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
S••••••• C•••••• A••••••• I•••
Latest filing Mar 20, 2026
First filing on the tape Jul 15, 2024 · 6 filings
SEC status approved since Aug 18, 2025
RAUM
$64.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$63.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$64.3M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$64.3M as of Mar 20, 2026
Jul 15, 2025$0 then
HNW client RAUM$58.8M as of Mar 20, 2026
Dec 10, 2025$53.3M then
State-registered IARs (5.B.3)1 as of Mar 20, 2026
Jul 15, 20251 then
Employees (5.A)4 as of Mar 20, 2026
Jul 15, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 20, 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
- $64.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $431,407derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $7.6M, 14 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$58.8M91%
- Individuals$4.9M7.7%
- Charitable organizations$575,0000.9%
- Individual clients
- 19reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 149reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.6M for 14 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| R•••• N••• D••••Certified Financial Planner | Pittsford, Ny | Sep 8, 2025 | 20 y | 1 |
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
- R•••• N••• D•••• from P•••• C••••••Sep 8, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• R••••• N••• · Owner And Ccocontrolsince 07/2024 · owns 75% or more
Related persons
Schedule D 7.A
- P•••• C••••••investment adviseryRAUM $82.9M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 20, 2026custody of client assets (Item 9.A): no on the filing of 2025-12-10, yes on the filing of 2026-03-20peers: independent wealth managers, under $100M (704)
What changed
consecutive filings, newest first
- Accounts · 129 to 149Dec 10, 2025 to Mar 20, 2026
- Charity clients · unset to 3.0Dec 10, 2025 to Mar 20, 2026
- HNW clients · 18 to 26Dec 10, 2025 to Mar 20, 2026
- Individual clients · 26 to 19Dec 10, 2025 to Mar 20, 2026
- Assets in custody · unset to 7620179.0Dec 10, 2025 to Mar 20, 2026
- Custody of client assets · false to trueDec 10, 2025 to Mar 20, 2026
- Employees · 5 to 4Dec 10, 2025 to Mar 20, 2026
- Insurance-licensed employees · 1 to 0Dec 10, 2025 to Mar 20, 2026
- Financial planning clients · 0 to 26-50Dec 10, 2025 to Mar 20, 2026
- Discretionary RAUM · $63.2M to $64.3MDec 10, 2025 to Mar 20, 2026
- HNW RAUM · $53.3M to $58.8MDec 10, 2025 to Mar 20, 2026
- Individual RAUM · $9.4M to $4.9MDec 10, 2025 to Mar 20, 2026
- RAUM · $63.2M to $64.3MDec 10, 2025 to Mar 20, 2026
- Accounts · 0 to 129Sep 2, 2025 to Dec 10, 2025
- HNW clients · unset to 18.0Sep 2, 2025 to Dec 10, 2025
- Individual clients · unset to 26.0Sep 2, 2025 to Dec 10, 2025
- Employees · 2 to 5Sep 2, 2025 to Dec 10, 2025
- HQ city · to PITTSFORDSep 2, 2025 to Dec 10, 2025
- HQ state · to NYSep 2, 2025 to Dec 10, 2025
- Discretionary RAUM · $0 to $63.2MSep 2, 2025 to Dec 10, 2025
- HNW RAUM · unset to 53259000.0Sep 2, 2025 to Dec 10, 2025
- Individual RAUM · unset to 9366000.0Sep 2, 2025 to Dec 10, 2025
- RAUM · $0 to $63.2MSep 2, 2025 to Dec 10, 2025
- Related adviser · true to falseSep 2, 2025 to Dec 10, 2025
- Financial planning clients · 0 to 0Jul 15, 2025 to Sep 2, 2025
- HQ city · unset to Jul 15, 2024 to Jul 15, 2025
- HQ state · unset to Jul 15, 2024 to Jul 15, 2025
Signals
1 dated events
- S••••••• C•••••• A••••••• I••• filed its initial SEC registration (Form ADV)Jul 15, 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
- Firm profile
- linkedin.com/company/serenitycapadvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- serenitycapadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1-877-975-3383reportedpublic record, Form ADV, Mar 20, 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
- $64.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026