DFX Intelligence

W••••••••• C•••••• S••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

W••••••••• C•••••• S••••••••• L••

CRD 133839

GARDEN CITY, NY

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Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 2
On other graphs: 1
Observed: Jul 2, 2015 to Mar 30, 2026
30 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

W••••••••• C•••••• S•••••••••

Venture manager · Shared CRD

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=6.0
Regulatory AUM: $277M••• Locked
Discretionary RAUM: $155M
Private client RAUM: $270Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $46.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• B•••• D••••••••	n/a	GARDEN CITY, NY \| Naples, FL	12	34	2	yes
J••• S•• G••••••	Certified Financial Planner	GARDEN CITY, NY \| New York, NY	11	25

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• J••••• D•••••	CHAIRMAN OF BROKER DEALER, MANAGING MEMBER	C	yes	10/2007	Jul 2, 2015	Jun 6, 2024
C••••••• J••••• D•••••	CHAIRMAN OF BROKER DEALER, GENERAL PRINCIPAL, GOVERNMENT S••••••••• PRINCIPAL, MSRB PRINCIPAL, ELECTED MANAGER	Na	yes	05/2008	Jul 2, 2015	Jun 6, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••••••• C•••••• S••••••••• L••	n/a	Independent wealth	$277M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	4	yes
Naples	FL	United States	1	yes
EAST HAMPTON	NY	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$277M	$258M	7.3%	$223M	7.6%	6	6	3	3

Relationships

Affiliated with (1)

→ W••••••••• C•••••• S••••••••• L••Registered adviserbroker-dealer, common control
factForm ADV

Registered with (11)

← J••• C•••••• B•••••Advisorregistration: current employment
Oct 22, 2019 to presentfactForm ADV
← J•••• A••••• M••••Advisorregistration: current employment
Jun 10, 2019 to presentfactForm ADV
←

Dated events

Occurred
Feb 2, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 2, 2015
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 2, 2015
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.