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•• B••••• W•••••• I••
Latest filing Sep 23, 2025
First filing on the tape Jul 1, 2024 · 7 filings
SEC status approved since Aug 6, 2024
RAUM
$144M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
54%
$77.5M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$47.9M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$144M as of Sep 23, 2025
Jan 15, 2025$38.7M then
HNW client RAUM$48.3M as of Sep 23, 2025
Jan 15, 2025$20.1M then
State-registered IARs (5.B.3)3 as of Sep 23, 2025
Jan 15, 20253 then
Employees (5.A)5 as of Sep 23, 2025
Jan 15, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 23, 2025; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- RAUM per advisor
- $47.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $732,461derivedHNW RAUM over HNW clients
- Average account
- $567,787derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 44%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 individuals, selection of other advisersreportedItem 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
- Charitable organizations$57.2M40%
- High-net-worth individuals$48.3M34%
- Individuals$29.1M20%
- Pension and profit-sharing plans$6.5M4.5%
- Corporations and businesses$2.5M1.8%
- Individual clients
- 173reported
- HNW clients
- 66reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 253reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.54 fund_share=0.0 institutional_share=0.44 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• F•••• N••••• | Syosset, Ny | Oct 14, 2024 | 13 y | 0 |
| M•••••• H•••• M•••••••• | Syosset, Ny | Oct 29, 2024 | 23 y | 4 |
| G••••••• T•••••• | Syosset, Ny | Oct 29, 2024 | 26 y | 2 |
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
- M•••••• H•••• M•••••••• from S•• I••••••••• A•••••••• I•••Oct 29, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- G••••••• T•••••• from S•• I••••••••• A•••••••• I•••Oct 29, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S•• I••••••••• A•••••••• I•••Dec 24, 2024 · New Rochelle, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• J••••• F•••• · Managing Partner, Vp, And Chief Compliance Officercontrolsince 07/2017 · owns 50% to 75%
- T••••••• G•••••••• N•• · Managing Partner And Presidentcontrolsince 07/2017 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Syosset, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Sep 23, 2025institutional share of RAUM of 44% against a peer median of 0% (5676 comparable advisers, 98.0th percentile, 14.8 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 98% percentile
- affiliate changedChange between filings · filing Sep 23, 2025insurance affiliate (Item 7.A.10): yes on the filing of 2025-02-28, no on the filing of 2025-09-23peers: independent wealth managers, $100M to $500M (5,676)
- custody status changedChange between filings · filing Sep 23, 2025custody of client assets (Item 9.A): yes on the filing of 2025-02-28, no on the filing of 2025-09-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 205 to 253Feb 28, 2025 to Sep 23, 2025
- Corporate clients · unset to 7.0Feb 28, 2025 to Sep 23, 2025
- HNW clients · 12 to 66Feb 28, 2025 to Sep 23, 2025
- Individual clients · 122 to 173Feb 28, 2025 to Sep 23, 2025
- Pension plan clients · unset to 7.0Feb 28, 2025 to Sep 23, 2025
- Assets in custody · 0.0 to unsetFeb 28, 2025 to Sep 23, 2025
- Custody of client assets · true to falseFeb 28, 2025 to Sep 23, 2025
- Employees · 4 to 5Feb 28, 2025 to Sep 23, 2025
- Discretionary RAUM · $38.7M to $144MFeb 28, 2025 to Sep 23, 2025
- HNW RAUM · $20.1M to $48.3MFeb 28, 2025 to Sep 23, 2025
- Individual RAUM · $18.7M to $29.1MFeb 28, 2025 to Sep 23, 2025
- Pension RAUM · unset to 6474148.0Feb 28, 2025 to Sep 23, 2025
- RAUM · $38.7M to $144MFeb 28, 2025 to Sep 23, 2025
- Related insurance company · true to falseFeb 28, 2025 to Sep 23, 2025
- Financial planning clients · unset to Jan 15, 2025 to Feb 28, 2025
- Other offices · 0 to 1Jan 15, 2025 to Feb 28, 2025
- Accounts · 0 to 205Oct 31, 2024 to Jan 15, 2025
- HNW clients · unset to 12.0Oct 31, 2024 to Jan 15, 2025
- Individual clients · unset to 122.0Oct 31, 2024 to Jan 15, 2025
- Discretionary RAUM · $0 to $38.7MOct 31, 2024 to Jan 15, 2025
- HNW RAUM · unset to 20050000.0Oct 31, 2024 to Jan 15, 2025
- Individual RAUM · unset to 18660000.0Oct 31, 2024 to Jan 15, 2025
- RAUM · $0 to $38.7MOct 31, 2024 to Jan 15, 2025
- BD registered reps · 0 to 2Jul 5, 2024 to Oct 31, 2024
- Insurance-licensed employees · 0 to 2Jul 5, 2024 to Oct 31, 2024
- Business name · O•• B••••• W•••••• I••• to O•• B••••• W•••••• I••Jul 1, 2024 to Jul 2, 2024
- Legal name · O•• B••••• W•••••• I••• to O•• B••••• W•••••• I••Jul 1, 2024 to Jul 2, 2024
Signals
2 dated events
- 2 advisors left S•• I••••••••• A•••••••• I••• (New Rochelle, NY) for O•• B••••• W•••••• I•• within 7 daysDec 24, 2024 · Team lift-out · derived
- O•• B••••• W•••••• I••• filed its initial SEC registration (Form ADV)Jul 1, 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 phone
- 718-475-9422reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 347-723-8943reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 917-830-4443reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- o•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (347) 723-8943reportedpublic record, Form ADV, Sep 23, 2025
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
- $47.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026