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
E••• E•• F•••••••• G••••• I•••
Latest filing Jul 9, 2026
First filing on the tape Mar 29, 2012 · 27 filings
SEC status approved since May 15, 1989
RAUM
$689M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
75%
$519M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$115M
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$689M as of Jul 9, 2026
May 4, 2012$194M then
HNW client RAUM$423M as of Jul 9, 2026
Mar 27, 2018$199M then
State-registered IARs (5.B.3)6 as of Jul 9, 2026
Apr 1, 20136 then
Employees (5.A)12 as of Jul 9, 2026
Apr 1, 201311 then
Private funds: no history
RAUM +19% over the last fiscal year+17% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jul 9, 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
- RAUM per advisor
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $679,704derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 25%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
- High-net-worth individuals$423M61%
- State and municipal entities$141M20%
- Individuals$96.1M14%
- Charitable organizations$22.3M3.2%
- Pension and profit-sharing plans$6.4M0.9%
- Individual clients
- 167reported
- HNW clients
- 151reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 1,014reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.75 fund_share=0.0 institutional_share=0.25 related_bd=false related_bank=false bd_reps=9.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• J••• K•••••••Certified Financial Planner, Chartered Financial Consultant | Riverhead, Ny | May 22, 2021 | 22 y | 3 |
| J••• F•••••• K•••••••Certified Financial Planner | Riverhead, Ny | May 22, 2021 | 19 y | 0 |
| J•••••• R•••••• C•••••••Chartered Financial Analyst | Riverhead, Ny | May 22, 2021 | 14 y | 0 |
| E••••• V••••••Certified Financial Planner | Riverhead, Ny | May 22, 2021 | 30 y | 1 |
| M••• A•••• P••••••Certified Financial Planner | Riverhead, Ny | Jun 11, 2021 | 18 y | 3 |
| M••• B••••••••• L••••••• | Riverhead, Ny | Jan 2, 2024 | 15 y | 0 |
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
- M••• A•••• P•••••• from A••••••• P••••••••• A•••••••• I••Jun 11, 2021 · Affiliated broker-dealer or bank to independent RIA
- J••••• J••• K••••••• from A••••••• P••••••••• A•••••••• I••May 22, 2021 · Affiliated broker-dealer or bank to independent RIA
- E••••• V•••••• from A••••••• P••••••••• A•••••••• I••May 22, 2021 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from A••••••• P••••••••• A•••••••• I••Oct 11, 2024 · Holbrook, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••••• J•••••• J••• · Ownercontrolsince 01/2007 · owns 5% to 10%
- Z•••••••• A••••••• · President, Chief Compliance Officercontrolsince 12/2016 · owns 10% to 25%
- K•••••••• J•••••• J••• · Trusteecontrolsince 12/2012 · owns 50% to 75% of T•• K••••••• T•••• • U•• 1•••••••
- Z•••••••• A••••••• · Trusteecontrolsince 12/2012 · owns 50% to 75% of T•• K••••••• T•••• • U•• 1•••••••
- Z•••••••• A••••••• · Trusteecontrolsince 12/2012 · owns 50% to 75% of T•• K••••••• T•••• • U•• 1•••••••
- K•••••••• J•••• F•••••• · Trusteesince 12/2012 · owns 50% to 75% of T•• K••••••• T•••• • U•• 1•••••••
Entity owners
- T•• K••••••• T•••• • U•• 1••••••• · Trustdirect · owns 25% to 50%
- T•• K••••••• T•••• • U•• 1••••••• · Trustdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- K••••••• A••••••••• I••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Riverhead, Ny · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- E••• Hampton, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Feb 11, 2026accounts (Item 5.F.2.f) moved from 341.0 to 1,014.0 (+197.0%) between the annual amendments of 2025-02-27 and 2026-02-11; the peer median change was +6.0% (1256 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 341 to 1,014Feb 27, 2025 to Feb 11, 2026
- Advisory activities · 5 to 4Feb 27, 2025 to Feb 11, 2026
- Charity clients · 6 to 5Feb 27, 2025 to Feb 11, 2026
- HNW clients · 137 to 151Feb 27, 2025 to Feb 11, 2026
- Individual clients · 159 to 167Feb 27, 2025 to Feb 11, 2026
- Discretionary RAUM · $577M to $688MFeb 27, 2025 to Feb 11, 2026
- HNW RAUM · $334M to $423MFeb 27, 2025 to Feb 11, 2026
- Individual RAUM · $87.8M to $96.1MFeb 27, 2025 to Feb 11, 2026
- Non-discretionary RAUM · $1.8M to $752,076Feb 27, 2025 to Feb 11, 2026
- Pension RAUM · $6.3M to $6.4MFeb 27, 2025 to Feb 11, 2026
- RAUM · $579M to $689MFeb 27, 2025 to Feb 11, 2026
- Accounts · 325 to 341Oct 10, 2024 to Feb 27, 2025
- BD registered reps · 6 to 9Oct 10, 2024 to Feb 27, 2025
- Charity clients · 5 to 6Oct 10, 2024 to Feb 27, 2025
- HNW clients · 120 to 137Oct 10, 2024 to Feb 27, 2025
- Individual clients · 163 to 159Oct 10, 2024 to Feb 27, 2025
- Assets in custody · 79912242.0 to unsetOct 10, 2024 to Feb 27, 2025
- Custody of client assets · true to falseOct 10, 2024 to Feb 27, 2025
- Financial planning clients · 251-500 to 251-500Oct 10, 2024 to Feb 27, 2025
- Discretionary RAUM · $496M to $577MOct 10, 2024 to Feb 27, 2025
- HNW RAUM · $271M to $334MOct 10, 2024 to Feb 27, 2025
- Individual RAUM · $89.1M to $87.8MOct 10, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $2.1M to $1.8MOct 10, 2024 to Feb 27, 2025
- Pension RAUM · $10.1M to $6.3MOct 10, 2024 to Feb 27, 2025
- RAUM · $498M to $579MOct 10, 2024 to Feb 27, 2025
- Accounts · 927 to 325Feb 13, 2023 to Feb 22, 2024
- Advisory employees · 5 to 6Feb 13, 2023 to Feb 22, 2024
- BD registered reps · 8 to 6Feb 13, 2023 to Feb 22, 2024
- Corporate clients · 2.0 to unsetFeb 13, 2023 to Feb 22, 2024
- HNW clients · 100 to 120Feb 13, 2023 to Feb 22, 2024
- Individual clients · 180 to 163Feb 13, 2023 to Feb 22, 2024
- Pension plan clients · 3.0 to unsetFeb 13, 2023 to Feb 22, 2024
- Assets in custody · $65.5M to $79.9MFeb 13, 2023 to Feb 22, 2024
- Employees · 11 to 12Feb 13, 2023 to Feb 22, 2024
- State-registered IARs · 5 to 6Feb 13, 2023 to Feb 22, 2024
- Discretionary RAUM · $434M to $496MFeb 13, 2023 to Feb 22, 2024
- HNW RAUM · $216M to $271MFeb 13, 2023 to Feb 22, 2024
- Individual RAUM · $97.5M to $89.1MFeb 13, 2023 to Feb 22, 2024
- Non-discretionary RAUM · $2.1M to $2.1MFeb 13, 2023 to Feb 22, 2024
- Pension RAUM · $12.7M to $10.1MFeb 13, 2023 to Feb 22, 2024
Signals
1 dated events
- 3 advisors left A••••••• P••••••••• A•••••••• I•• (Holbrook, NY) for E••• E•• F•••••••• G••••• I••• on the same dayOct 11, 2024 · Team lift-out · derived
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
- 631-727-1817reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 631-727-8111reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/east-end-financial-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- E•••ENDFINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 631-727-8111reportedpublic record, Form ADV, Jul 9, 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
- $115Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026