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

N••••••••• W••••• P•••••••• L••

Independent wealth managerNew York, New YorkCRD 337328SEC 801-133943websiteIAPD
Latest filing Jul 9, 2026
First filing on the tape Jun 26, 2025 · 8 filings
SEC status approved since Jun 13, 2025
RAUM
$263M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$263M individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$15.5M
derived; firm RAUM over IAPD count
Employees
23
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$263M as of Jul 9, 2026
Jun 26, 2025$213M then
HNW client RAUM$110M as of Jul 9, 2026
Jun 26, 2025$133M then
State-registered IARs (5.B.3)11 as of Jul 9, 2026
Jun 26, 20254 then
Employees (5.A)23 as of Jul 9, 2026
Jun 26, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 9, 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
$15.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$235,101derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
17.0derived1 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 feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months
1derivedhalf or more of a firm's advisors moved here within 14 days
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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$153M58%
  • High-net-worth individuals$110M42%
Individual clients
647reported
HNW clients
47reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1,118reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
17 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
L••••• D•••• S•••••••New York, NyAug 6, 202518 y1
W•••••• A•••••• T•••••••••Certified Financial PlannerNew York, NyAug 11, 202511 y1
D••••• R••• S•••••••Chartered Financial AnalystNew York, NyAug 11, 202520 y3
J••••• R••••Certified Financial PlannerNew York, NyAug 12, 202521 y2
M•••••• B••• L••••••New York, NyAug 12, 202512 y2
T••••• M•••••• R••••••New York, NyAug 13, 202512 y1
J•••• T•••••• B••••••New York, NyAug 20, 202510 y1
S•••• C••••• B••••••New York, NyAug 28, 202512 y0
P•••• F•••••• M•••••••Certified Financial PlannerNew York, NyNov 12, 202513 y0
M•••••• E• F••••••New York, NyNov 12, 202510 y0
N••••••• A••••• S••••• C•••••••••New York, NyNov 27, 202510 y0
A•••••••• K•••New York, NyFeb 24, 202611 y1
I••••••• D••••• M••••••••New York, NyMar 3, 202610 y1
C••••••••• S••••••••New York, NyApr 6, 202614 y0
D•••• P••••• M•••••New York, NyJul 15, 202611 y2
K••••• B•••••••Certified Financial PlannerNew York, NyAug 19, 202614 y2
S•••••• M•••••New York, NyAug 19, 202611 y3
Advisor movement
0 left, 5 joined in 12 months
net +5 in 12 months0 left in 90 days3 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
      • B••••••• J••••• T•••••• · Chief Operating Officercontrol
        since 06/2025 · owns less than 5%
      • C••••• M•••••••• W••• · Presidentcontrol
        since 06/2025 · owns less than 5%
      • G••••••••• P••• · Chief Compliance Officercontrol
        since 06/2026 · owns less than 5%
      • S•••••••• D•••••• R••• · Ceocontrol
        since 06/2025 · owns less than 5%
      • S•••••••• L•••••• D•••• · Chief Of Staffcontrol
        since 06/2025 · owns less than 5%
      Entity owners
      • N••••••••• D••••••• H•••••• C•• I• · Owner
        direct · 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
      OfficeAdvisorsJoinedLeftTeams outForming
      New York, Ny · principal1790
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1,014 to 1,118
        Jan 30, 2026 to Mar 30, 2026
      • Advisory employees · 7 to 11
        Jan 30, 2026 to Mar 30, 2026
      • HNW clients · 70 to 47
        Jan 30, 2026 to Mar 30, 2026
      • Individual clients · 336 to 647
        Jan 30, 2026 to Mar 30, 2026
      • Pension plan clients · 1 to 0
        Jan 30, 2026 to Mar 30, 2026
      • Employees · 10 to 23
        Jan 30, 2026 to Mar 30, 2026
      • State-registered IARs · 7 to 11
        Jan 30, 2026 to Mar 30, 2026
      • Discretionary RAUM · $236M to $263M
        Jan 30, 2026 to Mar 30, 2026
      • HNW RAUM · $145M to $110M
        Jan 30, 2026 to Mar 30, 2026
      • Individual RAUM · $90.0M to $153M
        Jan 30, 2026 to Mar 30, 2026
      • Pension RAUM · 1486299.0 to unset
        Jan 30, 2026 to Mar 30, 2026
      • RAUM · $236M to $263M
        Jan 30, 2026 to Mar 30, 2026
      • Advisory activities · 2 to 3
        Oct 1, 2025 to Jan 30, 2026
      • Accounts · 969 to 1,014
        Jun 26, 2025 to Oct 1, 2025
      • Advisory employees · 4 to 7
        Jun 26, 2025 to Oct 1, 2025
      • Business name · N••• W••••• W••••• P••••••• to N••••••••• W••••• P•••••••• L••
        Jun 26, 2025 to Oct 1, 2025
      • Individual clients · 332 to 336
        Jun 26, 2025 to Oct 1, 2025
      • Employees · 4 to 10
        Jun 26, 2025 to Oct 1, 2025
      • State-registered IARs · 4 to 7
        Jun 26, 2025 to Oct 1, 2025
      • Legal name · N••• W••••• W••••• P••••••• to N••••••••• W••••• P•••••••• L••
        Jun 26, 2025 to Oct 1, 2025
      • Discretionary RAUM · $213M to $236M
        Jun 26, 2025 to Oct 1, 2025
      • HNW RAUM · $133M to $145M
        Jun 26, 2025 to Oct 1, 2025
      • Individual RAUM · $79.5M to $90.0M
        Jun 26, 2025 to Oct 1, 2025
      • Pension RAUM · $1.3M to $1.5M
        Jun 26, 2025 to Oct 1, 2025
      • RAUM · $213M to $236M
        Jun 26, 2025 to Oct 1, 2025
      Signals
      1 dated events
      • F••••• Y•• W•••••'s advisors moved to N••••••••• W••••• P•••••••• L•• (New York, NY): 4 of 4 registered, on the same day
        Jul 31, 2025 · Firm absorbed (people side) · 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
      Principal office phone
      917-275-7821reportedpublic record, Form ADV, Jul 9, 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
      $15.5Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026