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
J•• F•••••••• S••••••••• I••
Latest filing Feb 16, 2017
First filing on the tape Mar 27, 2012 · 12 filings
RAUM
n/a
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$96.4M as of Feb 17, 2016
Mar 27, 2012$104M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 16, 2017
Feb 20, 20132 then
Employees (5.A)1 as of Feb 16, 2017
Feb 20, 20133 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 16, 2017; 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
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
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
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
Left, latest
- J••• J••• M•••••• to M••• S••••• F•••••••• S••••••••• L••Feb 16, 2017 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• J•••• J••• · President; Chief Compliance Officer (01/2005)controlsince 09/1992 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Melville, NY
What changed
consecutive filings, newest first
- Accounts · 155.0 to unsetMar 16, 2016 to Feb 16, 2017
- Employees · 3 to 1Mar 16, 2016 to Feb 16, 2017
- Discretionary RAUM · 0.0 to unsetMar 16, 2016 to Feb 16, 2017
- Non-discretionary RAUM · 96431000.0 to unsetMar 16, 2016 to Feb 16, 2017
- RAUM · 96431000.0 to unsetMar 16, 2016 to Feb 16, 2017
- Accounts · 157 to 155Jun 17, 2015 to Feb 17, 2016
- Advisory employees · 2 to 1Jun 17, 2015 to Feb 17, 2016
- State-registered IARs · 2 to 1Jun 17, 2015 to Feb 17, 2016
- Discretionary RAUM · $36.0M to $0Jun 17, 2015 to Feb 17, 2016
- Non-discretionary RAUM · $93.6M to $96.4MJun 17, 2015 to Feb 17, 2016
- RAUM · $130M to $96.4MJun 17, 2015 to Feb 17, 2016
- Financial planning clients · 1-10 to 0Jun 18, 2014 to Mar 21, 2015
- Discretionary RAUM · $34.3M to $36.0MJun 18, 2014 to Mar 21, 2015
- Non-discretionary RAUM · $89.5M to $93.6MJun 18, 2014 to Mar 21, 2015
- RAUM · $124M to $130MJun 18, 2014 to Mar 21, 2015
- Accounts · 180 to 157Sep 26, 2013 to Feb 22, 2014
- Discretionary RAUM · $31.0M to $34.3MSep 26, 2013 to Feb 22, 2014
- Non-discretionary RAUM · $84.0M to $89.5MSep 26, 2013 to Feb 22, 2014
- RAUM · $115M to $124MSep 26, 2013 to Feb 22, 2014
- Advisory employees · unset to 2.0Mar 27, 2012 to Feb 20, 2013
- Employees · unset to 3.0Mar 27, 2012 to Feb 20, 2013
- State-registered IARs · unset to 2.0Mar 27, 2012 to Feb 20, 2013
- Discretionary RAUM · $28.1M to $31.0MMar 27, 2012 to Feb 20, 2013
- Non-discretionary RAUM · $76.4M to $84.0MMar 27, 2012 to Feb 20, 2013
- RAUM · $104M to $115MMar 27, 2012 to Feb 20, 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