DFX Intelligence

N•••••• 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

N•••••• A•••••••• I•••

CRD 125878

HAUPPAUGE, NY

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Search this name across graphsid dfx:ria:bcb44c50-c7c7-b15d-f59f-d81c3bef8893

Data as of Jun 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jan 6, 2023 to Jun 30, 2026
13 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0
Regulatory AUM: $273M••• Locked
Discretionary RAUM: $273M
Private client RAUM: $273Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $90.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••• P•••• L•••••	Certified Financial Planner	HAUPPAUGE, NY	3	13	6	yes
E••• J••••• L•••	Certified Financial Planner	HAUPPAUGE, NY	3	12	4

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••• B••••• M•••••	PRESIDENT AND CCO	E	yes	03/1996	Jan 6, 2023	Oct 14, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
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
2025	Feb 27, 2026

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	$273M	$229M	19.1%	$184M	14.1%	5	6	2	2

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••••• P••••••••• A•••••••• I••	3	Jan 5, 2023	Dec 22, 2022	HOLBROOK, NY	Team lift out	Ibd to RIA	0.6%

Relationships

Registered with (3)

← B•••• M••••• L•••Advisorregistration: current employment
Dec 22, 2022 to presentfactForm ADV
← D••••• P•••• L•••••Advisorregistration: current employment
Dec 21, 2022 to presentfactForm ADV
← E••• J••••• L•••Advisorregistration: current employment
Dec 21, 2022 to presentfactForm ADV

Controls (1)

Dated events

Occurred
Jan 6, 2023
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 5, 2023
Team lift-out
••• Locked
Form ADVobserved 8 days ago
3 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bcb44c50-c7c7-b15d-f59f-d81c3bef8893
First observed: Jan 6, 2023
Last observed: Jun 30, 2026 2 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.