DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
T••••••••• I••••••• A••••••• S••••••• I••
Latest filing Jun 30, 2026
First filing on the tape Mar 30, 2012 · 22 filings
SEC status approved since Jul 29, 1976
RAUM
$262M
reported, Item 5.F
Discretionary
54%
of RAUM
Private clients
100%
$261M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$65.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$262M as of Jun 30, 2026
Jun 29, 2012$194M then
HNW client RAUM$216M as of Jun 30, 2026
Jun 30, 2020$193M then
State-registered IARs (5.B.3)2 as of Jun 30, 2026
Jun 28, 20130 then
Employees (5.A)2 as of Jun 30, 2026
Jun 28, 20134 then
Private funds: no history
RAUM +9.0% over the last fiscal year+0.1% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $65.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $530,458derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 54%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$216M82%
- Individuals$45.5M17%
- Pension and profit-sharing plans$676,8030.3%
- Individual clients
- 151reported
- HNW clients
- 62reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 494reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• J••• R••••• | Port Jefferson Station, Ny | Apr 21, 2016 | 32 y | 0 |
| K•••• A•••• B•••••Chartered Financial Analyst | Port Jefferson Station, Ny | Nov 1, 2023 | 12 y | 0 |
| K•••• F•••••• R•••••••• | Port Jefferson Station, Ny | Nov 3, 2023 | 24 y | 0 |
| J••••• S•••• | Port Jefferson Station, Ny | May 9, 2024 | 33 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- K••• T•••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jan 5, 2015 · Other
- C••••••••• A••••• S•••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jan 5, 2015 · Other
Joined, latest
- K••• T•••••• from N•••••••• B••••• B• L••Jul 3, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jan 5, 2015 · Port Jefferson Station, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• A•••• J••• · President, Chief Compliance Officer, Directorcontrolsince 01/2021 · owns 75% or more
Related persons
Schedule D 7.A
- T••••••••• S••••••••• C•••••••••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Port Jefferson Station, Ny · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 496 to 494Jun 27, 2025 to Jun 30, 2026
- Individual clients · 156 to 151Jun 27, 2025 to Jun 30, 2026
- Discretionary RAUM · $123M to $142MJun 27, 2025 to Jun 30, 2026
- HNW RAUM · $41.9M to $216MJun 27, 2025 to Jun 30, 2026
- Individual RAUM · $190M to $45.5MJun 27, 2025 to Jun 30, 2026
- Non-discretionary RAUM · $109M to $120MJun 27, 2025 to Jun 30, 2026
- Pension RAUM · $264,858 to $676,803Jun 27, 2025 to Jun 30, 2026
- RAUM · $232M to $262MJun 27, 2025 to Jun 30, 2026
- Accounts · 532 to 496Jun 27, 2024 to Jun 27, 2025
- HNW clients · 75 to 62Jun 27, 2024 to Jun 27, 2025
- Individual clients · 154 to 156Jun 27, 2024 to Jun 27, 2025
- Pension plan clients · 9 to 4Jun 27, 2024 to Jun 27, 2025
- Financial planning clients · 0 to 0Jun 27, 2024 to Jun 27, 2025
- Discretionary RAUM · $114M to $123MJun 27, 2024 to Jun 27, 2025
- HNW RAUM · $203M to $41.9MJun 27, 2024 to Jun 27, 2025
- Individual RAUM · $35.0M to $190MJun 27, 2024 to Jun 27, 2025
- Non-discretionary RAUM · $127M to $109MJun 27, 2024 to Jun 27, 2025
- Pension RAUM · $3.2M to $264,858Jun 27, 2024 to Jun 27, 2025
- RAUM · $241M to $232MJun 27, 2024 to Jun 27, 2025
- Accounts · 563 to 532Jun 30, 2023 to Jun 27, 2024
- Advisory employees · 1 to 2Jun 30, 2023 to Jun 27, 2024
- BD registered reps · 1 to 2Jun 30, 2023 to Jun 27, 2024
- HNW clients · 80 to 75Jun 30, 2023 to Jun 27, 2024
- Individual clients · 180 to 154Jun 30, 2023 to Jun 27, 2024
- Pension plan clients · 15 to 9Jun 30, 2023 to Jun 27, 2024
- Employees · 1 to 2Jun 30, 2023 to Jun 27, 2024
- State-registered IARs · 1 to 2Jun 30, 2023 to Jun 27, 2024
- Discretionary RAUM · $102M to $114MJun 30, 2023 to Jun 27, 2024
- HNW RAUM · $181M to $203MJun 30, 2023 to Jun 27, 2024
- Individual RAUM · $43.6M to $35.0MJun 30, 2023 to Jun 27, 2024
- Non-discretionary RAUM · $138M to $127MJun 30, 2023 to Jun 27, 2024
- Pension RAUM · $15.4M to $3.2MJun 30, 2023 to Jun 27, 2024
- RAUM · $240M to $241MJun 30, 2023 to Jun 27, 2024
- Accounts · 562 to 563Jun 5, 2023 to Jun 30, 2023
- Advisory employees · 2 to 1Jun 5, 2023 to Jun 30, 2023
- BD registered reps · 2 to 1Jun 5, 2023 to Jun 30, 2023
- HNW clients · 75 to 80Jun 5, 2023 to Jun 30, 2023
- Individual clients · 178 to 180Jun 5, 2023 to Jun 30, 2023
- Pension plan clients · 17 to 15Jun 5, 2023 to Jun 30, 2023
- Employees · 2 to 1Jun 5, 2023 to Jun 30, 2023
Signals
3 dated events
- 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)Jun 30, 2023 · Control person left · inference
- Philip Jeffrey Harriton (President, Director) no longer on Schedule A of T••••••••• I••••••• A••••••• S••••••• I•• (listed 2020-07-02, absent 2021-01-27)Jan 27, 2021 · Control person left · inference
- T••••••••• I••••••• A••••••• S••••••• I•• reported RAUM $232.1M, up 88% from $123.2M (2017-06-30 to 2018-06-29)Jun 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 631-331-1400reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- T•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 631-331-1400reportedpublic record, Form ADV, Jun 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $65.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026