DFX Intelligence

RIA Intelligence

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D•••• A••••••••• I••

No RAUM reportedSEC-registered· Bay Shore, New Yorkwebsite

No RAUM reported, based in Bay Shore, New York.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
Not established
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
Not established
Private clients
Not established
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 108356 · SEC 801-26495 · 26 filingsShow
CRD 108356SEC 801-26495First filing on the tape Feb 29, 2012, latest Mar 24, 2026SEC status approved since Mar 7, 1986IAPD
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
19 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$0 as of Mar 24, 2026
Mar 26, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Feb 29, 20120 then
Employees (5.A)19 as of Mar 24, 2026
Apr 1, 201321 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
pension consultingreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
19reported
Charitable clients
5reported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• R••••••• E••• · Ownercontrol
        since 01/1986 · owns 75% or more
      • D••••• W••••••• E••• · Ceocontrol
        since 09/2022 · owns 10% to 25%
      • L••• D•••• · Presidentcontrol
        since 02/2013 · owns less than 5%
      • M••••••••• G••••••• A••••• · Vice-Chairmancontrol
        since 02/2013 · owns less than 5%
      • H•••••••• S••••••• P••••• · Chief Compliance Officer
        since 08/2019 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Franklin, MA2 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 20 to 19
        Mar 26, 2025 to Mar 24, 2026
      • Charity clients · 4 to 5
        Mar 26, 2025 to Mar 24, 2026
      • Pension plan clients · 18 to 19
        Mar 26, 2025 to Mar 24, 2026
      • Employees · 20 to 19
        Mar 26, 2025 to Mar 24, 2026
      • Accounts · unset to 0.0
        Mar 19, 2024 to Mar 26, 2025
      • Financial planning clients · unset to
        Mar 19, 2024 to Mar 26, 2025
      • Discretionary RAUM · unset to 0.0
        Mar 19, 2024 to Mar 26, 2025
      • Non-discretionary RAUM · unset to 0.0
        Mar 19, 2024 to Mar 26, 2025
      • RAUM · unset to 0.0
        Mar 19, 2024 to Mar 26, 2025
      • Advisory employees · 21 to 20
        Mar 30, 2023 to Mar 19, 2024
      • Charity clients · 5 to 4
        Mar 30, 2023 to Mar 19, 2024
      • Pension plan clients · 19 to 18
        Mar 30, 2023 to Mar 19, 2024
      • Employees · 21 to 20
        Mar 30, 2023 to Mar 19, 2024
      • Advisory employees · 23 to 21
        Sep 23, 2022 to Mar 30, 2023
      • Employees · 23 to 21
        Sep 23, 2022 to Mar 30, 2023
      • Other offices · 3 to 2
        Sep 23, 2022 to Mar 30, 2023
      • Advisory employees · 22 to 23
        Mar 30, 2021 to Mar 30, 2022
      • Corporate clients · 2 to 3
        Mar 30, 2021 to Mar 30, 2022
      • Pension plan clients · 16 to 19
        Mar 30, 2021 to Mar 30, 2022
      • Employees · 22 to 23
        Mar 30, 2021 to Mar 30, 2022
      • Employees · 24 to 22
        Oct 22, 2020 to Mar 30, 2021
      • Other offices · 4 to 3
        Oct 22, 2020 to Mar 30, 2021
      • Advisory employees · 24 to 22
        Oct 22, 2020 to Mar 30, 2021
      • Charity clients · 6 to 5
        Oct 22, 2020 to Mar 30, 2021
      • Corporate clients · 3 to 2
        Oct 22, 2020 to Mar 30, 2021
      • HNW clients · 2.0 to unset
        Mar 27, 2020 to Oct 22, 2020
      • Charity clients · 5 to 6
        Mar 28, 2019 to Mar 27, 2020
      • Pension plan clients · 15 to 16
        Mar 28, 2019 to Mar 27, 2020
      • Other offices · 5 to 4
        Mar 28, 2019 to Mar 27, 2020
      • Employees · 25 to 24
        Apr 5, 2018 to Mar 28, 2019
      • Charity clients · unset to 5.0
        Mar 17, 2017 to Mar 28, 2018
      • Corporate clients · unset to 3.0
        Mar 17, 2017 to Mar 28, 2018
      • HNW clients · unset to 2.0
        Mar 17, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 15.0
        Mar 17, 2017 to Mar 28, 2018
      • Other offices · unset to 5.0
        Mar 17, 2017 to Mar 28, 2018
      • Advisory employees · 22 to 24
        Feb 4, 2014 to Feb 16, 2015
      • Employees · 22 to 25
        Feb 4, 2014 to Feb 16, 2015
      • Advisory employees · 21 to 22
        Aug 6, 2013 to Feb 4, 2014
      • Employees · 21 to 22
        Aug 6, 2013 to Feb 4, 2014
      • Advisory employees · unset to 21.0
        Feb 29, 2012 to Apr 1, 2013
      Signals
      2 dated events
      • ••• Locked
        Mar 30, 2022 · Control person joined · fact
      • ••• Locked
        Oct 22, 2020 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 24, 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
      No RAUM reportedderiveda 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