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
I••••••• T••••• S•••••• L••
Latest filing Mar 9, 2026
First filing on the tape Apr 2, 2012 · 25 filings
SEC status approved since Sep 5, 1986
RAUM
$103M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$103M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$103M as of Mar 9, 2026
Apr 2, 2012$143M then
HNW client RAUM$51.7M as of Mar 9, 2026
Mar 30, 2018$36.4M then
State-registered IARs (5.B.3)1 as of Mar 9, 2026
Apr 2, 20120 then
Employees (5.A)1 as of Mar 9, 2026
Apr 1, 20132 then
Private funds: no history
RAUM +42% over the last fiscal year+6.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 9, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 286derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $360,144derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$51.7M50%
- Individuals$51.3M50%
- Individual clients
- 253reported
- HNW clients
- 33reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 286reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- 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=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•• A•••• A•••••••Certified Financial Planner, Chartered Financial Analyst | Westbury, Ny | Dec 27, 2016 | 41 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•••••••• J••• A•••• · President/Ccocontrolsince 07/1986 · owns 75% or more
Related persons
Schedule D 7.A
- G••••• A••••••• • A•••••••••insurancereal estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 9, 2026RAUM (Item 5.F) moved from $72,453,256 to $103,001,050 (+42.0%) between the annual amendments of 2025-03-21 and 2026-03-09; the peer median change was +15.0% (4549 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 307 to 286Mar 21, 2025 to Mar 9, 2026
- HNW clients · 20 to 33Mar 21, 2025 to Mar 9, 2026
- Individual clients · 287 to 253Mar 21, 2025 to Mar 9, 2026
- Discretionary RAUM · $72.5M to $103MMar 21, 2025 to Mar 9, 2026
- HNW RAUM · $26.4M to $51.7MMar 21, 2025 to Mar 9, 2026
- Individual RAUM · $46.1M to $51.3MMar 21, 2025 to Mar 9, 2026
- RAUM · $72.5M to $103MMar 21, 2025 to Mar 9, 2026
- RAUM · $78.0M to $72.5MMar 11, 2024 to Mar 21, 2025
- Accounts · 343 to 307Mar 11, 2024 to Mar 21, 2025
- HNW clients · 23 to 20Mar 11, 2024 to Mar 21, 2025
- Individual clients · 320 to 287Mar 11, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 11, 2024 to Mar 21, 2025
- Discretionary RAUM · $78.0M to $72.5MMar 11, 2024 to Mar 21, 2025
- HNW RAUM · $29.0M to $26.4MMar 11, 2024 to Mar 21, 2025
- Individual RAUM · $49.0M to $46.1MMar 11, 2024 to Mar 21, 2025
- Accounts · 373 to 343Mar 17, 2023 to Mar 11, 2024
- Individual clients · 350 to 320Mar 17, 2023 to Mar 11, 2024
- Discretionary RAUM · $86.2M to $78.0MMar 17, 2023 to Mar 11, 2024
- HNW RAUM · $31.2M to $29.0MMar 17, 2023 to Mar 11, 2024
- Individual RAUM · $54.9M to $49.0MMar 17, 2023 to Mar 11, 2024
- RAUM · $86.2M to $78.0MMar 17, 2023 to Mar 11, 2024
- Accounts · 413 to 373Mar 11, 2022 to Mar 17, 2023
- HNW clients · 29 to 23Mar 11, 2022 to Mar 17, 2023
- Individual clients · 384 to 350Mar 11, 2022 to Mar 17, 2023
- Discretionary RAUM · $105M to $86.2MMar 11, 2022 to Mar 17, 2023
- HNW RAUM · $40.0M to $31.2MMar 11, 2022 to Mar 17, 2023
- Individual RAUM · $65.4M to $54.9MMar 11, 2022 to Mar 17, 2023
- RAUM · $105M to $86.2MMar 11, 2022 to Mar 17, 2023
- Accounts · 431 to 413Dec 3, 2021 to Mar 11, 2022
- HNW clients · 30 to 29Dec 3, 2021 to Mar 11, 2022
- Individual clients · 401 to 384Dec 3, 2021 to Mar 11, 2022
- Discretionary RAUM · $107M to $105MDec 3, 2021 to Mar 11, 2022
- HNW RAUM · $40.2M to $40.0MDec 3, 2021 to Mar 11, 2022
- Individual RAUM · $67.0M to $65.4MDec 3, 2021 to Mar 11, 2022
- RAUM · $107M to $105MDec 3, 2021 to Mar 11, 2022
- Accounts · 435 to 431Aug 10, 2021 to Dec 3, 2021
- Individual RAUM · $67.8M to $67.0MAug 10, 2021 to Dec 3, 2021
- Non-discretionary RAUM · $822,941 to $0Aug 10, 2021 to Dec 3, 2021
- RAUM · $108M to $107MAug 10, 2021 to Dec 3, 2021
- Accounts · 468 to 435Jun 16, 2020 to Mar 17, 2021
Signals
No event on the tape.
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
- 516-741-0500reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- i••••••.netreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 516-741-0500reportedpublic record, Form ADV, Mar 9, 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
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026