DFX Intelligence
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C• • C• F•••••••• S•••••••• I•••
Independent wealth managerSEC-registered· Great Neck, New York
Independent wealth manager, based in Great Neck, New York, reporting $66.2M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $66.2M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +7.9%
- Private clients
- 62% of RAUM, $40.8M
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 1
Every filed figure, and the identifiersCRD 106752 · SEC 801-47062 · 17 filingsShowHide
CRD 106752SEC 801-47062First filing on the tape Mar 6, 2012, latest Mar 26, 2026SEC status approved since Jul 26, 1994IAPD
RAUM
$66.2M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
62%
$40.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$66.2M as of Mar 26, 2026
Mar 6, 2012$68.5M then
HNW client RAUM$14.2M as of Mar 26, 2026
Mar 27, 2018$7.3M then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 6, 20120 then
Employees (5.A)2 as of Mar 26, 2026
Feb 20, 20132 then
Private funds: no history
RAUM +7.9% over the last fiscal year+8.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $2.7M, 3 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$26.6M40%
- High-net-worth individuals$14.2M21%
- Corporations and businesses$11.5M17%
- Charitable organizations$9.1M14%
- Pension and profit-sharing plans$4.8M7.2%
- Individual clients
- 31reported
- HNW clients
- 7reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 46reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.7M for 3 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.62 fund_share=0.0 institutional_share=0.21 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
- B•••••••• R••••••• J• · Presidentcontrolsince 05/2003 · owns 50% to 75%
- M••••••• J••••• · Secretary / Treasurercontrolsince 05/2003 · owns 50% to 75%
Entity owners
- B•••••••• R••••••• J• · President / Ccoindirect · owns 50% to 75% of C• • C• F•••••••• S•••••••• I•••
- M••••••• J••••• · Secretary/Treasurerindirect · owns 50% to 75% of C• • C• F•••••••• S•••••••• I•••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $2.7M to $2.7MMar 25, 2025 to Mar 26, 2026
- Discretionary RAUM · $56.1M to $60.5MMar 25, 2025 to Mar 26, 2026
- HNW RAUM · $12.4M to $14.2MMar 25, 2025 to Mar 26, 2026
- Individual RAUM · $25.7M to $26.6MMar 25, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $5.3M to $5.7MMar 25, 2025 to Mar 26, 2026
- Pension RAUM · $3.7M to $4.8MMar 25, 2025 to Mar 26, 2026
- RAUM · $61.4M to $66.2MMar 25, 2025 to Mar 26, 2026
- Accounts · 47 to 46Mar 29, 2024 to Mar 25, 2025
- Charity clients · unset to 3.0Mar 29, 2024 to Mar 25, 2025
- Corporate clients · unset to 4.0Mar 29, 2024 to Mar 25, 2025
- Individual clients · 32 to 31Mar 29, 2024 to Mar 25, 2025
- Pension plan clients · unset to 1.0Mar 29, 2024 to Mar 25, 2025
- Financial planning clients · 11-25 to 11-25Mar 29, 2024 to Mar 25, 2025
- Discretionary RAUM · $50.1M to $56.1MMar 29, 2024 to Mar 25, 2025
- HNW RAUM · $12.0M to $12.4MMar 29, 2024 to Mar 25, 2025
- Individual RAUM · $22.7M to $25.7MMar 29, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $5.5M to $5.3MMar 29, 2024 to Mar 25, 2025
- Pension RAUM · $3.2M to $3.7MMar 29, 2024 to Mar 25, 2025
- RAUM · $55.6M to $61.4MMar 29, 2024 to Mar 25, 2025
- Assets in custody · $2.1M to $2.7MMar 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $47.0M to $50.1MMar 29, 2023 to Mar 29, 2024
- HNW RAUM · $9.0M to $12.0MMar 29, 2023 to Mar 29, 2024
- Individual RAUM · $24.7M to $22.7MMar 29, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $5.0M to $5.5MMar 29, 2023 to Mar 29, 2024
- Pension RAUM · $2.3M to $3.2MMar 29, 2023 to Mar 29, 2024
- RAUM · $52.0M to $55.6MMar 29, 2023 to Mar 29, 2024
- Accounts · 48 to 47Mar 28, 2022 to Mar 29, 2023
- Assets in custody · $2.9M to $2.1MMar 28, 2022 to Mar 29, 2023
- Discretionary RAUM · $58.1M to $47.0MMar 28, 2022 to Mar 29, 2023
- HNW RAUM · $13.6M to $9.0MMar 28, 2022 to Mar 29, 2023
- Individual RAUM · $26.7M to $24.7MMar 28, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $5.5M to $5.0MMar 28, 2022 to Mar 29, 2023
- Pension RAUM · $3.0M to $2.3MMar 28, 2022 to Mar 29, 2023
- RAUM · $63.7M to $52.0MMar 28, 2022 to Mar 29, 2023
- Accounts · 47 to 48Mar 30, 2021 to Mar 28, 2022
- Assets in custody · $2.4M to $2.9MMar 30, 2021 to Mar 28, 2022
- Discretionary RAUM · $54.7M to $58.1MMar 30, 2021 to Mar 28, 2022
- HNW RAUM · $11.8M to $13.6MMar 30, 2021 to Mar 28, 2022
- Individual RAUM · $26.7M to $26.7MMar 30, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $5.8M to $5.5MMar 30, 2021 to Mar 28, 2022
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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 26, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026