DFX Intelligence
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C••••• C•••••• M••••••••• I•••
Independent wealth manager, based in Hauppauge, New York, reporting $90.7M of regulatory assets across 2 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
- $90.7M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +8.5%
- Private clients
- 100% of RAUM, $90.7M
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 113648 · SEC 801-60622 · 21 filingsShowHide
CRD 113648SEC 801-60622First filing on the tape Mar 5, 2012, latest May 19, 2026SEC status approved since Oct 16, 2001IAPD
RAUM
$90.7M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
100%
$90.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$45.3M
derived; firm RAUM over IAPD count
Employees
3
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$90.7M as of May 19, 2026
Mar 5, 2012$52.0M then
HNW client RAUM$51.7M as of May 19, 2026
Mar 21, 2018$19.7M then
State-registered IARs (5.B.3)1 as of May 19, 2026
Feb 27, 20132 then
Employees (5.A)3 as of May 19, 2026
Feb 27, 20136 then
Private funds1 as of Mar 11, 2020
Mar 5, 20121 then
RAUM +8.5% over the last fiscal year+5.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 19, 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
- $45.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $180,617derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $13.2M, 21 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$51.7M57%
- Individuals$38.9M43%
- Individual clients
- 112reported
- HNW clients
- 20reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 502reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13.2M for 21 clientsreported
- 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=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• E••••• C••••• | Hauppauge, Ny | Jun 12, 2021 | 43 y | 0 |
| C••• Y•••Chartered Financial Analyst | Hauppauge, Ny | Jun 29, 2021 | 12 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•• P•••••••• L•no longer reported | Other Private Fund | $8.8M | 40 | Mar 5, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• D•••••• E••••• · President, Director, Chief Compliance Officercontrolsince 11/1997 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hauppauge, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 563 to 502Mar 4, 2025 to Mar 23, 2026
- HNW clients · 16 to 20Mar 4, 2025 to Mar 23, 2026
- Individual clients · 116 to 112Mar 4, 2025 to Mar 23, 2026
- Assets in custody · $11.2M to $13.2MMar 4, 2025 to Mar 23, 2026
- Discretionary RAUM · $81.8M to $75.3MMar 4, 2025 to Mar 23, 2026
- HNW RAUM · $45.3M to $51.7MMar 4, 2025 to Mar 23, 2026
- Individual RAUM · $38.2M to $38.9MMar 4, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $1.7M to $15.4MMar 4, 2025 to Mar 23, 2026
- RAUM · $83.6M to $90.7MMar 4, 2025 to Mar 23, 2026
- Accounts · 644 to 563Feb 13, 2024 to Mar 4, 2025
- HNW clients · 15 to 16Feb 13, 2024 to Mar 4, 2025
- Individual clients · 115 to 116Feb 13, 2024 to Mar 4, 2025
- Pension plan clients · 1.0 to unsetFeb 13, 2024 to Mar 4, 2025
- Assets in custody · $9.9M to $11.2MFeb 13, 2024 to Mar 4, 2025
- Financial planning clients · 26-50 to 26-50Feb 13, 2024 to Mar 4, 2025
- Discretionary RAUM · $71.3M to $81.8MFeb 13, 2024 to Mar 4, 2025
- HNW RAUM · $35.0M to $45.3MFeb 13, 2024 to Mar 4, 2025
- Individual RAUM · $38.8M to $38.2MFeb 13, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $14.6M to $1.7MFeb 13, 2024 to Mar 4, 2025
- Pension RAUM · 12027267.0 to unsetFeb 13, 2024 to Mar 4, 2025
- RAUM · $85.8M to $83.6MFeb 13, 2024 to Mar 4, 2025
- Accounts · 720 to 644Mar 6, 2023 to Feb 13, 2024
- Individual clients · 126 to 115Mar 6, 2023 to Feb 13, 2024
- Pension plan clients · 3 to 1Mar 6, 2023 to Feb 13, 2024
- Assets in custody · $5.3M to $9.9MMar 6, 2023 to Feb 13, 2024
- Discretionary RAUM · $60.8M to $71.3MMar 6, 2023 to Feb 13, 2024
- HNW RAUM · $29.3M to $35.0MMar 6, 2023 to Feb 13, 2024
- Individual RAUM · $35.1M to $38.8MMar 6, 2023 to Feb 13, 2024
- Non-discretionary RAUM · $16.5M to $14.6MMar 6, 2023 to Feb 13, 2024
- Pension RAUM · $12.9M to $12.0MMar 6, 2023 to Feb 13, 2024
- RAUM · $77.3M to $85.8MMar 6, 2023 to Feb 13, 2024
- Accounts · 703 to 720Mar 22, 2022 to Mar 6, 2023
- Advisory employees · 3 to 2Mar 22, 2022 to Mar 6, 2023
- HNW clients · 14 to 15Mar 22, 2022 to Mar 6, 2023
- Individual clients · 127 to 126Mar 22, 2022 to Mar 6, 2023
- Assets in custody · $5.3M to $5.3MMar 22, 2022 to Mar 6, 2023
- Employees · 4 to 3Mar 22, 2022 to Mar 6, 2023
- State-registered IARs · 2 to 1Mar 22, 2022 to Mar 6, 2023
- Discretionary RAUM · $54.0M to $60.8MMar 22, 2022 to Mar 6, 2023
- HNW RAUM · $28.0M to $29.3MMar 22, 2022 to Mar 6, 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 email
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, May 19, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, May 19, 2026
- Contact form
- ••• Lockedreportedpublished 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
- $45.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026