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
R• • R• F•••••••• P•••••••• I•••
Latest filing Aug 21, 2026
First filing on the tape Mar 30, 2023 · 11 filings
SEC status approved since May 16, 2023
RAUM
$60.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$60.1M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$12.0M
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
11 filings and snapshots on the tape
RAUM$60.1M as of Aug 21, 2026
Mar 29, 2024$38.9M then
HNW client RAUM$47.0M as of Aug 21, 2026
Mar 29, 2024$25.7M then
State-registered IARs (5.B.3)2 as of Aug 21, 2026
Mar 29, 20242 then
Employees (5.A)3 as of Aug 21, 2026
Mar 29, 20242 then
Private funds: no history
RAUM +30% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Aug 21, 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
- $12.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $479,699derivedHNW RAUM over HNW clients
- Average account
- $259,185derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.6derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- 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$47.0M78%
- Individuals$13.1M22%
- Individual clients
- 134reported
- HNW clients
- 98reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 232reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• V••• R••••Certified Financial Planner | East Meadow, Ny | Nov 5, 2007 | 43 y | 1 |
| A•••••• R••• | East Meadow, Ny | Jan 3, 2011 | 48 y | 0 |
| A••••• A•••••• | East Meadow, Ny | Apr 27, 2016 | 16 y | 4 |
| T••• R•••• | East Meadow, Ny | Apr 13, 2022 | 17 y | 0 |
| K•••• F•••••• M••••• | East Meadow, Ny | Mar 11, 2026 | 19 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
- R••••• L•••• L• S•••• to E•• F•••••••• A•••••••Jun 2, 2020 · RIA to affiliated broker-dealer or bank
- E••••• J•••• C•••••• to C•••••• W••••• M••••••••• I•••Mar 31, 2020 · Other
Joined, latest
- E••••• J•••• C•••••• from G••••• W••••• M••••••••• I•••May 1, 2018 · Other
- A••••• A•••••• from C• W••••• M••••••••• L••Apr 27, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• N••••• A•• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- R••••• W••••••• V••• · Chief Executive Officercontrolsince 04/1983 · owns 75% or more
Related persons
Schedule D 7.A
- R•• S••••••••• L•••••broker-dealery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| East Meadow, Ny · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Deerfield Beach, FL2 employees
What changed
consecutive filings, newest first
- Accounts · 226 to 232Dec 5, 2025 to Mar 18, 2026
- HNW clients · 48 to 98Dec 5, 2025 to Mar 18, 2026
- Individual clients · 178 to 134Dec 5, 2025 to Mar 18, 2026
- Discretionary RAUM · $46.2M to $60.1MDec 5, 2025 to Mar 18, 2026
- HNW RAUM · $30.2M to $47.0MDec 5, 2025 to Mar 18, 2026
- Individual RAUM · $16.0M to $13.1MDec 5, 2025 to Mar 18, 2026
- RAUM · $46.2M to $60.1MDec 5, 2025 to Mar 18, 2026
- Accounts · 214 to 226Apr 19, 2024 to Mar 28, 2025
- HNW clients · 65 to 48Apr 19, 2024 to Mar 28, 2025
- Individual clients · 149 to 178Apr 19, 2024 to Mar 28, 2025
- Financial planning clients · 101-250 to 101-250Apr 19, 2024 to Mar 28, 2025
- Discretionary RAUM · $38.9M to $46.2MApr 19, 2024 to Mar 28, 2025
- HNW RAUM · $25.7M to $30.2MApr 19, 2024 to Mar 28, 2025
- Individual RAUM · $13.2M to $16.0MApr 19, 2024 to Mar 28, 2025
- RAUM · $38.9M to $46.2MApr 19, 2024 to Mar 28, 2025
- Employees · 2 to 3Mar 29, 2024 to Apr 19, 2024
- Accounts · 216 to 214Jun 6, 2023 to Mar 29, 2024
- Advisory employees · 5 to 2Jun 6, 2023 to Mar 29, 2024
- BD registered reps · 5 to 2Jun 6, 2023 to Mar 29, 2024
- HNW clients · 49 to 65Jun 6, 2023 to Mar 29, 2024
- Individual clients · 167 to 149Jun 6, 2023 to Mar 29, 2024
- Employees · 5 to 2Jun 6, 2023 to Mar 29, 2024
- State-registered IARs · 5 to 2Jun 6, 2023 to Mar 29, 2024
- Discretionary RAUM · $30.5M to $38.9MJun 6, 2023 to Mar 29, 2024
- HNW RAUM · $16.0M to $25.7MJun 6, 2023 to Mar 29, 2024
- Individual RAUM · $14.5M to $13.2MJun 6, 2023 to Mar 29, 2024
- RAUM · $30.5M to $38.9MJun 6, 2023 to Mar 29, 2024
Signals
2 dated events
- Ann Nancy Praino (Chief Compliance Officer) appeared on Schedule A of R• • R• F•••••••• P•••••••• I•••Mar 29, 2024 · Control person joined · fact
- R• • R• F•••••••• P•••••••• I••• filed its initial SEC registration (Form ADV)Mar 30, 2023 · 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
- i•••@r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 754-227-5490reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-222-8850reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-222-9092reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- RANDRFINANCIALP•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-222-8850reportedpublic record, Form ADV, Aug 21, 2026
- Team page
- r•••••••••.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
- $12.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026