DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

PLATFORM TECHNOLOGY PARTNERS

PLATFORM TECHNOLOGY PARTNERS LLC, CRD 305602

LOCUST VALLEY, 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:a96f959d-120a-11bd-0460-e211c5f4080b

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 4
On other graphs: 1
Observed: Sep 5, 2019 to Mar 31, 2026
22 observations

Across DFX

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

Independent Sponsorsidentity

Platform Technology Partners

Capital provider to sponsors · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=8.0
Regulatory AUM: $1.2BItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.1B
Private client RAUM: $1.2BderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor: $123Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 12
Advisory employees: 9
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 2,257
Individual clients: 535
High net worth clients: 336
Private funds: 6Schedule D 7.B(1)
Custody, client assets: $521M
SEC number: 801-117439
CIK: 1830817
CRD: 305602
Filings on the tape: 22
First filed: Sep 5, 2019
Latest filed: Mar 31, 2026
Organised: Limited Liability Company, NY
Website: neprivatewealth.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JEFFREY FILONE	n/a	Locust Valley, NY	6	31	3	yes
MATTHEW S SHAPIRO	n/a	Locust Valley, NY	6	18	2	no
PATRICK MICHAEL VAN ROTEN	n/a	Locust Valley, NY	6	28	2	yes
MATTHEW RYAN SEGAL	n/a	LOCUST VALLEY, NY	5	23	3	yes
Patrick Kirley Moran	n/a	LOCUST VALLEY, NY \| Locust Valley, NY	4	29	n/a	yes
Stephen James Nicholas	n/a	Locust Valley, NY	4	10	1	yes
Joseph Drew Spina	n/a	LOCUST VALLEY, NY	4	10	n/a	yes
Nathaniel Turner Simkins	n/a	LOCUST VALLEY, NY \| North Augusta, SC	4	19	n/a	no
Robert J Tirrito	n/a	Woodbury, NY \| LOCUST VALLEY, NY	1	10	1	yes
John James Litke	n/a	LOCUST VALLEY, NY \| Woodbury, NY	0	11	1	yes

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
NORTHEAST-PTP SPV FUND IV, LP	Other Private Fund	$16.9M	Mar 31, 2026	217	Mar 28, 2024	reported	n/a
NORTHEAST-PTP SPV FUND I, LP	Other Private Fund	$11.6M	Mar 31, 2026	47	Mar 22, 2022	reported	n/a
NORTHEAST-PTP SPV FUND IV (3(C)(1), LP	n/a	$11.1M	Mar 31, 2026	100	Mar 31, 2026	reported	n/a
NORTHEAST-PTP SPV FUND V, LP	n/a	$7.5M	Mar 31, 2026	100	Mar 31, 2026	reported	n/a
NORTHEAST-PTP SPV FUND VI, LP	n/a	$2.3M	Mar 31, 2026	43	Mar 31, 2026	reported	n/a
NORTHEAST-PTP SPV FUND II LP	Other Private Fund	$2.0M	Mar 31, 2026	29	Mar 22, 2022	reported	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
UNITED ATLANTIC CAPITAL, LLC	Owner	E	yes	08/2019	Mar 31, 2026	Mar 31, 2026
PENSKE, MARK, HULBERT	Member	E	yes	08/2019	Nov 8, 2019	Jun 5, 2024
KERNEY, THOMAS, DEKARI	CHIEF COMPLIANCE OFFICER	Na	no	03/2025	Mar 31, 2026	Mar 31, 2026
SWENDIMAN, MATTHEW, ASHLEY	CHIEF COMPLIANCE OFFICER	Na	no	08/2019	Sep 5, 2019	Jun 5, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
UNITED ADVISORS INVESTMENT MANAGEMENT, LLC	n/a	No RAUM reported	$0	N	yes	n/a
NORTHEAST-PTP SPV FUND I GP, LLC	n/a	n/a	n/a	N	yes	n/a
NORTHEAST-PTP SPV FUND II GP, LLC	n/a	n/a	n/a	N	yes	n/a
NORTHEAST-PTP SPV FUND IV GP, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Woodbury	NY	United States	3	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$1.2B	$1.1B	12	9	1	6	n/a
2024	Mar 31, 2025	$1.1B	$1.0B	11	8	1	4	n/a
2023	Mar 28, 2024	$937M	$915M	12	7	1	3	$83.9M
2022	Mar 24, 2023	$648M	$631M	12	8	1	2	$14.5M
2021	Mar 22, 2022	$668M	$644M	9	5	1	2	$14.5M
2020	Mar 22, 2021	$561M	$555M	8	4	1	n/a	n/a
2019	Mar 23, 2020	$472M	$472M	7	3	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	2	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.2B	$1.1B	12.7%	$648M	23.8%	12	11	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MORGAN STANLEY	2	Nov 13, 2019	Aug 30, 2021	GARDEN CITY, NY	Team lift out	Wirehouse to new firm	0.0%

Relationships

Affiliated with (4)

→ UNITED ADVISORS INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
← UNITED ADVISORS INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
← UNITED ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
← UNITED ADVISORS SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (11)

← John James LitkeAdvisorregistration: current employment
Dec 9, 2025 to presentfactForm ADV
← Robert J TirritoAdvisorregistration: current employment
Apr 24, 2025 to presentfactForm ADV
← Nathaniel Turner SimkinsAdvisorregistration: current employment
Sep 12, 2022 to presentfactForm ADV
← Joseph Drew SpinaAdvisorregistration: current employment
Sep 6, 2022 to presentfactForm ADV
← Stephen James NicholasAdvisorregistration: current employment
Aug 9, 2022 to presentfactForm ADV
← Patrick Kirley MoranAdvisorregistration: current employment
Jan 13, 2022 to presentfactForm ADV
← MATTHEW RYAN SEGALAdvisorregistration: current employment
Aug 30, 2021 to presentfactForm ADV
← PATRICK MICHAEL VAN ROTENAdvisorregistration: current employment
Apr 30, 2020 to presentfactForm ADV
← JEFFREY FILONEAdvisorregistration: current employment
Apr 24, 2020 to presentfactForm ADV
← MATTHEW S SHAPIROAdvisorregistration: current employment
Apr 24, 2020 to presentfactForm ADV
← MATTHEW VINCENT GRASERAdvisorregistration: previous registration
Jun 17, 2021 to Jan 3, 2023factForm ADV

Advises (3)

→ NORTHEAST-PTP SPV FUND II LPPrivate fundOther Private Fund, IA
Mar 22, 2022 to presentfactForm ADV
→ NORTHEAST-PTP SPV FUND I, LPPrivate fundOther Private Fund, IA
Mar 22, 2022 to presentfactForm ADV
→ NORTHEAST-PTP SPV FUND IV, LPPrivate fundOther Private Fund, IA
Mar 28, 2024 to presentfactForm ADV

Owns (1)

← SWENDIMAN, MATTHEW, ASHLEYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 5, 2019 to Jun 5, 2024factForm ADV

Controls (2)

← PENSKE, MARK, HULBERTOwnerMEMBER, ownership code E, individual
Nov 8, 2019 to Jun 5, 2024factForm ADV
← UNITED ATLANTIC CAPITAL, LLCOwnerOWNER, ownership code E, domestic entity
Nov 8, 2019 to Jun 5, 2024factForm ADV

Moved with (1)

← MORGAN STANLEYRegistered adviser2 advisors, team lift out, same day
Nov 13, 2019 to Aug 30, 2021factForm ADV

Dated events

Occurred
Mar 28, 2024
Regulatory AUM changed
Platform Technology Partners reported RAUM $936.7M, up 44% from $648.3M (2023-03-24 to 2024-03-28)
Form ADVobserved 4 days ago
$288M
Occurred
Jan 3, 2023
Advisor changed firm
Matthew Vincent Graser left Platform Technology Partners for Retirement And Wealth At Alliant, Llc (registered 2023-06-12)
Form ADVobserved 4 days ago
Occurred
Nov 8, 2019
Control person joined
Hulbert Mark Penske (Member) appeared on Schedule A of Platform Technology Partners
Form ADVobserved 4 days ago
Occurred
Sep 5, 2019
First Form ADV filing
Platform Technology Partners filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a96f959d-120a-11bd-0460-e211c5f4080b
First observed: Sep 5, 2019
Last observed: Mar 31, 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.

PLATFORM TECHNOLOGY PARTNERS

PLATFORM TECHNOLOGY PARTNERS LLC, CRD 305602

LOCUST VALLEY, 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:a96f959d-120a-11bd-0460-e211c5f4080b

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:12 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JEFFREY FILONE

n/a

Locust Valley, NY

yes

MATTHEW S SHAPIRO

n/a

Locust Valley, NY

PATRICK MICHAEL VAN ROTEN

n/a

Locust Valley, NY

yes

MATTHEW RYAN SEGAL

n/a

LOCUST VALLEY, NY

yes

Patrick Kirley Moran

n/a

LOCUST VALLEY, NY | Locust Valley, NY

n/a

yes

Stephen James Nicholas

n/a

Locust Valley, NY

yes

Joseph Drew Spina

n/a

LOCUST VALLEY, NY

n/a

yes

Nathaniel Turner Simkins

n/a

LOCUST VALLEY, NY | North Augusta, SC

n/a

Robert J Tirrito

n/a

Woodbury, NY | LOCUST VALLEY, NY

yes

John James Litke

n/a

LOCUST VALLEY, NY | Woodbury, NY

yes

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

NORTHEAST-PTP SPV FUND IV, LP

Other Private Fund

$16.9M

Mar 31, 2026

217

Mar 28, 2024

reported

n/a

NORTHEAST-PTP SPV FUND I, LP

Other Private Fund

$11.6M

Mar 31, 2026

Mar 22, 2022

reported

n/a

NORTHEAST-PTP SPV FUND IV (3(C)(1), LP

n/a

$11.1M

Mar 31, 2026

100

Mar 31, 2026

reported

n/a

NORTHEAST-PTP SPV FUND V, LP

n/a

$7.5M

Mar 31, 2026

100

Mar 31, 2026

reported

n/a

NORTHEAST-PTP SPV FUND VI, LP

n/a

$2.3M

Mar 31, 2026

reported

n/a

NORTHEAST-PTP SPV FUND II LP

Other Private Fund

$2.0M

Mar 31, 2026

Mar 22, 2022

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

UNITED ATLANTIC CAPITAL, LLC

Owner

yes

08/2019

Mar 31, 2026

PENSKE, MARK, HULBERT

Member

yes

08/2019

Nov 8, 2019

Jun 5, 2024

KERNEY, THOMAS, DEKARI

CHIEF COMPLIANCE OFFICER

03/2025

Mar 31, 2026

SWENDIMAN, MATTHEW, ASHLEY

CHIEF COMPLIANCE OFFICER

08/2019

Sep 5, 2019

Jun 5, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

UNITED ADVISORS INVESTMENT MANAGEMENT, LLC

n/a

No RAUM reported

yes

n/a

NORTHEAST-PTP SPV FUND I GP, LLC

n/a

yes

n/a

NORTHEAST-PTP SPV FUND II GP, LLC

n/a

yes

n/a

NORTHEAST-PTP SPV FUND IV GP, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Woodbury

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$1.2B

$1.1B

n/a

2024

Mar 31, 2025

$1.1B

$1.0B

n/a

2023

Mar 28, 2024

$937M

$915M

$83.9M

2022

Mar 24, 2023

$648M

$631M

$14.5M

2021

Mar 22, 2022

$668M

$644M

$14.5M

2020

Mar 22, 2021

$561M

$555M

n/a

2019

Mar 23, 2020

$472M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.2B

$1.1B

12.7%

$648M

23.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MORGAN STANLEY

Nov 13, 2019

Aug 30, 2021

GARDEN CITY, NY

Team lift out

Wirehouse to new firm

0.0%