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.

SEC-registered adviser

Third View Private Wealth

Independent wealth managerWestport, ConnecticutCRD 335591SEC 801-132770websiteIAPD
Legal name Third View Private Wealth, LLC
Latest filing Aug 10, 2026
First filing on the tape May 25, 2025 · 7 filings
SEC status approved since May 19, 2025
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.2B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$165M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$1.2B as of Aug 10, 2026
May 25, 2025$0 then
HNW client RAUM$1.1B as of Aug 10, 2026
May 25, 2025$0 then
State-registered IARs (5.B.3)7 as of Aug 10, 2026
May 25, 20254 then
Employees (5.A)11 as of Aug 10, 2026
May 25, 20256 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 10, 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
RAUM per advisor
$165MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
46derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.9MderivedHNW RAUM over HNW clients
Average account
$644,542derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
7.0derived1 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 assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$106M, 224 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.1B94%
  • Individuals$68.9M6.0%
  • Charitable organizations$1.6M0.1%
Individual clients
139reported
HNW clients
183reported
Pension plan clients
0reported
Charitable clients
2reported
Accounts
1,792reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$106M for 224 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Jake Ryan MccarthyCertified Financial Planner, Chartered Financial ConsultantWestport, CtMay 22, 202510 y2
Zoltan PongraczCertified Financial Planner, Chartered Financial ConsultantWestport, CtMay 22, 202515 y3
Francis John MckiernanWestport, Ct May 22, 202512 y5
Christopher Mathew SneedChartered Financial ConsultantWestport, CtMay 22, 202518 y3
Amanda Maria DiguiseppeWestport, CtMay 22, 202512 y2
Michael Alexander HerbertCertified Financial Planner, Chartered Financial ConsultantWestport, CtJun 3, 202511 y1
Jerry Robert SneedChartered Financial AnalystWestport, CtJun 5, 202517 y5
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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Lee Christopher Payne · Cco
        since 08/2025 · owns less than 5%
      Entity owners
      • Aphyra Holdings LLC · Member
        direct · owns 25% to 50%
      • Jrs III Holding LLC · Member
        direct · owns 25% to 50%
      • Zp Equity Holding, LLC · Member Member Member Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Westport, Ct · principal700
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory activities · 3 to 4
        Feb 26, 2026 to Apr 27, 2026
      • Accounts · 2,096 to 1,792
        Nov 21, 2025 to Feb 26, 2026
      • HNW clients · 132 to 183
        Nov 21, 2025 to Feb 26, 2026
      • Individual clients · 153 to 139
        Nov 21, 2025 to Feb 26, 2026
      • Assets in custody · $76.0M to $106M
        Nov 21, 2025 to Feb 26, 2026
      • Employees · 10 to 11
        Nov 21, 2025 to Feb 26, 2026
      • Financial planning clients · 0 to 1-10
        Nov 21, 2025 to Feb 26, 2026
      • State-registered IARs · 8 to 7
        Nov 21, 2025 to Feb 26, 2026
      • Discretionary RAUM · $1.1B to $1.2B
        Nov 21, 2025 to Feb 26, 2026
      • HNW RAUM · $997M to $1.1B
        Nov 21, 2025 to Feb 26, 2026
      • Individual RAUM · $55.1M to $68.9M
        Nov 21, 2025 to Feb 26, 2026
      • RAUM · $1.1B to $1.2B
        Nov 21, 2025 to Feb 26, 2026
      • Financial planning clients · 0 to 0
        Aug 11, 2025 to Nov 21, 2025
      • Accounts · 0 to 2,096
        May 25, 2025 to Aug 11, 2025
      • Advisory employees · 4 to 6
        May 25, 2025 to Aug 11, 2025
      • Charity clients · 0 to 2
        May 25, 2025 to Aug 11, 2025
      • HNW clients · 0 to 132
        May 25, 2025 to Aug 11, 2025
      • Individual clients · 0 to 153
        May 25, 2025 to Aug 11, 2025
      • Assets in custody · unset to 75972071.0
        May 25, 2025 to Aug 11, 2025
      • Custody of client assets · false to true
        May 25, 2025 to Aug 11, 2025
      • Employees · 6 to 10
        May 25, 2025 to Aug 11, 2025
      • Insurance-licensed employees · 4 to 0
        May 25, 2025 to Aug 11, 2025
      • State-registered IARs · 4 to 8
        May 25, 2025 to Aug 11, 2025
      • Discretionary RAUM · $0 to $1.1B
        May 25, 2025 to Aug 11, 2025
      • HNW RAUM · $0 to $997M
        May 25, 2025 to Aug 11, 2025
      • Individual RAUM · $0 to $55.1M
        May 25, 2025 to Aug 11, 2025
      • RAUM · $0 to $1.1B
        May 25, 2025 to Aug 11, 2025
      Signals
      2 dated events
      • 6 advisors left Procyon (Shelton, CT) for Third View Private Wealth on the same day
        May 21, 2025 · Team lift-out · derived
      • 2 advisors left Procyon (New York, NY) for Third View Private Wealth on the same day
        May 21, 2025 · Team lift-out · derived
      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@thirdviewpw.comreportedpublished by the firm, firm site, Sep 15, 2026
      Business phone
      203-408-0098reportedpublished by the firm, firm site, Sep 15, 2026
      Business phone
      303-797-9080reportedpublished by the firm, firm site, Sep 15, 2026
      Website
      thirdviewpw.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      8607590650reportedpublic record, Form ADV, Aug 10, 2026
      Contact form
      thirdviewpw.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
      Team page
      thirdviewpw.com/teamreportedpublished by the firm, firm site, Sep 15, 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
      $165Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026