner | New York, Ny | Aug 5, 2025 | 27 y | 2 |
| J••• S•••• R•••••Chartered Financial Analyst | New York, Ny | Nov 4, 2025 | 18 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J••• S•••• R••••• from C••••••Nov 4, 2025 · RIA to RIA
- M••••••• L••••• G••••• C••••••• from C••••••Aug 5, 2025 · RIA to RIA
- J••• G••• Y••••••• from S••••• B••••• • H•••••Jul 17, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Y•••••••• J•••• G••• · Ceo And Ccocontrolsince 03/2024 · 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 | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
7 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Jun 23, 2026RAUM per registered advisor of $149,459,208 against a peer median of $55,731,856 (3254 comparable advisers, 99.0th percentile, 3.3 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 99% percentile
- unusually large average HNW clientStatic outlier · filing Jun 23, 2026HNW RAUM per HNW client of $7,735,608 against a peer median of $2,404,040 (4940 comparable advisers, 98.0th percentile, 3.6 robust deviations)peers: independent wealth managers, $100M to $500M (4,940) · 98% percentile
- wealth to institutional shiftCombination · filing Apr 16, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $162,119,890 to $448,377,625, advisors 1 to 2, private clients 37 to 56, offices 0 to 0 (2025-03-20 to 2026-04-16)peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 50 %Change between filings · filing Apr 16, 2026RAUM (Item 5.F) moved from $162,119,890 to $448,377,625 (+177.0%) between the annual amendments of 2025-03-20 and 2026-04-16; the peer median change was +15.0% (4550 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 100% percentile
- client mix shiftChange between filings · filing Apr 16, 2026private-client share of RAUM moved from 100.0% to 77.0% between the annual amendments of 2025-03-20 and 2026-04-16peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Apr 16, 2026institutional share of RAUM moved from 0.0% to 23.0% between the annual amendments of 2025-03-20 and 2026-04-16peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Apr 16, 2026HNW share of RAUM moved from 99.0% to 76.0% between the annual amendments of 2025-03-20 and 2026-04-16peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 47 to 124Dec 4, 2025 to Mar 31, 2026
- Advisory activities · 1 to 2Dec 4, 2025 to Mar 31, 2026
- Charity clients · unset to 2.0Dec 4, 2025 to Mar 31, 2026
- Corporate clients · unset to 0.0Dec 4, 2025 to Mar 31, 2026
- HNW clients · 30 to 44Dec 4, 2025 to Mar 31, 2026
- Individual clients · 7 to 12Dec 4, 2025 to Mar 31, 2026
- Pension plan clients · unset to 0.0Dec 4, 2025 to Mar 31, 2026
- Pooled vehicle clients · unset to 0.0Dec 4, 2025 to Mar 31, 2026
- Assets in custody · $123M to $448MDec 4, 2025 to Mar 31, 2026
- Employees · 4 to 6Dec 4, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 1-10Dec 4, 2025 to Mar 31, 2026
- Discretionary RAUM · $162M to $448MDec 4, 2025 to Mar 31, 2026
- HNW RAUM · $160M to $340MDec 4, 2025 to Mar 31, 2026
- Individual RAUM · $2.0M to $3.8MDec 4, 2025 to Mar 31, 2026
- Pension RAUM · unset to 0.0Dec 4, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · unset to 0.0Dec 4, 2025 to Mar 31, 2026
- RAUM · $162M to $448MDec 4, 2025 to Mar 31, 2026
- Advisory employees · 1 to 2Mar 20, 2025 to Aug 25, 2025
- Employees · 2 to 4Mar 20, 2025 to Aug 25, 2025
- Financial planning clients · 0 to 0Mar 20, 2025 to Aug 25, 2025
- State-registered IARs · 1 to 2Mar 20, 2025 to Aug 25, 2025
- Accounts · 46 to 47Jan 31, 2025 to Mar 20, 2025
- Advisory activities · 2 to 1Jan 31, 2025 to Mar 20, 2025
- Individual clients · 6 to 7Jan 31, 2025 to Mar 20, 2025
- Assets in custody · $133M to $123MJan 31, 2025 to Mar 20, 2025
- Discretionary RAUM · $159M to $162MJan 31, 2025 to Mar 20, 2025
- HNW RAUM · $157M to $160MJan 31, 2025 to Mar 20, 2025
- Individual RAUM · $1.7M to $2.0MJan 31, 2025 to Mar 20, 2025
- RAUM · $159M to $162MJan 31, 2025 to Mar 20, 2025
- Assets in custody · unset to 133000000.0Sep 13, 2024 to Jan 31, 2025
- Custody of client assets · false to trueSep 13, 2024 to Jan 31, 2025
- Employees · 1 to 2Sep 13, 2024 to Jan 31, 2025
- Accounts · 0 to 46Apr 30, 2024 to Sep 13, 2024
- BD registered reps · 1 to 0Apr 30, 2024 to Sep 13, 2024
- HNW clients · unset to 30.0Apr 30, 2024 to Sep 13, 2024
- Individual clients · unset to 6.0Apr 30, 2024 to Sep 13, 2024
- Discretionary RAUM · $0 to $159MApr 30, 2024 to Sep 13, 2024
- HNW RAUM · unset to 157088711.0Apr 30, 2024 to Sep 13, 2024
- Individual RAUM · unset to 1672679.0Apr 30, 2024 to Sep 13, 2024
- RAUM · $0 to $159MApr 30, 2024 to Sep 13, 2024
Signals
2 dated events
- O••••• P•••••• W••••• L•• reported RAUM $448.4M, up 177% from $162.1M (2025-12-04 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- O••••• P•••••• W••••• L•• filed its initial SEC registration (Form ADV)Apr 24, 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
- cruland@ospreypw.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- gcampbell@ospreypw.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- msullivan@ospreypw.comreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ospreypw.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (646) 907-5800reportedpublic record, Form ADV, Jun 23, 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
- $149Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026