DFX Intelligence

I••••••••• I•••••••• 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••••••••• I•••••••• I••

CRD 105677

NESCONSET, NY

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Search this name across graphsid dfx:ria:a5dd7147-2669-b56f-aad8-c39417749582

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to Mar 27, 2026
20 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=0.51 fund_share=0.0 institutional_share=0.49 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $572M••• Locked
Discretionary RAUM: $530M
Private client RAUM: $294Mderived••• Locked
Private client share: 51%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $286Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••••••• E••• M••••••	n/a	NESCONSET, NY	5	35	n/a	no
K•••• P•••••• M••••••	n/a	NESCONSET, NY	5	22

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• M••••••• J•••	CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL	Na	yes	03/2021	Mar 26, 2021	Mar 29, 2024
M••••••• D•••••• E••••••••	Secretary	Na	yes	09/2014	Sep 17, 2014	Mar 29, 2024

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	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
2025	$572M	$541M	5.7%	$395M	13.2%	6	6	0	0

Relationships

Registered with (2)

← M••••••• E••• M••••••Advisorregistration: current employment
Aug 17, 2021 to presentfactForm ADV
← K•••• P•••••• M••••••Advisorregistration: current employment
Aug 17, 2021 to presentfactForm ADV

Controls (6)

← A•••••••• M••••••• J•••OwnerCHIEF COMPLIANCE OFFICER/GENERAL COUNSEL, ownership code NA, individual
Mar 26, 2021 to Mar 29, 2024factForm ADV
← M••••••• M•••••••• E•••

Dated events

Occurred
Mar 26, 2021
Control person joined
John Michael Andersen (Chief Compliance Officer/General Counsel) appeared on Schedule A of I••••••••• I•••••••• I••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a5dd7147-2669-b56f-aad8-c39417749582
First observed: Mar 30, 2012
Last observed: Mar 27, 2026 5 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.