DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

A••• M••••• F•••••••• A•••••••• L••

CRD 173292

MASSAPEQUA, NY

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Search this name across graphsid dfx:ria:f3b89756-0dad-d4a9-0f20-59760cc64206

Data as of Mar 26, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 3
On other graphs: 0
Observed: Dec 8, 2014 to Mar 26, 2024
26 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=0.0
Regulatory AUM: $175M••• Locked
Discretionary RAUM: $0
Private client RAUM: $175Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• V••••••• J•••••	CEO, CHAIRMAN	E	yes	06/2014	Dec 8, 2014	Mar 26, 2024
M•••••••• J••••• E•••••	CHIEF COMPLIANCE OFFICER	Na	no	02/2022	Dec 8, 2014	Mar 26, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Southington	Ct	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$175M	$217M	-19.7%	$148M	5.8%	3	9	1	1

Relationships

Controls (1)

← C••••••• V••••••• J•••••OwnerCEO, CHAIRMAN, ownership code E, individual
Dec 8, 2014 to presentfactForm ADV

Owns (1)

← M•••••••• J••••• E•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 8, 2014 to presentfactForm ADV

Registered with (1)

← D•••• G••••••Advisorregistration: previous registration
Jan 5, 2021 to Feb 4, 2022factForm ADV

Dated events

Occurred
Feb 4, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 4, 2020
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 8, 2014
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f3b89756-0dad-d4a9-0f20-59760cc64206
First observed: Dec 8, 2014
Last observed: Mar 26, 2024 30 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.