DFX Intelligence
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C•••• P•••• A•••••••• I•••
Independent wealth manager, based in Melville, New York, reporting $253M of regulatory assets across 3 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $253M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +9.6%
- Private clients
- 98% of RAUM, $247M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 6
Every filed figure, and the identifiersCRD 111775 · SEC 801-55390 · 29 filingsShowHide
CRD 111775SEC 801-55390First filing on the tape Apr 2, 2012, latest Mar 26, 2026SEC status approved since Mar 30, 1998IAPD
RAUM
$253M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$247M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$84.5M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$253M as of Mar 26, 2026
Apr 2, 2012$128M then
HNW client RAUM$220M as of Mar 26, 2026
Mar 21, 2018$118M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Apr 2, 20120 then
Employees (5.A)4 as of Mar 26, 2026
Mar 27, 20135 then
Private funds: no history
RAUM +9.6% over the last fiscal year+9.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 26, 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
- RAUM per advisor
- $84.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $606,241derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $66.8M, 57 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
- 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$220M87%
- Individuals$26.8M11%
- Pension and profit-sharing plans$6.3M2.5%
- Individual clients
- 65reported
- HNW clients
- 82reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 418reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $66.8M for 57 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• C•••••• B••••Chartered Financial Consultant | Melville, Ny | Jan 12, 2015 | 37 y | 0 |
| R••••• L••••••• L••••• | Melville, Ny | Dec 21, 2021 | 15 y | 0 |
| B•••• E••• D•••• | Melville, Ny | Feb 10, 2022 | 17 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• S•••••• C•••••• · President/Chief Compliance Officercontrolsince 02/1998 · owns 75% or more
- D••••• B••••• E••• · Managing Directorsince 01/2009 · owns less than 5%
- L•••••• R•••••• L••••••• · Managing Directorsince 12/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Melville, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 556 to 418Mar 31, 2025 to Mar 26, 2026
- HNW clients · 95 to 82Mar 31, 2025 to Mar 26, 2026
- Individual clients · 50 to 65Mar 31, 2025 to Mar 26, 2026
- Assets in custody · $61.0M to $66.8MMar 31, 2025 to Mar 26, 2026
- Discretionary RAUM · $231M to $253MMar 31, 2025 to Mar 26, 2026
- HNW RAUM · $212M to $220MMar 31, 2025 to Mar 26, 2026
- Individual RAUM · $14.4M to $26.8MMar 31, 2025 to Mar 26, 2026
- Pension RAUM · $5.2M to $6.3MMar 31, 2025 to Mar 26, 2026
- RAUM · $231M to $253MMar 31, 2025 to Mar 26, 2026
- Accounts · 582 to 556Apr 24, 2024 to Mar 31, 2025
- HNW clients · 81 to 95Apr 24, 2024 to Mar 31, 2025
- Individual clients · 61 to 50Apr 24, 2024 to Mar 31, 2025
- Pension plan clients · 5 to 4Apr 24, 2024 to Mar 31, 2025
- Assets in custody · $55.6M to $61.0MApr 24, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 11-25Apr 24, 2024 to Mar 31, 2025
- Discretionary RAUM · $216M to $231MApr 24, 2024 to Mar 31, 2025
- HNW RAUM · $186M to $212MApr 24, 2024 to Mar 31, 2025
- Individual RAUM · $25.2M to $14.4MApr 24, 2024 to Mar 31, 2025
- Pension RAUM · $5.5M to $5.2MApr 24, 2024 to Mar 31, 2025
- RAUM · $216M to $231MApr 24, 2024 to Mar 31, 2025
- Accounts · 150 to 582Mar 31, 2023 to Mar 31, 2024
- HNW clients · 96 to 81Mar 31, 2023 to Mar 31, 2024
- Individual clients · 49 to 61Mar 31, 2023 to Mar 31, 2024
- Assets in custody · $44.5M to $55.6MMar 31, 2023 to Mar 31, 2024
- Financial planning clients · 26-50 to 11-25Mar 31, 2023 to Mar 31, 2024
- Discretionary RAUM · $192M to $216MMar 31, 2023 to Mar 31, 2024
- HNW RAUM · $173M to $186MMar 31, 2023 to Mar 31, 2024
- Individual RAUM · $13.6M to $25.2MMar 31, 2023 to Mar 31, 2024
- Pension RAUM · $4.8M to $5.5MMar 31, 2023 to Mar 31, 2024
- RAUM · $192M to $216MMar 31, 2023 to Mar 31, 2024
- Accounts · 560 to 150Apr 1, 2022 to Mar 31, 2023
- HNW clients · 90 to 96Apr 1, 2022 to Mar 31, 2023
- Individual clients · 56 to 49Apr 1, 2022 to Mar 31, 2023
- Pension plan clients · 7 to 5Apr 1, 2022 to Mar 31, 2023
- Assets in custody · $44.7M to $44.5MApr 1, 2022 to Mar 31, 2023
- Financial planning clients · 11-25 to 26-50Apr 1, 2022 to Mar 31, 2023
- Other offices · 0 to 3Apr 1, 2022 to Mar 31, 2023
- Discretionary RAUM · $226M to $192MApr 1, 2022 to Mar 31, 2023
- HNW RAUM · $198M to $173MApr 1, 2022 to Mar 31, 2023
- Individual RAUM · $20.1M to $13.6MApr 1, 2022 to Mar 31, 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
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 26, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 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
- $84.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026