DFX Intelligence
RIA Intelligence
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SEC-registered adviser
M••••••••• W••••• M••••••••• L••
Latest filing Apr 20, 2026
First filing on the tape Apr 7, 2017 · 13 filings
SEC status approved since May 2, 2017
RAUM
$110M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$110M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$55.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$110M as of Apr 20, 2026
Mar 13, 2018$33.1M then
HNW client RAUM$31.0M as of Apr 20, 2026
Mar 13, 2018$28.0M then
State-registered IARs (5.B.3)2 as of Apr 20, 2026
Mar 13, 20180 then
Employees (5.A)2 as of Apr 20, 2026
Mar 13, 20182 then
Private funds: no history
RAUM +28% over the last fiscal year+29% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 20, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $55.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $968,750derivedHNW RAUM over HNW clients
- Average account
- $423,462derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +44%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- Individuals$79.1M72%
- High-net-worth individuals$31.0M28%
- Individual clients
- 142reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 260reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• G••••• E•••••••• | Garden City, Ny | Apr 1, 2021 | 33 y | 0 |
| R•••••• F•••••• J••• | Garden City, Ny | Apr 2, 2021 | 25 y | 1 |
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
- R•••••• F•••••• J••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 2, 2021 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•• C•••••• D••••••••• L•••no longer reported | Hedge Fund | $33,000 | 4 | Apr 7, 2017 |
Owners and control persons
Schedule A and B, latest filing
- E••••••••• T•••••• G••••• · Managing Principal/Partner/Ccocontrolsince 03/2015 · owns 50% to 75%
- J•••• R••••••• F•••••• · Managing Principal/Partner/Coocontrolsince 03/2015 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Garden City, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Apr 20, 2026HNW share of RAUM moved from 61.0% to 28.0% between the annual amendments of 2025-02-20 and 2026-04-20peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 240 to 260Feb 20, 2025 to Mar 12, 2026
- HNW clients · 46 to 32Feb 20, 2025 to Mar 12, 2026
- Individual clients · 75 to 142Feb 20, 2025 to Mar 12, 2026
- Financial planning clients · 0 to 1-10Feb 20, 2025 to Mar 12, 2026
- Discretionary RAUM · $86.2M to $110MFeb 20, 2025 to Mar 12, 2026
- HNW RAUM · $52.4M to $31.0MFeb 20, 2025 to Mar 12, 2026
- Individual RAUM · $32.5M to $79.1MFeb 20, 2025 to Mar 12, 2026
- Pension RAUM · 1200000.0 to unsetFeb 20, 2025 to Mar 12, 2026
- RAUM · $86.2M to $110MFeb 20, 2025 to Mar 12, 2026
- Accounts · 238 to 240Jan 16, 2024 to Feb 20, 2025
- HNW clients · 85 to 46Jan 16, 2024 to Feb 20, 2025
- Individual clients · 70 to 75Jan 16, 2024 to Feb 20, 2025
- Financial planning clients · 0 to 0Jan 16, 2024 to Feb 20, 2025
- Discretionary RAUM · $56.8M to $86.2MJan 16, 2024 to Feb 20, 2025
- HNW RAUM · $48.3M to $52.4MJan 16, 2024 to Feb 20, 2025
- Individual RAUM · $13.0M to $32.5MJan 16, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $4.6M to $0Jan 16, 2024 to Feb 20, 2025
- Pension RAUM · unset to 1200000.0Jan 16, 2024 to Feb 20, 2025
- RAUM · $61.4M to $86.2MJan 16, 2024 to Feb 20, 2025
- Accounts · 80 to 238Jan 27, 2023 to Jan 16, 2024
- HNW clients · 29 to 85Jan 27, 2023 to Jan 16, 2024
- Individual clients · 51 to 70Jan 27, 2023 to Jan 16, 2024
- Discretionary RAUM · $46.6M to $56.8MJan 27, 2023 to Jan 16, 2024
- HNW RAUM · $42.0M to $48.3MJan 27, 2023 to Jan 16, 2024
- Individual RAUM · $8.8M to $13.0MJan 27, 2023 to Jan 16, 2024
- Non-discretionary RAUM · $4.2M to $4.6MJan 27, 2023 to Jan 16, 2024
- RAUM · $50.8M to $61.4MJan 27, 2023 to Jan 16, 2024
- Accounts · 212 to 80Jan 25, 2022 to Jan 27, 2023
- HNW clients · 32 to 29Jan 25, 2022 to Jan 27, 2023
- Individual clients · 47 to 51Jan 25, 2022 to Jan 27, 2023
- Discretionary RAUM · $70.9M to $46.6MJan 25, 2022 to Jan 27, 2023
- HNW RAUM · $54.3M to $42.0MJan 25, 2022 to Jan 27, 2023
- Individual RAUM · $16.0M to $8.8MJan 25, 2022 to Jan 27, 2023
- Non-discretionary RAUM · $70,000 to $4.2MJan 25, 2022 to Jan 27, 2023
- Pension RAUM · 700000.0 to unsetJan 25, 2022 to Jan 27, 2023
- RAUM · $71.0M to $50.8MJan 25, 2022 to Jan 27, 2023
- Accounts · 73 to 212Mar 4, 2021 to Jan 25, 2022
- HNW clients · 22 to 32Mar 4, 2021 to Jan 25, 2022
- Individual clients · 48 to 47Mar 4, 2021 to Jan 25, 2022
- Discretionary RAUM · $59.7M to $70.9MMar 4, 2021 to Jan 25, 2022
Signals
1 dated events
- M••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 7, 2017 · First SEC registration · fact
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 email
- s••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 516-294-4814reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- M•••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 888-888-5250reportedpublic record, Form ADV, Apr 20, 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
- $55.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026