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
I••••••• W••••• A••••••• L••
Latest filing Jul 30, 2026
First filing on the tape Dec 15, 2025 · 4 filings
SEC status approved since Dec 16, 2025
RAUM
$140M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$136M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$14.0M
derived; firm RAUM over IAPD count
Employees
14
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$140M as of Jul 30, 2026
Dec 15, 2025$0 then
HNW client RAUM$40.6M as of Jul 30, 2026
Apr 13, 2026$40.6M then
State-registered IARs (5.B.3)10 as of Jul 30, 2026
Dec 15, 202514 then
Employees (5.A)14 as of Jul 30, 2026
Dec 15, 202517 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $14.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $243,379derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 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, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $6.1M, 7 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
- Individuals$95.3M68%
- High-net-worth individuals$40.6M29%
- Pension and profit-sharing plans$2.5M1.8%
- Corporations and businesses$1.3M0.9%
- Individual clients
- 339reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 574reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $86.8M managedreported
- Custody of client assets
- $6.1M for 7 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=11.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• A•••••• D••••••••• | Melville, Ny | May 1, 2023 | 29 y | 1 |
| R••••• J• A•••• | Melville, Ny | May 1, 2023 | 53 y | 1 |
| J••••• W•••••• P••••••• | New York, Ny | May 1, 2023 | 22 y | 1 |
| B•••• D••••••••• | Melville, Ny | May 16, 2023 | 14 y | 1 |
| M•••••• V•••••• H••• | Melville, Ny | Jul 27, 2023 | 13 y | 3 |
| A•••••••• D•••••••• | Melville, Ny | Jul 31, 2023 | 33 y | 3 |
| R•••••• S•••• Z••••Certified Financial Planner, Personal Financial Specialist | Monticello, Ny | Aug 29, 2023 | 43 y | 1 |
| R••••• N••••••• Z••••Certified Financial Planner, Personal Financial Specialist | Melville, Ny | Aug 29, 2023 | 42 y | 1 |
| J••• C•••••• O•••••Certified Financial Planner | New York, Ny | Dec 12, 2023 | 34 y | 3 |
| J••••• S•••• G•••••• | New York, Ny | Dec 12, 2023 | 35 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• D••••••• A•••••• · Cco, Ceo, Founding Partnercontrolsince 10/2025 · owns 50% to 75%
- P•••••••• J•••••• W•••••• · President, Coo, Founding Partnercontrolsince 10/2025 · owns 25% to 50%
Entity owners
- I••••••• G••••• L•• · 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 |
|---|---|---|---|---|---|
| Melville, Ny · principal | 8 | 8 | 0 | ||
| New York, Ny | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 2 to 1Apr 13, 2026 to Jul 30, 2026
- Accounts · 0 to 574Feb 26, 2026 to Apr 13, 2026
- Advisory employees · 14 to 10Feb 26, 2026 to Apr 13, 2026
- BD registered reps · 14 to 11Feb 26, 2026 to Apr 13, 2026
- HNW clients · unset to 24.0Feb 26, 2026 to Apr 13, 2026
- Individual clients · unset to 339.0Feb 26, 2026 to Apr 13, 2026
- Assets in custody · unset to 6083266.0Feb 26, 2026 to Apr 13, 2026
- Custody of client assets · false to trueFeb 26, 2026 to Apr 13, 2026
- Employees · 19 to 14Feb 26, 2026 to Apr 13, 2026
- Insurance-licensed employees · 14 to 10Feb 26, 2026 to Apr 13, 2026
- State-registered IARs · 14 to 10Feb 26, 2026 to Apr 13, 2026
- Other offices · 3 to 2Feb 26, 2026 to Apr 13, 2026
- Discretionary RAUM · $0 to $140MFeb 26, 2026 to Apr 13, 2026
- HNW RAUM · unset to 40639148.0Feb 26, 2026 to Apr 13, 2026
- Individual RAUM · unset to 95285858.0Feb 26, 2026 to Apr 13, 2026
- Pension RAUM · unset to 2475041.0Feb 26, 2026 to Apr 13, 2026
- RAUM · $0 to $140MFeb 26, 2026 to Apr 13, 2026
- Wrap assets (manager) · unset to 86755660.0Feb 26, 2026 to Apr 13, 2026
- Wrap assets (sponsor) · unset to 0.0Feb 26, 2026 to Apr 13, 2026
- Employees · 17 to 19Dec 15, 2025 to Feb 26, 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
- Business email
- info@imperityadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- dawn.honick@imperityadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-464-1995reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-634-7180reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-234-6689reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/imperity-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- imperityadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-203-2702reportedpublic record, Form ADV, Jul 30, 2026
- Contact form
- imperityadvisors.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- imperityadvisors.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $14.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026