DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

I••••• • A•••• A•••••••• I•••

CRD 124955

ARMONK, NY

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Search this name across graphsid dfx:ria:9f254641-2a18-6b92-3dd1-0731567747c9

Data as of Aug 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 27, 2012 to Aug 19, 2026
30 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: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $175M••• Locked
Discretionary RAUM: $138M
Private client RAUM: $173Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $35.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• A•••••• R••••••	n/a	ARMONK, NY \| Ramsey, NJ \| RAMSEY, NJ	14	24	n/a	no
J•••• D•••• W•••••	n/a	ARMONK, NY	14	26

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••••• J••••• P••••••	PRESIDENT, CEO, AND CHIEF COMPLIANCE OFFICER	E	yes	03/2006	Mar 27, 2012	Nov 4, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Ramsey	Nj	United States	1	no

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
0	0	0	0.0%	0	0	0	1	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	$175M	$136M	28.5%	$109M	17.1%	5	4	1	1

Relationships

Registered with (5)

← M•••••• J••• O••••Advisorregistration: current employment
Aug 18, 2026 to presentfactForm ADV
← M•••••• S•••• N••••••Advisorregistration: current employment
Jul 29, 2024 to presentfactForm ADV
← C•••••••• M•••• N•••••Advisorregistration: current employment
Nov 23, 2015 to presentfactForm ADV
← J•••• D•••• W•••••

Dated events

Occurred
Dec 13, 2022
Control person left
Lynn Bryna Ortiz (Chief Operations Officer) no longer on Schedule A of I••••• • A•••• A•••••••• I••• (listed 2022-03-28, absent 2022-12-13)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9f254641-2a18-6b92-3dd1-0731567747c9
First observed: Mar 27, 2012
Last observed: Aug 19, 2026 34 days 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.