DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A•• I••••••••• P•••••••• L••
Latest filing Apr 27, 2026
First filing on the tape Mar 9, 2012 · 50 filings
SEC status approved since Jul 12, 1971
RAUM
$2.7B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
74%
$2.0B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$541M
derived; firm RAUM over IAPD count
Employees
18
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$2.7B as of Apr 27, 2026
Mar 29, 2012$1.2B then
HNW client RAUM$1.9B as of Apr 27, 2026
Mar 31, 2018$750M then
State-registered IARs (5.B.3)5 as of Apr 27, 2026
Mar 28, 20136 then
Employees (5.A)18 as of Apr 27, 2026
Mar 28, 201322 then
Private funds2 as of Apr 27, 2026
Mar 28, 20172 then
RAUM +52% over the last fiscal year+26% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 27, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $541MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.9MderivedHNW RAUM over HNW clients
- Average account
- $2.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +52%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $17.6M, 2 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)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.9B72%
- Investment companies$289M11%
- Corporations and businesses$260M9.6%
- Charitable organizations$117M4.3%
- Individuals$54.1M2.0%
- Pooled investment vehicles$24.9M0.9%
- Pension and profit-sharing plans$19.3M0.7%
- Individual clients
- 129reported
- HNW clients
- 217reported
- Pension plan clients
- 4reported
- Charitable clients
- 13reported
- Accounts
- 937reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $17.6M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.74 fund_share=0.12 institutional_share=0.05 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• R•••• S••••••••• | New York, Ny | Sep 30, 2021 | 37 y | 0 |
| S••• D•••• L••••••Chartered Financial Analyst | New York, Ny | Sep 30, 2021 | 15 y | 0 |
| S•••••• R••••• B•••• | New York, Ny | Sep 30, 2021 | 17 y | 0 |
| A••••• J••• S••••••••• | New York, Ny | Sep 30, 2021 | 16 y | 0 |
| G•••••• M•••••• K••• | New York, Ny | Jan 20, 2022 | 11 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
- G•••••• M•••••• K••• from M••••• S••••••Jan 20, 2022 · Wirehouse to independent RIA
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• C•••••• F••• L• | Hedge Fund | $13.1M | 33 | Mar 31, 2021 |
| 3••••••• T••••••••• F••• L•• | Venture Capital Fund | $7.0M | 39 | Mar 31, 2022 |
| P•••••• P•••••••• Y•••• F••• L•no longer reported | Hedge Fund | $1.8M | 14 | Mar 31, 2022 |
| S••••••• C•••••• P••••••• L•••no longer reported | Hedge Fund | $1.6M | 22 | Mar 29, 2012 |
| P••• S••••• A••••••••• L•••no longer reported | Hedge Fund | $1.0M | 1 | Mar 23, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• S••••••• R••••• · Managing Partner And Directorcontrolsince 12/2016 · owns less than 5%
- L••••••• S•••• D•••• · Partnercontrolsince 12/2016 · owns less than 5%
- M••••••• T•••••• W•••••• · Directorcontrolsince 12/2016 · owns less than 5%
- N••••••• K••••••• E•••••••• · Chief Compliance Officer, Chief Operating Officer, And Directorcontrolsince 08/2017 · owns less than 5%
- P•••••• A•••••• T••••• · Directorcontrolsince 11/2023 · owns less than 5%
- P•••••• L••• · Directorcontrolsince 08/2025 · owns less than 5%
- S••••••••• A•••••• J••• · Partnercontrolsince 12/2016 · owns less than 5%
- S••••••••• A•••••• R•••• · Senior Partnercontrolsince 12/2016 · owns less than 5%
- S••••••••• G•••• · Directorcontrolsince 12/2016 · owns less than 5%
- T••••• I••• P••••• R••• · Partnercontrolsince 12/2016 · owns less than 5%
- N••••• M••••• S•••••• · Ownercontrolsince 06/2010 · owns 75% or more of A•••••• U• C•••••••••
Entity owners
- A•••••• U• C••••••••• · Ownerdirect · owns 75% or more
- A•••••• I••••••••• M••••••••• ••••• C••••••••• · Ownerindirect · owns 75% or more of A•••••• U• C•••••••••
Related persons
Schedule D 7.A
- A•••••• I••••••••• M••••••••• L••••••investment advisernRAUM $133M
- P•••••• C•••••• G• L••pooled vehicle sponsory
- P• V•••••••• L••bankpooled vehicle sponsorn
- V•••••• I••••••••• M••••••••• I•••investment advisern
Advisers that list A•• I••••••••• P•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
7 against comparable advisers; where to look, not conclusions
- RAUM up clients flatCombination · filing Apr 27, 2026RAUM grew 50 percent or more while private clients stayed within 5 percent: existing clients grew, a few large clients arrived, or a reporting change. RAUM $1,778,346,372 to $2,705,726,063, advisors 5 to 5, private clients 341 to 346, offices 0 to 0 (2025-04-29 to 2026-04-27)peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Apr 27, 2026P•••••• L••• (DIRECTOR) appeared on Schedule A between the filings of 2024-03-29 and 2026-04-27peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Apr 27, 2026S••••••••• G•••• (DIRECTOR) left Schedule A between the filings of 2024-03-29 and 2026-04-27peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Apr 27, 2026N••••• M••••• S•••••• (OWNER) left Schedule A between the filings of 2024-03-29 and 2026-04-27peers: independent wealth managers, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Apr 27, 2026HNW share of RAUM moved from 87.0% to 72.0% between the annual amendments of 2025-04-29 and 2026-04-27peers: independent wealth managers, $1B to $5B (1,362)
- RAUM up 50 %Change between filings · filing Apr 27, 2026RAUM (Item 5.F) moved from $1,778,346,372 to $2,705,726,063 (+52.0%) between the annual amendments of 2025-04-29 and 2026-04-27; the peer median change was +17.0% (1297 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,297) · 93% percentile
- client mix shiftChange between filings · filing Apr 27, 2026private-client share of RAUM moved from 90.0% to 74.0% between the annual amendments of 2025-04-29 and 2026-04-27peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 897 to 937Apr 29, 2025 to Mar 30, 2026
- Advisory activities · 6 to 7Apr 29, 2025 to Mar 30, 2026
- Corporate clients · 8 to 12Apr 29, 2025 to Mar 30, 2026
- HNW clients · 199 to 217Apr 29, 2025 to Mar 30, 2026
- Individual clients · 142 to 129Apr 29, 2025 to Mar 30, 2026
- Pension plan clients · 5 to 4Apr 29, 2025 to Mar 30, 2026
- Pooled vehicle clients · 4 to 3Apr 29, 2025 to Mar 30, 2026
- Assets in custody · $14.8M to $17.6MApr 29, 2025 to Mar 30, 2026
- Employees · 17 to 18Apr 29, 2025 to Mar 30, 2026
- Private funds · 3 to 2Apr 29, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.6B to $2.5BApr 29, 2025 to Mar 30, 2026
- HNW RAUM · $1.5B to $1.9BApr 29, 2025 to Mar 30, 2026
- Individual RAUM · $55.5M to $54.1MApr 29, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $199M to $238MApr 29, 2025 to Mar 30, 2026
- Pension RAUM · $19.1M to $19.3MApr 29, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $21.6M to $24.9MApr 29, 2025 to Mar 30, 2026
- RAUM · $1.8B to $2.7BApr 29, 2025 to Mar 30, 2026
- Accounts · 870 to 897Apr 19, 2024 to Apr 29, 2025
- Advisory employees · 8 to 7Apr 19, 2024 to Apr 29, 2025
- Advisory activities · 5 to 6Apr 19, 2024 to Apr 29, 2025
- Charity clients · 10 to 13Apr 19, 2024 to Apr 29, 2025
- Corporate clients · 10 to 8Apr 19, 2024 to Apr 29, 2025
- HNW clients · 135 to 199Apr 19, 2024 to Apr 29, 2025
- Individual clients · 200 to 142Apr 19, 2024 to Apr 29, 2025
- Pension plan clients · 4 to 5Apr 19, 2024 to Apr 29, 2025
- Pooled vehicle clients · 3 to 4Apr 19, 2024 to Apr 29, 2025
- Assets in custody · $17.2M to $14.8MApr 19, 2024 to Apr 29, 2025
- Employees · 18 to 17Apr 19, 2024 to Apr 29, 2025
- Financial planning clients · unset to Apr 19, 2024 to Apr 29, 2025
- Private funds · 4 to 3Apr 19, 2024 to Apr 29, 2025
- Discretionary RAUM · $1.4B to $1.6BApr 19, 2024 to Apr 29, 2025
- HNW RAUM · $1.3B to $1.5BApr 19, 2024 to Apr 29, 2025
- Individual RAUM · $144M to $55.5MApr 19, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $130M to $199MApr 19, 2024 to Apr 29, 2025
- Pension RAUM · $14.1M to $19.1MApr 19, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · $19.6M to $21.6MApr 19, 2024 to Apr 29, 2025
- RAUM · $1.6B to $1.8BApr 19, 2024 to Apr 29, 2025
- Accounts · 469 to 870Jan 19, 2024 to Mar 29, 2024
- Advisory employees · 7 to 8Jan 19, 2024 to Mar 29, 2024
- Advisory activities · 4 to 5Jan 19, 2024 to Mar 29, 2024
Signals
5 dated events
- A•• I••••••••• P•••••••• L•• reported RAUM $2.7B, up 52% from $1.8B (2025-04-29 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Thomas Austin Porter (Director) appeared on Schedule A of A•• I••••••••• P•••••••• L••Jan 19, 2024 · Control person joined · fact
- Joseph Michael Killeen (Director) no longer on Schedule A of A•• I••••••••• P•••••••• L•• (listed 2023-09-13, absent 2024-01-19)Jan 19, 2024 · Control person left · inference
- Michael Schaenen (Senior Partner And Director) no longer on Schedule A of A•• I••••••••• P•••••••• L•• (listed 2022-11-02, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- A• R• S••••••••• • C••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 18, 2017 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- A•• I••••••••• P•••••••• L•• · Private Equityshared crd · intermediary
- A•• I••••••••• P•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- i•••@a••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-687-9800reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 646-736-0453reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- a••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-931-5722reportedpublic record, Form ADV, Apr 27, 2026
- Contact form
- a••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $541Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026