DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

N•••• R•••• S••••••••• C••••

CRD 27098

MELVILLE, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:731921b8-7555-fcd2-db94-60b5a9330fe7

Data as of Sep 24, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Sep 19, 2016 to Sep 24, 2018
8 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
Regulatory AUM: $40.6M••• Locked
Discretionary RAUM: $0
Private client RAUM: $40.6Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 85

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••••• S••••• J•••	EXEC. VICE PRESIDENT/MUNI BOND PRINC.	B	yes	10/2016	Sep 19, 2016	Sep 24, 2018
L•••• D••••• R•••••	PRESIDENT/CEO/FINANCIAL OPERATIONS PRINCIPAL/CCO	E	yes	10/2016	Sep 19, 2016	Sep 24, 2018

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Hauppauge	NY	United States	1	yes
Huntington	NY	United States	1	yes
Jericho	NY	United States	1	yes
NEW YORK	NY	United States	1	yes
NEW YORK	NY	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Sep 24, 2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$40.6M	$192M	-78.9%	n/a	n/a	85	85	8	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• I••••••••• A••••••• L••	3	Feb 4, 2019	Jun 29, 2023	MELVILLE, NY	Firm absorbed	RIA to ibd	75.0%

Relationships

Controls (3)

← L•••• D••••• R•••••OwnerPRESIDENT/CEO/FINANCIAL OPERATIONS PRINCIPAL/CCO, ownership code E, individual
Sep 19, 2016 to presentfactForm ADV
← G•••••••• S••••• J•••OwnerEXEC. VICE PRESIDENT/MUNI BOND PRINC., ownership code B, individual
Sep 19, 2016 to presentfactForm ADV
← L•••• L•••• M••••••OwnerVP - OPERATIONS/PRINCIPAL, ownership code NA, individual
Sep 19, 2016 to presentfactForm ADV

Moved with (1)

→ C••••• I••••••••• A••••••• L••

Dated events

Occurred
Sep 24, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-151M
Occurred
Sep 19, 2016
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:731921b8-7555-fcd2-db94-60b5a9330fe7
First observed: Sep 19, 2016
Last observed: Sep 24, 2018 97 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.