DFX Intelligence
RIA Intelligence
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SEC-registered adviser
I••••••••• I•••••••• I••
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 20 filings
SEC status approved since Jun 30, 1983
RAUM
$572M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
51%
$294M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$286M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$572M as of Mar 27, 2026
Mar 30, 2012$196M then
HNW client RAUM$277M as of Mar 27, 2026
Mar 29, 2018$124M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 30, 20120 then
Employees (5.A)6 as of Mar 27, 2026
Mar 28, 20137 then
Private funds: no history
RAUM +5.7% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- i••••••••• boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $286MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.6MderivedHNW RAUM over HNW clients
- Average account
- $3.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $275M, 5 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$278M49%
- High-net-worth individuals$277M49%
- Individuals$16.1M2.8%
- Individual clients
- 54reported
- HNW clients
- 42reported
- Pension plan clients
- 0reported
- Charitable clients
- 4reported
- Accounts
- 149reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $275M for 5 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.51 fund_share=0.0 institutional_share=0.49 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• E••• M•••••• | Nesconset, Ny | Aug 17, 2021 | 35 y | 0 |
| K•••• P•••••• M•••••• | Nesconset, Ny | Aug 17, 2021 | 22 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• M••••••• J••• · Chief Compliance Officer/General Counselcontrolsince 03/2021 · owns less than 5%
- M••••••• D•••••• E•••••••• · Secretarycontrolsince 09/2014 · owns less than 5%
- M••••••• E••••••••• A•• · Ownercontrolsince 09/2014 · owns 75% or more
- M••••••• K••••• P•••••• · Treasurercontrolsince 09/2014 · owns less than 5%
- M••••••• M•••••••• E••• · Presidentcontrolsince 08/1991 · owns less than 5%
- S••••••• P•••••••• M•••• · Chief Financial Officercontrolsince 01/2017 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Nesconset, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 148 to 149Jul 25, 2025 to Mar 27, 2026
- Individual clients · 55 to 54Jul 25, 2025 to Mar 27, 2026
- Assets in custody · $259M to $275MJul 25, 2025 to Mar 27, 2026
- Discretionary RAUM · $501M to $530MJul 25, 2025 to Mar 27, 2026
- HNW RAUM · $261M to $277MJul 25, 2025 to Mar 27, 2026
- Individual RAUM · $17.0M to $16.1MJul 25, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $40.4M to $42.0MJul 25, 2025 to Mar 27, 2026
- RAUM · $541M to $572MJul 25, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 21, 2025 to Jul 25, 2025
- Accounts · 119 to 148Mar 29, 2024 to Mar 21, 2025
- Corporate clients · 1 to 0Mar 29, 2024 to Mar 21, 2025
- HNW clients · 50 to 42Mar 29, 2024 to Mar 21, 2025
- Individual clients · 29 to 55Mar 29, 2024 to Mar 21, 2025
- Assets in custody · $237M to $259MMar 29, 2024 to Mar 21, 2025
- Discretionary RAUM · $429M to $501MMar 29, 2024 to Mar 21, 2025
- HNW RAUM · $228M to $261MMar 29, 2024 to Mar 21, 2025
- Individual RAUM · $13.8M to $17.0MMar 29, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $47.0M to $40.4MMar 29, 2024 to Mar 21, 2025
- RAUM · $476M to $541MMar 29, 2024 to Mar 21, 2025
- Accounts · 124 to 119Mar 23, 2023 to Mar 29, 2024
- HNW clients · 48 to 50Mar 23, 2023 to Mar 29, 2024
- Individual clients · 35 to 29Mar 23, 2023 to Mar 29, 2024
- Assets in custody · $204M to $237MMar 23, 2023 to Mar 29, 2024
- Discretionary RAUM · $355M to $429MMar 23, 2023 to Mar 29, 2024
- HNW RAUM · $179M to $228MMar 23, 2023 to Mar 29, 2024
- Individual RAUM · $15.0M to $13.8MMar 23, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $39.2M to $47.0MMar 23, 2023 to Mar 29, 2024
- RAUM · $395M to $476MMar 23, 2023 to Mar 29, 2024
- Accounts · 118 to 124Mar 29, 2022 to Mar 23, 2023
- HNW clients · 56 to 48Mar 29, 2022 to Mar 23, 2023
- Individual clients · 26 to 35Mar 29, 2022 to Mar 23, 2023
- Assets in custody · $258M to $204MMar 29, 2022 to Mar 23, 2023
- Discretionary RAUM · $434M to $355MMar 29, 2022 to Mar 23, 2023
- HNW RAUM · $238M to $179MMar 29, 2022 to Mar 23, 2023
- Individual RAUM · $8.9M to $15.0MMar 29, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $67.4M to $39.2MMar 29, 2022 to Mar 23, 2023
- RAUM · $501M to $395MMar 29, 2022 to Mar 23, 2023
- Accounts · 93 to 118Mar 26, 2021 to Mar 29, 2022
- Advisory employees · 3 to 2Mar 26, 2021 to Mar 29, 2022
- Charity clients · 5 to 4Mar 26, 2021 to Mar 29, 2022
Signals
1 dated events
- John Michael Andersen (Chief Compliance Officer/General Counsel) appeared on Schedule A of I••••••••• I•••••••• I••Mar 26, 2021 · Control person joined · fact
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
- Principal office phone
- 631-979-2142reportedpublic record, Form ADV, Mar 27, 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
- I••••••••• WEALTHderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $286Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026