DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

T••••••••• I••••••• A••••••• S••••••• I••

CRD 105672

PORT JEFFERSON STATION, NY

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Search this name across graphsid dfx:ria:f2d0d842-a3d2-96cb-e3f7-ae0ea0350a3a

Data as of Jun 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Mar 30, 2012 to Jun 30, 2026
22 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=true related_bank=false bd_reps=2.0
Regulatory AUM: $262M••• Locked
Discretionary RAUM: $142M
Private client RAUM: $261Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $65.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••• J••• R•••••	n/a	Port Jefferson Station, NY	10	32	n/a	yes
K•••• A•••• B•••••	Chartered Financial Analyst	PORT JEFFERSON STATION, NY	2	12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R•••••• A•••• J•••	PRESIDENT, CHIEF COMPLIANCE OFFICER, DIRECTOR	E	yes	01/2021	Mar 30, 2012	Jun 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T••••••••• S••••••••• C•••••••••	n/a	n/a	n/a	N	yes	n/a

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
2024	$262M	$240M	9.0%	$261M	0.1%	2	1	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	2	Jan 5, 2015	Jan 5, 2015	PORT JEFFERSON STATION, NY	Team lift out	Other	100.0%

Relationships

Registered with (6)

← J••••• S••••Advisorregistration: current employment
May 9, 2024 to presentfactForm ADV
← K•••• F•••••• R••••••••Advisorregistration: current employment
Nov 3, 2023 to presentfactForm ADV
← K•••• A•••• B•••••Advisorregistration: current employment
Nov 1, 2023 to presentfactForm ADV
← A••• J••• R•••••

Dated events

Occurred
Jun 30, 2023
Control person left
George Richard Rohman (Vp, Sec, Treas, Dir,) no longer on Schedule A of T••••••••• I••••••• A••••••• S••••••• I•• (listed 2023-06-05, absent 2023-06-30)
Form ADVobserved 7 days ago
Occurred
Jan 27, 2021
Control person left
Philip Jeffrey Harriton (President, Director) no longer on Schedule A of T••••••••• I••••••• A••••••• S••••••• I•• (listed 2020-07-02, absent 2021-01-27)
Form ADVobserved 7 days ago
Occurred
Jun 29, 2018
Regulatory AUM changed
T••••••••• I••••••• A••••••• S••••••• I•• reported RAUM $232.1M, up 88% from $123.2M (2017-06-30 to 2018-06-29)
Form ADVobserved 7 days ago
$109M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f2d0d842-a3d2-96cb-e3f7-ae0ea0350a3a
First observed: Mar 30, 2012
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.