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
P•••••••••
Legal name P••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Jun 17, 2024 · 10 filings
SEC status approved since Jul 16, 2024
RAUM
$4.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$4.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$4.0M as of Mar 31, 2026
Mar 30, 2025$592,081 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20250 then
Employees (5.A)15 as of Mar 31, 2026
Mar 30, 202510 then
Private funds: no history
RAUM +582% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $11,710derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +582%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $4.0MreportedItem 5.I
- 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$4.0M100%
- Individual clients
- 345reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 345reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
- C•••••••• M••••••• R••••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- S•••••• R•••••• R••••••••• · Ceocontrolsince 03/2024 · owns less than 5%
- S•••••• R•••••• R••••••••• · Ceo And Membercontrolsince 04/2021 · owns 25% to 50% of P••••••••• G•••• P••
Entity owners
- P••••••••• G•••• P•• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count surgeChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 10.0 to 15.0 (+50.0%) between the annual amendments of 2025-03-30 and 2026-03-31; the peer median change was 0.0% (57 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, under $100M (57) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 164 to 345Oct 6, 2025 to Mar 31, 2026
- Individual clients · 164 to 345Oct 6, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.9M to $4.0MOct 6, 2025 to Mar 31, 2026
- Individual RAUM · $1.9M to $4.0MOct 6, 2025 to Mar 31, 2026
- RAUM · $1.9M to $4.0MOct 6, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · $1.9M to $0Oct 6, 2025 to Mar 31, 2026
- Accounts · 28 to 164Jul 1, 2025 to Oct 6, 2025
- Individual clients · 28 to 164Jul 1, 2025 to Oct 6, 2025
- Employees · 10 to 15Jul 1, 2025 to Oct 6, 2025
- Discretionary RAUM · $592,081 to $1.9MJul 1, 2025 to Oct 6, 2025
- Individual RAUM · $592,081 to $1.9MJul 1, 2025 to Oct 6, 2025
- RAUM · $592,081 to $1.9MJul 1, 2025 to Oct 6, 2025
- Wrap assets (sponsor) · $592,081 to $1.9MJul 1, 2025 to Oct 6, 2025
- Financial planning clients · unset to Mar 30, 2025 to Jul 1, 2025
- Accounts · 0 to 28Aug 6, 2024 to Mar 30, 2025
- Individual clients · unset to 28.0Aug 6, 2024 to Mar 30, 2025
- Employees · 4 to 10Aug 6, 2024 to Mar 30, 2025
- HQ state · unset to Aug 6, 2024 to Mar 30, 2025
- Discretionary RAUM · $0 to $592,081Aug 6, 2024 to Mar 30, 2025
- Individual RAUM · unset to 592081.0Aug 6, 2024 to Mar 30, 2025
- RAUM · $0 to $592,081Aug 6, 2024 to Mar 30, 2025
- Wrap assets (sponsor) · $0 to $592,081Aug 6, 2024 to Mar 30, 2025
- HQ city · NEW YORK to LONDONJul 11, 2024 to Jul 13, 2024
- HQ state · NY to unsetJul 11, 2024 to Jul 13, 2024
- Other offices · 0 to 1Jul 11, 2024 to Jul 13, 2024
Signals
1 dated events
- Pensionbee filed its initial SEC registration (Form ADV)Jun 17, 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
- info@pensionbee.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- automaticrollovers@pensionbee.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- partnership@pensionbee.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 718-502-9433reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 718-502-9957reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 718-504-8093reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/pensionbee-usreportedpublic record, Form ADV, Sep 19, 2026
- Website
- pensionbee.com/usreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- +44(0)20 3457 8444reportedpublic record, Form ADV, Mar 31, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026