DFX Intelligence

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

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

M••••••• • S••••••• W••••• A•••••••• I•••

CRD 164345

POUGHKEEPSIE, NY

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Search this name across graphsid dfx:ria:92cf0587-9200-b556-a69e-94b24953b207

Data as of May 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 14
On other graphs: 1
Observed: Oct 7, 2013 to May 12, 2026
35 observations

Across DFX

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

Allocatorsidentity

M••••••• • S••••••• W••••• A•••••••• I•••

Investment consultant · shared crd

Facts

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

Firm class: mixed wealth managerderivedprivate_client_share=0.22 fund_share=0.0 institutional_share=0.75 related_bd=false related_bank=false bd_reps=8.0
Regulatory AUM: $1.6B••• Locked
Discretionary RAUM: $418M
Private client RAUM: $345Mderived••• Locked
Private client share: 22%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor: $159Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••• M•••••• P••••	Certified Financial Planner	POUGHKEEPSIE, NY	8	28	n/a	yes
M•••••• A•••••• R•••	Certified Financial Planner	KINGSTON, NY	5	34

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••• N•••••• E••••••••	VICE PRESIDENT	Na	yes	01/2026	May 12, 2026	May 12, 2026
P••••• C••••• M••••••	CHIEF COMPLIANCE OFFICER AND DIRECTOR / PRESIDENT	Na	yes	02/2013	May 12, 2026	May 12, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••• • S••••••• S•• C••••• I•••	n/a	n/a	n/a	N	yes	n/a
M••••••• • S••••••• S•• T•••••• I•••	n/a	n/a	n/a	N	yes	n/a
M••••••• • S••••••• U••••••• I•••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Kingston	NY	United States	1	no
n/a	n/a	n/a	1	yes

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	0	2	0.0%	0	0	0	2	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	$1.6B	$996M	59.3%	$422M	55.4%	15	13	1	1

Relationships

Registered with (16)

← M•••••• L••••• D•••••Advisorregistration: current employment
Jun 3, 2026 to presentfactForm ADV
← T•••••• L• P••••••Advisorregistration: current employment
May 1, 2026 to presentfactForm ADV
← D•••• M•••••• M•••••Advisorregistration: current employment
Jan 20, 2026 to presentfactForm ADV
← D••• A• L••••••

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
May 12, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$590M
Occurred
Apr 7, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$332M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:92cf0587-9200-b556-a69e-94b24953b207
First observed: Oct 7, 2013
Last observed: May 12, 2026 4 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.