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SEC-registered adviser

E••••• A•••• M••••••••• L••

Independent wealth managerMelville, New YorkCRD 110434SEC 801-43057websiteIAPD
Latest filing Apr 14, 2026
First filing on the tape Mar 29, 2012 · 21 filings
SEC status approved since Jan 12, 1993
RAUM
$140M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$126M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$70.1M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$140M as of Apr 14, 2026
Jun 26, 2012$109M then
HNW client RAUM$76.4M as of Apr 14, 2026
Jun 28, 2018$58.2M then
State-registered IARs (5.B.3)0 as of Apr 14, 2026
Jun 24, 20133 then
Employees (5.A)5 as of Apr 14, 2026
Jun 24, 20133 then
Private funds: no history
RAUM +2.3% over the last fiscal year+1.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 14, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$70.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
69derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$960,404derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
9.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.3%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-10%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$806,641, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • High-net-worth individuals$76.4M55%
  • Individuals$50.0M36%
  • Pension and profit-sharing plans$13.8M9.8%
Individual clients
101reported
HNW clients
36reported
Pension plan clients
9reported
Charitable clients
0reported
Accounts
146reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$806,641 for 1 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
B•••• J••• T••••••••Certified Financial PlannerMelville, NyJan 16, 202622 y1
T•••••• D••••• A•••••••Certified Financial PlannerMelville, NyMar 4, 202631 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
      • A•••••••• T••••••• D••••• · Presidentcontrol
        since 10/2006 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Melville, Ny · principal220
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • account count collapseChange between filings · filing Apr 14, 2026
        accounts (Item 5.F.2.f) moved from 359.0 to 146.0 (-59.0%) between the annual amendments of 2024-05-24 and 2026-04-14; the peer median change was +5.0% (3685 comparable advisers, 2.0th percentile of changes)
        peers: independent wealth managers, $100M to $500M (3,685) · 2.2% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 153 to 146
        Jan 9, 2026 to Apr 14, 2026
      • HNW clients · 31 to 36
        Jan 9, 2026 to Apr 14, 2026
      • Individual clients · 111 to 101
        Jan 9, 2026 to Apr 14, 2026
      • Pension plan clients · 11 to 9
        Jan 9, 2026 to Apr 14, 2026
      • Discretionary RAUM · $133M to $140M
        Jan 9, 2026 to Apr 14, 2026
      • HNW RAUM · $59.4M to $76.4M
        Jan 9, 2026 to Apr 14, 2026
      • Individual RAUM · $58.9M to $50.0M
        Jan 9, 2026 to Apr 14, 2026
      • Pension RAUM · $14.9M to $13.8M
        Jan 9, 2026 to Apr 14, 2026
      • RAUM · $133M to $140M
        Jan 9, 2026 to Apr 14, 2026
      • Accounts · 359 to 153
        May 24, 2024 to May 21, 2025
      • HNW clients · 30 to 31
        May 24, 2024 to May 21, 2025
      • Individual clients · 123 to 111
        May 24, 2024 to May 21, 2025
      • Pension plan clients · 10 to 11
        May 24, 2024 to May 21, 2025
      • Financial planning clients · 0 to 0
        May 24, 2024 to May 21, 2025
      • Discretionary RAUM · $137M to $133M
        May 24, 2024 to May 21, 2025
      • HNW RAUM · $64.5M to $59.4M
        May 24, 2024 to May 21, 2025
      • Individual RAUM · $58.2M to $58.9M
        May 24, 2024 to May 21, 2025
      • Pension RAUM · $14.4M to $14.9M
        May 24, 2024 to May 21, 2025
      • RAUM · $137M to $133M
        May 24, 2024 to May 21, 2025
      • Accounts · 391 to 359
        Jul 20, 2023 to May 24, 2024
      • HNW clients · 28 to 30
        Jul 20, 2023 to May 24, 2024
      • Individual clients · 130 to 123
        Jul 20, 2023 to May 24, 2024
      • Pension plan clients · 9 to 10
        Jul 20, 2023 to May 24, 2024
      • Discretionary RAUM · $131M to $137M
        Jul 20, 2023 to May 24, 2024
      • HNW RAUM · $61.1M to $64.5M
        Jul 20, 2023 to May 24, 2024
      • Individual RAUM · $57.3M to $58.2M
        Jul 20, 2023 to May 24, 2024
      • Pension RAUM · $12.2M to $14.4M
        Jul 20, 2023 to May 24, 2024
      • RAUM · $131M to $137M
        Jul 20, 2023 to May 24, 2024
      • Accounts · 389 to 391
        Dec 20, 2022 to Jul 20, 2023
      • HNW clients · 30 to 28
        Dec 20, 2022 to Jul 20, 2023
      • Individual clients · 137 to 130
        Dec 20, 2022 to Jul 20, 2023
      • Pension plan clients · 10 to 9
        Dec 20, 2022 to Jul 20, 2023
      • Assets in custody · unset to 806641.0
        Dec 20, 2022 to Jul 20, 2023
      • Custody of client assets · false to true
        Dec 20, 2022 to Jul 20, 2023
      • Employees · 4 to 5
        Dec 20, 2022 to Jul 20, 2023
      • State-registered IARs · 2 to 0
        Dec 20, 2022 to Jul 20, 2023
      • Discretionary RAUM · $136M to $131M
        Dec 20, 2022 to Jul 20, 2023
      • HNW RAUM · $61.6M to $61.1M
        Dec 20, 2022 to Jul 20, 2023
      • Individual RAUM · $59.3M to $57.3M
        Dec 20, 2022 to Jul 20, 2023
      • Pension RAUM · $15.0M to $12.2M
        Dec 20, 2022 to Jul 20, 2023
      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
      Business phone
      631-465-9670reportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      631-465-9671reportedpublished by the firm, firm site, Sep 16, 2026
      Website
      E•••••AM.COMreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      (631)465-9670reportedpublic record, Form ADV, Apr 14, 2026
      Contact form
      e•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
      Team page
      e•••••••.comreportedpublished by the firm, firm site, Sep 16, 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
      $70.1Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026