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
M••• S••••• F••••••••
Legal name M••• S••••• F•••••••• L••
Latest filing Feb 10, 2026
First filing on the tape Apr 4, 2012 · 28 filings
SEC status approved since May 3, 2012
RAUM
$71.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$71.1M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$23.7M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$71.1M as of Feb 10, 2026
Mar 27, 2013$38.5M then
HNW client RAUM$45.1M as of Feb 10, 2026
Mar 19, 2018$24.3M then
State-registered IARs (5.B.3)3 as of Feb 10, 2026
Mar 27, 20132 then
Employees (5.A)4 as of Feb 10, 2026
Mar 27, 20132 then
Private funds: no history
RAUM +16% over the last fiscal year+6.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 10, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $23.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $266,324derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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$45.1M63%
- Individuals$26.0M37%
- Individual clients
- 76reported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 267reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•• L•••• C•••••••••Certified Financial Planner | Purchase, Ny | Mar 16, 2016 | 22 y | 2 |
| C•••••• J••••• B•••••Certified Financial Planner | Purchase, Ny | Jun 15, 2021 | 38 y | 1 |
| J•• D•••••• M••••••Certified Financial Planner | Purchase, Ny | Sep 10, 2021 | 14 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
- L•• L•••• C••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 31, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• C••••••• J••••• · Chief Investment Officercontrolsince 07/2024 · owns less than 5%
- M••••••• J••• D•••••• · Managing Member And Chief Compliance Officercontrolsince 07/2024 · owns 75% or more
Related persons
Schedule D 7.A
- L•••••• • M•••••• L••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Purchase, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 264 to 267Dec 10, 2025 to Feb 10, 2026
- HNW clients · 17 to 22Dec 10, 2025 to Feb 10, 2026
- Individual clients · 80 to 76Dec 10, 2025 to Feb 10, 2026
- Financial planning clients · 1-10 to 0Dec 10, 2025 to Feb 10, 2026
- Discretionary RAUM · $61.3M to $71.1MDec 10, 2025 to Feb 10, 2026
- HNW RAUM · $31.9M to $45.1MDec 10, 2025 to Feb 10, 2026
- Individual RAUM · $29.4M to $26.0MDec 10, 2025 to Feb 10, 2026
- RAUM · $61.3M to $71.1MDec 10, 2025 to Feb 10, 2026
- HQ city · HARRISON to PURCHASEFeb 11, 2025 to Dec 10, 2025
- Financial planning clients · 1-10 to 1-10Jan 21, 2025 to Feb 11, 2025
- Accounts · 257 to 264Aug 14, 2024 to Jan 21, 2025
- HNW clients · 13 to 17Aug 14, 2024 to Jan 21, 2025
- Individual clients · 81 to 80Aug 14, 2024 to Jan 21, 2025
- Discretionary RAUM · $58.7M to $61.3MAug 14, 2024 to Jan 21, 2025
- HNW RAUM · $27.9M to $31.9MAug 14, 2024 to Jan 21, 2025
- Individual RAUM · $30.7M to $29.4MAug 14, 2024 to Jan 21, 2025
- RAUM · $58.7M to $61.3MAug 14, 2024 to Jan 21, 2025
- Accounts · 253 to 257Mar 2, 2023 to Mar 1, 2024
- HNW clients · 14 to 13Mar 2, 2023 to Mar 1, 2024
- HQ city · MOUNT KISCO to HARRISONMar 2, 2023 to Mar 1, 2024
- Discretionary RAUM · $58.4M to $58.7MMar 2, 2023 to Mar 1, 2024
- HNW RAUM · $28.0M to $27.9MMar 2, 2023 to Mar 1, 2024
- Individual RAUM · $30.3M to $30.7MMar 2, 2023 to Mar 1, 2024
- RAUM · $58.4M to $58.7MMar 2, 2023 to Mar 1, 2024
- Accounts · 270 to 253Mar 25, 2022 to Mar 2, 2023
- HNW clients · 13 to 14Mar 25, 2022 to Mar 2, 2023
- Individual clients · 84 to 81Mar 25, 2022 to Mar 2, 2023
- Discretionary RAUM · $59.5M to $58.4MMar 25, 2022 to Mar 2, 2023
- HNW RAUM · $29.2M to $28.0MMar 25, 2022 to Mar 2, 2023
- Individual RAUM · $30.4M to $30.3MMar 25, 2022 to Mar 2, 2023
- RAUM · $59.5M to $58.4MMar 25, 2022 to Mar 2, 2023
- Accounts · 280 to 270Mar 16, 2021 to Mar 25, 2022
- Advisory employees · 2 to 3Mar 16, 2021 to Mar 25, 2022
- Employees · 3 to 4Mar 16, 2021 to Mar 25, 2022
- Financial planning clients · 0 to 1-10Mar 16, 2021 to Mar 25, 2022
- State-registered IARs · 2 to 3Mar 16, 2021 to Mar 25, 2022
- Discretionary RAUM · $56.7M to $59.5MMar 16, 2021 to Mar 25, 2022
- HNW RAUM · $27.4M to $29.2MMar 16, 2021 to Mar 25, 2022
- Individual RAUM · $29.3M to $30.4MMar 16, 2021 to Mar 25, 2022
- RAUM · $56.7M to $59.5MMar 16, 2021 to Mar 25, 2022
Signals
1 dated events
- D•••••• Jay Mcneill (Managing Member And Chief Compliance Officer) appeared on Schedule A of M••• S••••• F••••••••Jul 15, 2024 · Control person joined · 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
- Firm profile
- linkedin.com/company/main-st-financial-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- M•••STFINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 914-698-8303reportedpublic record, Form ADV, Feb 10, 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
- $23.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026