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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SEC-registered adviser

P•••••• F••• E••••••••• I•••

No RAUM reportedCentereach, New YorkCRD 10985SEC 801-15614websiteIAPD
Latest filing Mar 28, 2024
First filing on the tape Mar 5, 2012 · 15 filings
SEC status approved since Nov 14, 1980
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
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$756M as of Mar 24, 2021
Mar 14, 2018$600M then
HNW client RAUM$0 as of Mar 28, 2024
Apr 1, 2019$0 then
State-registered IARs (5.B.3)2 as of Mar 28, 2024
Mar 25, 20133 then
Employees (5.A)3 as of Mar 28, 2024
Mar 25, 20135 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
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
1.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
pension consulting, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • controlled by a public reporting company (10.A)
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
0reported
HNW clients
0reported
Pension plan clients
20reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
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
      • L••••••• R••••• J••••• · Executive Vice Presidentcontrol
        since 04/2011 · owns less than 5%
      • P••••••••• M••• E•••• · Principalcontrol
        since 01/2003 · owns less than 5%
      • P•••••••• G•••••• G••••• · Presidentcontrol
        since 12/2001 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Centereach, NY4 employees
      What changed
      consecutive filings, newest first
      • Advisory activities · 3 to 2
        Feb 23, 2023 to Mar 28, 2024
      • BD registered reps · 4 to 0
        Feb 23, 2023 to Mar 28, 2024
      • Commission compensation · true to false
        Feb 23, 2023 to Mar 28, 2024
      • Employees · 4 to 3
        Feb 23, 2023 to Mar 28, 2024
      • State-registered IARs · 3 to 2
        Feb 23, 2023 to Mar 28, 2024
      • Pension RAUM · 0.0 to unset
        Feb 23, 2023 to Mar 28, 2024
      • Advisory activities · 2 to 3
        Oct 25, 2021 to Feb 9, 2022
      • Accounts · 21.0 to unset
        Mar 24, 2021 to Oct 25, 2021
      • Discretionary RAUM · 0.0 to unset
        Mar 24, 2021 to Oct 25, 2021
      • Non-discretionary RAUM · 755886711.0 to unset
        Mar 24, 2021 to Oct 25, 2021
      • Pension RAUM · $737M to $0
        Mar 24, 2021 to Oct 25, 2021
      • RAUM · 755886711.0 to unset
        Mar 24, 2021 to Oct 25, 2021
      • Non-discretionary RAUM · $658M to $756M
        Apr 2, 2020 to Mar 24, 2021
      • Pension RAUM · $642M to $737M
        Apr 2, 2020 to Mar 24, 2021
      • RAUM · $658M to $756M
        Apr 2, 2020 to Mar 24, 2021
      • Advisory activities · 3 to 2
        Apr 1, 2019 to Apr 2, 2020
      • Non-discretionary RAUM · $620M to $658M
        Apr 1, 2019 to Apr 2, 2020
      • Pension RAUM · $607M to $642M
        Apr 1, 2019 to Apr 2, 2020
      • RAUM · $620M to $658M
        Apr 1, 2019 to Apr 2, 2020
      • Accounts · 20 to 21
        Mar 14, 2018 to Apr 1, 2019
      • Charity clients · unset to 0.0
        Mar 14, 2018 to Apr 1, 2019
      • HNW clients · unset to 0.0
        Mar 14, 2018 to Apr 1, 2019
      • Individual clients · unset to 0.0
        Mar 14, 2018 to Apr 1, 2019
      • Pension plan clients · 19 to 20
        Mar 14, 2018 to Apr 1, 2019
      • Pooled vehicle clients · unset to 0.0
        Mar 14, 2018 to Apr 1, 2019
      • HNW RAUM · unset to 0.0
        Mar 14, 2018 to Apr 1, 2019
      • Individual RAUM · unset to 0.0
        Mar 14, 2018 to Apr 1, 2019
      • Non-discretionary RAUM · $600M to $620M
        Mar 14, 2018 to Apr 1, 2019
      • Pension RAUM · $520M to $607M
        Mar 14, 2018 to Apr 1, 2019
      • Pooled vehicle RAUM · unset to 0.0
        Mar 14, 2018 to Apr 1, 2019
      • RAUM · $600M to $620M
        Mar 14, 2018 to Apr 1, 2019
      • Accounts · unset to 20.0
        Apr 4, 2017 to Mar 14, 2018
      • Corporate clients · unset to 1.0
        Apr 4, 2017 to Mar 14, 2018
      • Pension plan clients · unset to 19.0
        Apr 4, 2017 to Mar 14, 2018
      • Other offices · unset to 1.0
        Apr 4, 2017 to Mar 14, 2018
      • Discretionary RAUM · unset to 0.0
        Apr 4, 2017 to Mar 14, 2018
      • Non-discretionary RAUM · unset to 600000000.0
        Apr 4, 2017 to Mar 14, 2018
      • Pension RAUM · unset to 520000000.0
        Apr 4, 2017 to Mar 14, 2018
      • RAUM · unset to 600000000.0
        Apr 4, 2017 to Mar 14, 2018
      • BD registered reps · 3 to 4
        Mar 16, 2015 to Mar 2, 2016
      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
      Website
      w••.p•••••.comreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      631-585-8282reportedpublic record, Form ADV, Mar 28, 2024
      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