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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T•• M••••••••• I••
Legal name T•• P•••••••• M••••••••• I••• F•• T•• M••••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Jan 20, 2012 · 39 filings
SEC status approved since May 7, 1992
RAUM
$1.5B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$1.5B individuals and HNW
Advisors
30
registered through the firm on IAPD
RAUM per advisor
$49.3M
derived; firm RAUM over IAPD count
Employees
32
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$1.5B as of Mar 24, 2026
Jan 20, 2012$156M then
HNW client RAUM$827M as of Mar 24, 2026
Mar 9, 2018$165M then
State-registered IARs (5.B.3)32 as of Mar 24, 2026
Jan 20, 20120 then
Employees (5.A)32 as of Mar 24, 2026
Mar 15, 201329 then
Private funds: no history
RAUM +15% over the last fiscal year+15% a year over threeIARs 31 to 32
Practice profile
derived from the filing of Mar 24, 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
- $49.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $344,386derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 15.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +3.2%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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
- 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$827M56%
- Individuals$652M44%
- Individual clients
- 2,182reported
- HNW clients
- 384reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4,295reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=32.0derived
Advisors registered through the firm
30 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• M•••• P••••••• | Clifton Park, Ny | Jan 17, 2020 | 13 y | 0 |
| P••• M•••••••• | Glen Head, Ny | Apr 6, 2021 | 14 y | 1 |
| J••••• R• T••••••• | Glen Head, Ny | Apr 6, 2021 | 22 y | 5 |
| J•••• W•••••Certified Financial Planner | Glen Head, Ny | Apr 6, 2021 | 20 y | 2 |
| M•••••• J••••••• R•••• | Glen Head, Ny | Apr 6, 2021 | 20 y | 0 |
| F•••• T••••• G••••••Certified Financial Planner | Clifton Park, Ny | Apr 6, 2021 | 21 y | 1 |
| G••••• D••• R••••• P••••• | Glen Head, Ny | Apr 6, 2021 | 18 y | 1 |
| C•••••••• E•••••••• M••••••• | Clifton Park, Ny | Apr 6, 2021 | 18 y | 1 |
| K•••••••• P•••••• S•••• | Glen Head, Ny | Apr 6, 2021 | 16 y | 1 |
| F•••• V•• F•••• | Clifton Park Dr, Ny | Apr 6, 2021 | 26 y | 1 |
| R•••• W•••••• H••••• | Glen Head, Ny | Apr 6, 2021 | 16 y | 3 |
| G••• W••••• L••••••Certified Financial Planner | Glen Head, Ny | Apr 6, 2021 | 40 y | 2 |
| D•••• J••••• M••••••• | Glen Head, Ny | Apr 6, 2021 | 41 y | 2 |
| S•••• J••• S•••Certified Financial Planner | Glen Head, Ny | Apr 6, 2021 | 39 y | 1 |
| J•••• J••••• P••• | Glen Head, Ny | Apr 6, 2021 | 29 y | 2 |
| R••••• H••••• P••• | Glen Head, Ny | Apr 6, 2021 | 33 y | 2 |
| H••••• V••••• K••••••Certified Financial Planner | Clifton Park, Ny | Apr 6, 2021 | 29 y | 1 |
| M•••••• F•••••• F•••••• | Glen Head, Ny | Apr 6, 2021 | 29 y | 1 |
| M•••••• J••• B•••••• | Clifton Park, Ny | Apr 6, 2021 | 39 y | 1 |
| M•••••• S•••• | Glen Head, Ny | Apr 6, 2021 | 12 y | 1 |
| R•••••• J••• D••••••• | Clifton Park, Ny | Apr 6, 2021 | 35 y | 2 |
| M•••••• G•••••• S•••••• | Glen Head, Ny | Jul 29, 2021 | 10 y | 0 |
| N••••••• R• S•••• | Glen Head, Ny | Jul 29, 2021 | 15 y | 0 |
| C••••••••• V•••••• T••••••••• | Glen Head, Ny | Jun 9, 2022 | 17 y | 0 |
| R•••••• R••• P••• | Glen Head, Ny | Apr 8, 2024 | 11 y | 0 |
| J•••••• B•••• J•••• | Glen Head, Ny | Apr 16, 2024 | 19 y | 0 |
| M•••••• R•••••• M••• | Glen Head, Ny | Jun 20, 2024 | 12 y | 0 |
| J••••• M• M••••••• | Clifton Park, Ny | Nov 7, 2024 | 10 y | 0 |
| R•••••• J•••• D•••••• | Glen Head, Ny | Nov 7, 2024 | 32 y | 0 |
| M•••••• C••••• | Glen Head, Ny | Aug 23, 2025 | 12 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 headcount1 left over 36 months
Left, latest
- Z•••••• T• R••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 1, 2024 · RIA to wirehouse
- E••• D••• to W•••• C•••••• P••••••• L••Jun 16, 2023 · RIA to RIA
- M•••••• J• S••••••• to A••••••• P••••••••• A•••••••• I••Mar 22, 2023 · RIA to affiliated broker-dealer or bank
- S•••••• V••••• to F••••••• P••••••• A•• W•••••••• A•••••••Jan 23, 2023 · RIA to affiliated broker-dealer or bank
- B••••••• B••••••• R•••••• to E•• F•••••••• A•••••••Apr 13, 2022 · RIA to affiliated broker-dealer or bank
- S•••• H••••• S•••••• to L•• F•••••••• L••Dec 7, 2021 · RIA to affiliated broker-dealer or bank
- M•••••• J••••• E••••• to N••••••••• M••••• I••••••••• S•••••••••Oct 15, 2020 · Other
- R•••••• E•••••• to C•••••• S••••• • C••• I•••Sep 21, 2020 · RIA to affiliated broker-dealer or bank
- J••••• D••••••• to T• P•••••• C••••• W••••• L••Aug 20, 2018 · RIA to affiliated broker-dealer or bank
- P•••• L•• D• G••••••• to R•••••• J•••• • A••••••••• I•••Jul 9, 2018 · RIA to affiliated broker-dealer or bank
- D•••• R•••••• F••• to L•••••••• F•••••• A••••••• G••••• L••Jul 9, 2018 · RIA to RIA
- T••••• J••••• D•••••• to A•••••••• C•••••• M•••••••••Jul 9, 2018 · RIA to RIA
- D••• C•••••• D• M••••• to L•••••• I•••••••••Oct 19, 2009 · Other
Joined, latest
- B••••••• B••••••• R•••••• from P•• A••••••• S•••••••• L••Aug 4, 2021 · RIA to RIA
- M•••••• J••••• E••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 17, 2020 · Wirehouse to independent RIA
- R•••••• E•••••• from T• A••••••••• I•••Oct 17, 2019 · Other
- J••••• D••••••• from M••••• S••••••Dec 22, 2017 · Other
- R•••• W•••••• H••••• from M•• F•••••••• S•••••••• I•••Jun 21, 2017 · Other
- M•••••• J• S••••••• from E•••••••• A•••••••• L••Jun 7, 2017 · Other
- J•••• W••••• from U•• F•••••••• S••••••• I•••May 15, 2017 · Other
- J••••• R• T••••••• from A•••• C•••••• C••••May 11, 2017 · Other
- D•••• R•••••• F••• from R•••• • A•••••••••Sep 2, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••• R•••••• H••••• · Shareholder, Chief Compliance Officercontrolsince 10/1999 · owns 5% to 10%
- M••••••••• S•••• S••••••• · Holding Corporationcontrolsince 01/2010 · owns 25% to 50% of H••••••• F•••••••• G••••
- M•••••••• D••••• J••••• · Holding Corporationcontrolsince 01/2010 · owns 25% to 50% of H••••••• F•••••••• G••••
- P•••• R•••••• H••••• · Holding Corporationcontrolsince 01/1999 · owns F of H••••••• F•••••••• G••••
Entity owners
- H••••••• F•••••••• G•••• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- H••••••• F••••••••• L••broker-dealery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Glen Head, Ny · principal | 27 | 0 | 0 | ||
| Clifton Park, Ny | 9 | 0 | 0 | ||
| Clifton Park Dr, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Clifton Park, NY30 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 24, 2026M•••••••• D••••• J••••• (HOLDING CORPORATION) left Schedule A between the filings of 2012-01-20 and 2026-03-24peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 24, 2026P•••• R•••••• H••••• (HOLDING CORPORATION) left Schedule A between the filings of 2012-01-20 and 2026-03-24peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 24, 2026M••••••••• S•••• S••••••• (HOLDING CORPORATION) left Schedule A between the filings of 2012-01-20 and 2026-03-24peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 4,064 to 4,295Mar 21, 2025 to Mar 24, 2026
- BD registered reps · 31 to 32Mar 21, 2025 to Mar 24, 2026
- HNW clients · 477 to 384Mar 21, 2025 to Mar 24, 2026
- Individual clients · 2,317 to 2,182Mar 21, 2025 to Mar 24, 2026
- Employees · 33 to 32Mar 21, 2025 to Mar 24, 2026
- State-registered IARs · 31 to 32Mar 21, 2025 to Mar 24, 2026
- Discretionary RAUM · $1.3B to $1.4BMar 21, 2025 to Mar 24, 2026
- HNW RAUM · $673M to $827MMar 21, 2025 to Mar 24, 2026
- Individual RAUM · $612M to $652MMar 21, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $26.3M to $55.1MMar 21, 2025 to Mar 24, 2026
- RAUM · $1.3B to $1.5BMar 21, 2025 to Mar 24, 2026
- Accounts · 3,770 to 4,064Mar 13, 2024 to Mar 21, 2025
- Advisory employees · 2 to 5Mar 13, 2024 to Mar 21, 2025
- BD registered reps · 30 to 31Mar 13, 2024 to Mar 21, 2025
- HNW clients · 457 to 477Mar 13, 2024 to Mar 21, 2025
- Individual clients · 2,062 to 2,317Mar 13, 2024 to Mar 21, 2025
- Employees · 32 to 33Mar 13, 2024 to Mar 21, 2025
- Financial planning clients · 0 to 0Mar 13, 2024 to Mar 21, 2025
- State-registered IARs · 30 to 31Mar 13, 2024 to Mar 21, 2025
- Discretionary RAUM · $975M to $1.3BMar 13, 2024 to Mar 21, 2025
- HNW RAUM · $667M to $673MMar 13, 2024 to Mar 21, 2025
- Individual RAUM · $448M to $612MMar 13, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $139M to $26.3MMar 13, 2024 to Mar 21, 2025
- RAUM · $1.1B to $1.3BMar 13, 2024 to Mar 21, 2025
- Accounts · 3,882 to 3,770Nov 7, 2023 to Mar 8, 2024
- BD registered reps · 27 to 30Nov 7, 2023 to Mar 8, 2024
- HNW clients · 316 to 457Nov 7, 2023 to Mar 8, 2024
- Individual clients · 2,401 to 2,062Nov 7, 2023 to Mar 8, 2024
- Employees · 40 to 32Nov 7, 2023 to Mar 8, 2024
- State-registered IARs · 28 to 30Nov 7, 2023 to Mar 8, 2024
- Discretionary RAUM · $865M to $975MNov 7, 2023 to Mar 8, 2024
- HNW RAUM · $424M to $667MNov 7, 2023 to Mar 8, 2024
- Individual RAUM · $553M to $448MNov 7, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $112M to $139MNov 7, 2023 to Mar 8, 2024
- RAUM · $977M to $1.1BNov 7, 2023 to Mar 8, 2024
- Assets in custody · 3352350.0 to unsetAug 17, 2023 to Nov 7, 2023
- Custody of client assets · true to falseAug 17, 2023 to Nov 7, 2023
- Accounts · 2,717 to 3,882Mar 29, 2023 to Aug 17, 2023
- Accounts · 4,071 to 2,717Oct 25, 2022 to Mar 29, 2023
- BD registered reps · 41 to 27Oct 25, 2022 to Mar 29, 2023
Signals
10 dated events
- Z•••••• T• R••••• left T•• M••••••••• I•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-05-13)Apr 1, 2024 · Advisor changed firm · fact
- E••• D••• left T•• M••••••••• I•• for W•••• C•••••• P••••••• L•• (registered 2023-06-22)Jun 16, 2023 · Advisor changed firm · fact
- T•• M••••••••• I•• reported 28 state-registered advisory representatives, down from 38 (2022-10-25 to 2023-03-29)Mar 29, 2023 · Advisor headcount change · derived
- M•••••• J• S••••••• left T•• M••••••••• I•• for A••••••• P••••••••• A•••••••• I•• (registered 2023-03-17)Mar 22, 2023 · Advisor changed firm · fact
- S•••••• V••••• left T•• M••••••••• I•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-09-06)Jan 23, 2023 · Advisor changed firm · fact
- B••••••• B••••••• R•••••• left T•• M••••••••• I•• for E•• F•••••••• A••••••• (registered 2022-04-08)Apr 13, 2022 · Advisor changed firm · fact
- T•• M••••••••• I•• reported RAUM $1.2B, up 31% from $888.6M (2021-03-24 to 2022-03-21)Mar 21, 2022 · RAUM change · derived
- T•• M••••••••• I•• reported 38 state-registered advisory representatives, up from 0 (2021-03-24 to 2022-03-21)Mar 21, 2022 · Advisor headcount change · derived
- T•• M••••••••• I•• reported RAUM $888.6M, up 26% from $705.3M (2021-01-18 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- T•• M••••••••• I•• reported RAUM $562.0M, up 119% from $256.2M (2017-01-24 to 2018-03-09)Mar 9, 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
- 516-671-1099reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 518-463-2200reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-676-3332reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- hallidayfinancial.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- hallidayfinancial.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $49.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026