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
Mary & Pip
Legal name Mary & Pip Investments, LLC
Latest filing Sep 9, 2026
First filing on the tape Nov 21, 2025 · 7 filings
SEC status approved since Nov 21, 2025
RAUM
$2,214
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2,214 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$1,107
derived; firm RAUM over IAPD count
Employees
2
1 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$2,214 as of Jun 2, 2026
Nov 21, 2025$0 then
HNW client RAUM$0 as of Jun 2, 2026
Nov 21, 2025$0 then
State-registered IARs (5.B.3)2 as of Jun 2, 2026
Nov 21, 20251 then
Employees (5.A)2 as of Jun 2, 2026
Nov 21, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1,107derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 4derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $316derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $2,214reportedItem 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$2,214100%
- Individual clients
- 7reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mary Holland Nader | New York, Ny | Nov 21, 2025 | 16 y | 1 |
| Kara Barbara Cooke | New York, Ny | Mar 27, 2026 | 10 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- Kara Barbara Cooke from UBS Financial Services Inc.Mar 27, 2026 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Mary Holland Nader from Deutsche Bank Securities Inc.Nov 21, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Holland Mary Nader · Managing Member & Chief Compliance Officercontrolsince 08/2025 · owns less than 5%
- Barbara Kara Cooke · Chief Investment Officersince 03/2026 · owns less than 5%
Entity owners
- Mary & Pip Co. · Ownerdirect · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Sep 9, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2026-06-02, no on the filing of 2026-09-09peers: independent wealth managers, under $100M (704)
What changed
consecutive filings, newest first
- Advisory activities · 3 to 1Jun 2, 2026 to Sep 9, 2026
- Financial planning clients · to unsetJun 2, 2026 to Sep 9, 2026
- HQ city · to unsetJun 2, 2026 to Sep 9, 2026
- HQ state · to unsetJun 2, 2026 to Sep 9, 2026
- Related adviser · false to unsetJun 2, 2026 to Sep 9, 2026
- Related bank · false to unsetJun 2, 2026 to Sep 9, 2026
- Related broker-dealer · false to unsetJun 2, 2026 to Sep 9, 2026
- Related insurance company · false to unsetJun 2, 2026 to Sep 9, 2026
- Succession · false to unsetJun 2, 2026 to Sep 9, 2026
- Wrap assets (manager) · $2,214 to $0Jun 2, 2026 to Sep 9, 2026
- Wrap assets (sponsor) · $2,214 to $0Jun 2, 2026 to Sep 9, 2026
- Discretionary RAUM · $544 to $2,214May 4, 2026 to Jun 2, 2026
- Individual RAUM · $544 to $2,214May 4, 2026 to Jun 2, 2026
- RAUM · $544 to $2,214May 4, 2026 to Jun 2, 2026
- Wrap assets (manager) · $544 to $2,214May 4, 2026 to Jun 2, 2026
- Wrap assets (sponsor) · $544 to $2,214May 4, 2026 to Jun 2, 2026
- Employees · 1 to 2Apr 14, 2026 to May 4, 2026
- State-registered IARs · 1 to 2Apr 14, 2026 to May 4, 2026
- Wrap assets (manager) · unset to 544.0Apr 14, 2026 to May 4, 2026
- Wrap assets (sponsor) · unset to 544.0Apr 14, 2026 to May 4, 2026
- Accounts · 0 to 7Mar 19, 2026 to Apr 14, 2026
- Individual clients · 0 to 7Mar 19, 2026 to Apr 14, 2026
- Discretionary RAUM · $0 to $544Mar 19, 2026 to Apr 14, 2026
- Individual RAUM · $0 to $544Mar 19, 2026 to Apr 14, 2026
- RAUM · $0 to $544Mar 19, 2026 to Apr 14, 2026
Signals
No event on the tape.
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/mary-and-pipreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-281-9546reportedpublic record, Form ADV, Sep 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
- $1,107derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026