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Former SEC-registered adviserFormer SEC adviser· Goshen, New York

Former SEC-registered adviser, based in Goshen, New York, reporting $895M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$895M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+20%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $895M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 113714 · SEC 801-61077 · 14 filingsShow
CRD 113714SEC 801-61077First filing on the tape Mar 22, 2012, latest May 26, 2020IAPD
RAUM
$895M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$895M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
7 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$895M as of Mar 18, 2020
Mar 22, 2012$448M then
HNW client RAUM$440M as of Mar 18, 2020
Mar 29, 2018$291M then
State-registered IARs (5.B.3)1 as of Mar 18, 2020
Mar 22, 20120 then
Employees (5.A)14 as of Mar 18, 2020
Mar 12, 201310 then
Private funds: no history
RAUM +20% over the last fiscal year+9.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 26, 2020; every figure names its basis
RAUM per advisor
$895MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
1,253derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$408,811derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
14.0derivedItem 5.A over advisors
Advisors per office
0.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$664M, 1,572 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$456M51%
  • High-net-worth individuals$440M49%
Individual clients
971reported
HNW clients
282reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2,190reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$664M for 1,572 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D•••••••• D••••••• L••• · Vice President/Chief Compliance Officercontrol
      since 01/1997 · owns 50% to 75%
    • D•••••••• M••••••• A•••••• · Presidentcontrol
      since 01/1997 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Fishkill, NY1 employees
    • Tarrytown, NY1 employees
    • Wilkes Barre, PA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 2,134 to 2,190
      Dec 16, 2019 to Mar 18, 2020
    • HNW clients · 199 to 282
      Dec 16, 2019 to Mar 18, 2020
    • Individual clients · 1,030 to 971
      Dec 16, 2019 to Mar 18, 2020
    • Assets in custody · $737M to $664M
      Dec 16, 2019 to Mar 18, 2020
    • Employees · 13 to 14
      Dec 16, 2019 to Mar 18, 2020
    • Discretionary RAUM · $744M to $895M
      Dec 16, 2019 to Mar 18, 2020
    • HNW RAUM · $285M to $440M
      Dec 16, 2019 to Mar 18, 2020
    • Individual RAUM · $458M to $456M
      Dec 16, 2019 to Mar 18, 2020
    • RAUM · $744M to $895M
      Dec 16, 2019 to Mar 18, 2020
    • BD registered reps · 3 to 0
      Mar 20, 2019 to Dec 16, 2019
    • Commission compensation · true to false
      Mar 20, 2019 to Dec 16, 2019
    • Accounts · 2,255 to 2,134
      Mar 29, 2018 to Mar 20, 2019
    • Charity clients · unset to 0.0
      Mar 29, 2018 to Mar 20, 2019
    • Corporate clients · unset to 0.0
      Mar 29, 2018 to Mar 20, 2019
    • Individual clients · 1,134 to 1,030
      Mar 29, 2018 to Mar 20, 2019
    • Pension plan clients · unset to 0.0
      Mar 29, 2018 to Mar 20, 2019
    • Pooled vehicle clients · unset to 0.0
      Mar 29, 2018 to Mar 20, 2019
    • Assets in custody · $698M to $737M
      Mar 29, 2018 to Mar 20, 2019
    • Discretionary RAUM · $740M to $744M
      Mar 29, 2018 to Mar 20, 2019
    • HNW RAUM · $291M to $285M
      Mar 29, 2018 to Mar 20, 2019
    • Individual RAUM · $461M to $458M
      Mar 29, 2018 to Mar 20, 2019
    • Non-discretionary RAUM · $12.7M to $0
      Mar 29, 2018 to Mar 20, 2019
    • Pension RAUM · unset to 0.0
      Mar 29, 2018 to Mar 20, 2019
    • Pooled vehicle RAUM · unset to 0.0
      Mar 29, 2018 to Mar 20, 2019
    • RAUM · $753M to $744M
      Mar 29, 2018 to Mar 20, 2019
    • Accounts · 2,771 to 2,255
      Mar 28, 2017 to Mar 29, 2018
    • HNW clients · unset to 199.0
      Mar 28, 2017 to Mar 29, 2018
    • Individual clients · unset to 1134.0
      Mar 28, 2017 to Mar 29, 2018
    • Assets in custody · unset to 698397303.0
      Mar 28, 2017 to Mar 29, 2018
    • Custody of client assets · false to true
      Mar 28, 2017 to Mar 29, 2018
    • Other offices · unset to 3.0
      Mar 28, 2017 to Mar 29, 2018
    • Discretionary RAUM · $648M to $740M
      Mar 28, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 291430201.0
      Mar 28, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 461456327.0
      Mar 28, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $41.2M to $12.7M
      Mar 28, 2017 to Mar 29, 2018
    • RAUM · $689M to $753M
      Mar 28, 2017 to Mar 29, 2018
    • Accounts · 2,707 to 2,771
      Apr 19, 2016 to Mar 28, 2017
    • Advisory employees · 8 to 7
      Apr 19, 2016 to Mar 28, 2017
    • Discretionary RAUM · $564M to $648M
      Apr 19, 2016 to Mar 28, 2017
    • Non-discretionary RAUM · $39.6M to $41.2M
      Apr 19, 2016 to Mar 28, 2017
    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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026