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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Former SEC-registered adviser

P•••••• C•••••• M•••••••••

Former SEC-registered adviserSmithtown, New YorkCRD 107486SEC 801-41741IAPD
Legal name P•••••• C•••••• M••••••••• C•••
Latest filing Apr 13, 2017
First filing on the tape Apr 16, 2012 · 13 filings
RAUM
$15.0M
reported, Item 5.F
Discretionary
58%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$15.0M as of Mar 4, 2017
Apr 16, 2012$91.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 4, 2017
Mar 28, 20130 then
Employees (5.A)6 as of Mar 4, 2017
Mar 28, 20135 then
Private funds: no history
RAUM -34% over the last fiscal year-24% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Apr 13, 2017; every figure names its basis
RAUM per advisor
$3.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$133,760derivedRAUM over accounts (5.F.2.f)
Discretionary
58%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-34%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
112reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S••••••••• S•••• J••• · Chief Operating Officercontrol
      since 05/2013 · owns less than 5%
    • V••••••• A••••••• M•••• · Vp Of Investmentscontrol
      since 01/2014 · owns less than 5%
    • W••••••••• W•••••• F•••• · President/Chief Compliance Officercontrol
      since 01/1991 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 150 to 112
      Sep 15, 2016 to Mar 4, 2017
    • Advisory activities · 2 to 3
      Sep 15, 2016 to Mar 4, 2017
    • Employees · 5 to 6
      Sep 15, 2016 to Mar 4, 2017
    • Insurance-licensed employees · 2 to 0
      Sep 15, 2016 to Mar 4, 2017
    • Financial planning clients · 51-100 to 26-50
      Sep 15, 2016 to Mar 4, 2017
    • Discretionary RAUM · $17.1M to $8.7M
      Sep 15, 2016 to Mar 4, 2017
    • Non-discretionary RAUM · $5.6M to $6.3M
      Sep 15, 2016 to Mar 4, 2017
    • RAUM · $22.7M to $15.0M
      Sep 15, 2016 to Mar 4, 2017
    • Accounts · 60 to 150
      May 24, 2016 to Sep 15, 2016
    • Advisory employees · 3 to 4
      May 24, 2016 to Sep 15, 2016
    • Employees · 4 to 5
      May 24, 2016 to Sep 15, 2016
    • State-registered IARs · 3 to 4
      May 24, 2016 to Sep 15, 2016
    • Accounts · 225 to 60
      Mar 25, 2015 to Mar 18, 2016
    • State-registered IARs · 2 to 3
      Mar 25, 2015 to Mar 18, 2016
    • Discretionary RAUM · $21.2M to $17.1M
      Mar 25, 2015 to Mar 18, 2016
    • Non-discretionary RAUM · $5.7M to $5.6M
      Mar 25, 2015 to Mar 18, 2016
    • RAUM · $26.9M to $22.7M
      Mar 25, 2015 to Mar 18, 2016
    • Accounts · 287 to 225
      Jul 31, 2014 to Mar 5, 2015
    • Advisory employees · 2 to 3
      Jul 31, 2014 to Mar 5, 2015
    • Insurance-licensed employees · 1 to 2
      Jul 31, 2014 to Mar 5, 2015
    • Discretionary RAUM · $27.4M to $21.2M
      Jul 31, 2014 to Mar 5, 2015
    • Non-discretionary RAUM · $6.9M to $5.7M
      Jul 31, 2014 to Mar 5, 2015
    • RAUM · $34.3M to $26.9M
      Jul 31, 2014 to Mar 5, 2015
    • Accounts · 468 to 287
      Nov 25, 2013 to Feb 14, 2014
    • Advisory employees · 3 to 2
      Nov 25, 2013 to Feb 14, 2014
    • Insurance-licensed employees · 0 to 1
      Nov 25, 2013 to Feb 14, 2014
    • State-registered IARs · 0 to 2
      Nov 25, 2013 to Feb 14, 2014
    • Discretionary RAUM · $59.5M to $27.4M
      Nov 25, 2013 to Feb 14, 2014
    • Non-discretionary RAUM · $5.5M to $6.9M
      Nov 25, 2013 to Feb 14, 2014
    • RAUM · $65.0M to $34.3M
      Nov 25, 2013 to Feb 14, 2014
    • Employees · 5 to 4
      Mar 28, 2013 to Oct 11, 2013
    • Accounts · 682 to 468
      Apr 16, 2012 to Mar 28, 2013
    • Advisory employees · unset to 3.0
      Apr 16, 2012 to Mar 28, 2013
    • Advisory activities · 3 to 2
      Apr 16, 2012 to Mar 28, 2013
    • Assets in custody · 205000.0 to unset
      Apr 16, 2012 to Mar 28, 2013
    • Employees · unset to 5.0
      Apr 16, 2012 to Mar 28, 2013
    • State-registered IARs · unset to 0.0
      Apr 16, 2012 to Mar 28, 2013
    • Discretionary RAUM · $84.9M to $59.5M
      Apr 16, 2012 to Mar 28, 2013
    • Non-discretionary RAUM · $6.1M to $5.5M
      Apr 16, 2012 to Mar 28, 2013
    • RAUM · $91.0M to $65.0M
      Apr 16, 2012 to Mar 28, 2013
    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.
    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
    Former SEC-registered adviserderiveda 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