DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

1•••• A••••••••• I•••

CRD 113714

GOSHEN, NY

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Search this name across graphsid dfx:ria:94f1cc65-669e-05e6-ae7d-951f00115584

Data as of May 26, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 22, 2012 to May 26, 2020
14 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: $895M••• Locked
Discretionary RAUM: $895M
Private client RAUM: $895Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••••• D••••••• L•••	VICE PRESIDENT/CHIEF COMPLIANCE OFFICER	D	yes	01/1997	Mar 22, 2012	May 26, 2020
D•••••••• M••••••• A••••••	President	D	yes	01/1997	Mar 22, 2012	May 26, 2020

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Fishkill	NY	United States	1	no
Tarrytown	NY	United States	1	no
WILKES BARRE	Pa	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$895M	$744M	20.4%	$689M	9.1%	14	13	3	3

Relationships

Controls (2)

← D•••••••• D••••••• L•••OwnerVICE PRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 22, 2012 to presentfactForm ADV
← D•••••••• M••••••• A••••••OwnerPRESIDENT, ownership code D, individual
Mar 22, 2012 to presentfactForm ADV

Registered with (1)

← Deborah DeMatteoAdvisorregistration: previous registration
Aug 2, 2011 to Dec 8, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:94f1cc65-669e-05e6-ae7d-951f00115584
First observed: Mar 22, 2012
Last observed: May 26, 2020 77 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.