DFX Intelligence

R••••••• A•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

R••••••• A•••••••• I•••

CRD 173677

BOHEMIA, NY

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Search this name across graphsid dfx:ria:52c3b0a5-4b5b-61f9-9b73-764bddce1acb

Data as of Sep 20, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Aug 27, 2015 to Sep 20, 2021
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 2
Employees: 5
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-106614
CRD: 173677

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• M••• R••••••••	n/a	BOHEMIA, NY	2	13	1	no
R•••••• R••• K•••••••	n/a	BOHEMIA, NY	2	15

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••••• R••••••• R•••	Secretary	C	yes	04/2013	Aug 27, 2015	Sep 20, 2021
R••••••••• M••••••• M•••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	C	yes	04/2013	Aug 27, 2015	Sep 20, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••• B••••• S•••••••• I•••	n/a	n/a	n/a	Y	yes	n/a
A••• S••••• R•••••••• N••••••• I•••	n/a	n/a	n/a	Y	yes	n/a
E•• H•••••••	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 23, 2021	n/a	n/a	5	0	0	n/a	n/a
2019	Mar 25, 2020

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
2020	n/a	n/a	n/a	n/a	n/a	5	4	0	0

Relationships

Registered with (3)

← M•••••• M••• R••••••••Advisorregistration: previous registration
Sep 22, 2021 to Dec 31, 2023factForm ADV
← R•••••• R••• K•••••••Advisorregistration: previous registration
Sep 22, 2021 to Dec 31, 2023factForm ADV
← JOHN DAVID CAFFREYAdvisorregistration: previous registration
Nov 13, 2015 to Dec 31, 2017factForm ADV

Controls (2)

Dated events

Occurred
Mar 23, 2021
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 25, 2020
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Aug 27, 2015
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:52c3b0a5-4b5b-61f9-9b73-764bddce1acb
First observed: Aug 27, 2015
Last observed: Sep 20, 2021 60 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.