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••••••• C•••••• M•••••••••
Legal name M••••••• C•••••• M••••••••• L•••
Latest filing Sep 1, 2026
First filing on the tape Feb 7, 2012 · 28 filings
SEC status approved since Jan 19, 2006
RAUM
$228M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
58%
$132M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$56.9M
derived; firm RAUM over IAPD count
Employees
3
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$228M as of Mar 23, 2026
Feb 7, 2012$107M then
HNW client RAUM$119M as of Mar 23, 2026
Mar 27, 2018$102M then
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Feb 7, 20120 then
Employees (5.A)4 as of Mar 23, 2026
Mar 19, 20133 then
Private funds: no history
RAUM +4.2% over the last fiscal year+5.8% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
- RAUM per advisor
- $56.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 14derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $3.5M, 3 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$119M52%
- Corporations and businesses$85.3M37%
- Individuals$12.9M5.7%
- Charitable organizations$10.7M4.7%
- Individual clients
- 30reported
- HNW clients
- 27reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 90reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.5M for 3 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.58 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• A•• P•••••Personal Financial Specialist | Cold Spring, Ny | Aug 27, 2021 | 47 y | 0 |
| T• J•••••••• C•••••• C••••••••• | Cold Spring, Ny | Aug 30, 2021 | 24 y | 0 |
| T•••• C••••••••• S••••• | Cold Spring, Ny | Feb 24, 2025 | 22 y | 0 |
| T••••• J•••••••• C••••••••• | Cold Spring, Ny | Aug 6, 2025 | 24 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• T• J••••••••• C•••••• · President,Chairman, Ceocontrolsince 03/2002 · owns 25% to 50%
- G••••••• J•••• K••• · Secretary & Vice-Chairmancontrolsince 03/2002 · owns less than 5%
- P•••••• C••••• A•• · Treasurer & Directorcontrolsince 03/2002 · owns less than 5%
- S•••••• T••••• C••••••••• · Vice-President, Director, Chief Compliance Officercontrolsince 08/2017 · owns less than 5%
- V••••••••• I••••• M••• · Assistant Secretary, Vice-Presidentcontrolsince 12/2005 · owns 5% to 10%
- C••••••••• J••••• B••• · Directorsince 03/2002 · owns less than 5%
- C••••••••• J••••• B••• · Directorsince 03/2002 · owns less than 5%
- T•••••••• F••••••••• C••••• · Shareholdersince 03/2002 · owns 5% to 10%
- T•••••••• M•••••• C••••••••• · Shareholdersince 03/2002 · owns 5% to 10%
- V••••••••• P•••• · Directorsince 01/2004 · owns less than 5%
Related persons
Schedule D 7.A
- C•••• A• P•••••insurancen
- H••••• C•••••• M••••••••• L•••investment advisernRAUM $18.1M
- J••• K• G••••••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cold Spring, Ny · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 4 to 3Mar 23, 2026 to Sep 1, 2026
- Financial planning clients · 0 to 0Mar 23, 2026 to Sep 1, 2026
- Succession · false to unsetMar 23, 2026 to Sep 1, 2026
- Accounts · 88 to 90Sep 5, 2025 to Mar 23, 2026
- HNW clients · 24 to 27Sep 5, 2025 to Mar 23, 2026
- Individual clients · 34 to 30Sep 5, 2025 to Mar 23, 2026
- Assets in custody · $3.3M to $3.5MSep 5, 2025 to Mar 23, 2026
- Discretionary RAUM · $187M to $199MSep 5, 2025 to Mar 23, 2026
- HNW RAUM · $116M to $119MSep 5, 2025 to Mar 23, 2026
- Individual RAUM · $12.9M to $12.9MSep 5, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $30.9M to $29.2MSep 5, 2025 to Mar 23, 2026
- RAUM · $218M to $228MSep 5, 2025 to Mar 23, 2026
- Advisory employees · 2 to 3Jul 8, 2025 to Sep 5, 2025
- Employees · 3 to 4Jul 8, 2025 to Sep 5, 2025
- Financial planning clients · 0 to 0Jul 8, 2025 to Sep 5, 2025
- State-registered IARs · 2 to 3Jul 8, 2025 to Sep 5, 2025
- Accounts · 89 to 88Mar 28, 2024 to Mar 26, 2025
- Advisory employees · 1 to 2Mar 28, 2024 to Mar 26, 2025
- HNW clients · 26 to 24Mar 28, 2024 to Mar 26, 2025
- Individual clients · 32 to 34Mar 28, 2024 to Mar 26, 2025
- Assets in custody · $3.3M to $3.3MMar 28, 2024 to Mar 26, 2025
- State-registered IARs · 0 to 2Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $170M to $187MMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $106M to $116MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $12.1M to $12.9MMar 28, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $31.6M to $30.9MMar 28, 2024 to Mar 26, 2025
- RAUM · $202M to $218MMar 28, 2024 to Mar 26, 2025
- Accounts · 93 to 89Jun 12, 2023 to Mar 28, 2024
- HNW clients · 28 to 26Jun 12, 2023 to Mar 28, 2024
- Individual clients · 35 to 32Jun 12, 2023 to Mar 28, 2024
- Assets in custody · $3.5M to $3.3MJun 12, 2023 to Mar 28, 2024
- Discretionary RAUM · $162M to $170MJun 12, 2023 to Mar 28, 2024
- HNW RAUM · $108M to $106MJun 12, 2023 to Mar 28, 2024
- Individual RAUM · $10.1M to $12.1MJun 12, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $30.2M to $31.6MJun 12, 2023 to Mar 28, 2024
- RAUM · $192M to $202MJun 12, 2023 to Mar 28, 2024
- Accounts · 92 to 93Mar 28, 2022 to Mar 22, 2023
- Individual clients · 31 to 35Mar 28, 2022 to Mar 22, 2023
- Assets in custody · $6.2M to $3.5MMar 28, 2022 to Mar 22, 2023
- Discretionary RAUM · $204M to $162MMar 28, 2022 to Mar 22, 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
- Website
- M•••••••CAPITALMANAGEMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 845-809-5259reportedpublic record, Form ADV, Sep 1, 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
- $56.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026