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
C••••••••• P••••••••• A•••••• S•••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Mar 27, 2012 · 24 filings
SEC status approved since Jul 26, 2002
RAUM
$110M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
90%
$99.4M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$22.1M
derived; firm RAUM over IAPD count
Employees
14
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$110M as of Mar 19, 2026
Mar 27, 2012$78.1M then
HNW client RAUM$50.9M as of Mar 19, 2026
Mar 29, 2018$3.2M then
State-registered IARs (5.B.3)4 as of Mar 19, 2026
Mar 27, 20120 then
Employees (5.A)14 as of Mar 19, 2026
Mar 26, 201314 then
Private funds: no history
RAUM +24% over the last fiscal year+13% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 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
- RAUM per advisor
- $22.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $241,820derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 9.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.0%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
- 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$50.9M46%
- Individuals$48.5M44%
- Pension and profit-sharing plans$10.9M9.8%
- Individual clients
- 326reported
- HNW clients
- 26reported
- Pension plan clients
- 14reported
- Charitable clients
- 0reported
- Accounts
- 456reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• G••••• F•••••••• | Garden City, Ny | Jun 18, 2004 | 45 y | 1 |
| M•••••• S••••• W••••• | Freehold, Nj | Apr 1, 2015 | 36 y | 6 |
| H•••• A•• L•••••••Chartered Financial Consultant | New York, Ny | Jan 18, 2023 | 39 y | 0 |
| S••••• M•••••• | Garden City, Ny | Oct 26, 2023 | 25 y | 0 |
| W•••••• H•••• M••••••••• | Jackson, Ms | Oct 20, 2025 | 39 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
- N••••• C•••••• G••••• to B••••••••• W••••• A•••••••• L••Dec 31, 2005 · Other
- R••••• S•••• M••••• to W••• F•••••••• M••••••••• L••Nov 3, 2004 · Other
- M•••••• K• A••••• to C••••• I••••••••• A••••••• L••Dec 31, 2003 · Other
Joined, latest
- M•••••• S••••• W••••• from S••••• A••••••• I•••Apr 1, 2015 · Other
- A•••••• G••••• F•••••••• from F•• S••••••••• C•••••••••Jun 18, 2004 · Other
- M•••••• K• A••••• from Q•• F•••••••• L••Jun 5, 2002 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••••• A••••••• G••••• · Membercontrolsince 02/2001 · owns 50% to 75%
- M••••••• S••••• · Membercontrolsince 02/2001 · owns 50% to 75%
- S•••••• S••••• N•• · Ccocontrolsince 06/2017 · owns less than 5%
Related persons
Schedule D 7.A
- M•••••• • C••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Garden City, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Edwards, MS2 employees
- Floral Park, NY1 employees
- Yorktown Heights, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 452 to 456Apr 2, 2025 to Mar 19, 2026
- HNW clients · 27 to 26Apr 2, 2025 to Mar 19, 2026
- Individual clients · 302 to 326Apr 2, 2025 to Mar 19, 2026
- Pension plan clients · 11 to 14Apr 2, 2025 to Mar 19, 2026
- Discretionary RAUM · $79.7M to $99.4MApr 2, 2025 to Mar 19, 2026
- HNW RAUM · $38.8M to $50.9MApr 2, 2025 to Mar 19, 2026
- Individual RAUM · $40.9M to $48.5MApr 2, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $9.1M to $10.9MApr 2, 2025 to Mar 19, 2026
- Pension RAUM · $9.1M to $10.9MApr 2, 2025 to Mar 19, 2026
- RAUM · $88.7M to $110MApr 2, 2025 to Mar 19, 2026
- RAUM · $82.4M to $88.7MMar 28, 2024 to Apr 2, 2025
- Accounts · 432 to 452Mar 28, 2024 to Apr 2, 2025
- Advisory employees · 17 to 3Mar 28, 2024 to Apr 2, 2025
- HNW clients · 86 to 27Mar 28, 2024 to Apr 2, 2025
- Individual clients · 337 to 302Mar 28, 2024 to Apr 2, 2025
- Pension plan clients · 9 to 11Mar 28, 2024 to Apr 2, 2025
- Employees · 18 to 14Mar 28, 2024 to Apr 2, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Apr 2, 2025
- State-registered IARs · 3 to 4Mar 28, 2024 to Apr 2, 2025
- Discretionary RAUM · $75.7M to $79.7MMar 28, 2024 to Apr 2, 2025
- HNW RAUM · $49.2M to $38.8MMar 28, 2024 to Apr 2, 2025
- Individual RAUM · $26.4M to $40.9MMar 28, 2024 to Apr 2, 2025
- Non-discretionary RAUM · $6.7M to $9.1MMar 28, 2024 to Apr 2, 2025
- Pension RAUM · $6.7M to $9.1MMar 28, 2024 to Apr 2, 2025
- Accounts · 436 to 432Oct 23, 2023 to Mar 28, 2024
- HNW clients · 6 to 86Oct 23, 2023 to Mar 28, 2024
- Individual clients · 321 to 337Oct 23, 2023 to Mar 28, 2024
- Discretionary RAUM · $69.1M to $75.7MOct 23, 2023 to Mar 28, 2024
- HNW RAUM · $12.5M to $49.2MOct 23, 2023 to Mar 28, 2024
- Individual RAUM · $56.5M to $26.4MOct 23, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $6.6M to $6.7MOct 23, 2023 to Mar 28, 2024
- Pension RAUM · $6.6M to $6.7MOct 23, 2023 to Mar 28, 2024
- RAUM · $75.7M to $82.4MOct 23, 2023 to Mar 28, 2024
- Advisory employees · 18 to 17Mar 3, 2023 to Oct 23, 2023
- BD registered reps · 2 to 1Mar 3, 2023 to Oct 23, 2023
- Employees · 19 to 18Mar 3, 2023 to Oct 23, 2023
- State-registered IARs · 4 to 3Mar 3, 2023 to Oct 23, 2023
- Other offices · 4 to 3Mar 3, 2023 to Oct 23, 2023
- Accounts · 503 to 436Mar 14, 2022 to Mar 3, 2023
- Individual clients · 494 to 321Mar 14, 2022 to Mar 3, 2023
Signals
1 dated events
- Gregg David Kelly (Member) no longer on Schedule A of C••••••••• P••••••••• A•••••• S•••••••• L•• (listed 2023-03-03, absent 2023-10-23)Oct 23, 2023 · Control person left · inference
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•••@c••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-408-1154reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-408-1160reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.c••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 516-408-1160reportedpublic record, Form ADV, Mar 19, 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
- $22.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026