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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Former SEC-registered adviser

F•••••••• P••••••• A•••••••• L••

Former SEC-registered adviserMelville, New YorkCRD 121338SEC 801-61351IAPD
Latest filing Apr 5, 2021
First filing on the tape Mar 22, 2012 · 13 filings
RAUM
$23.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$18.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$23.4M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$26.8M as of Mar 31, 2020
Mar 22, 2012$58.6M then
HNW client RAUM$22.2M as of Mar 31, 2020
Mar 22, 2018$21.4M then
State-registered IARs (5.B.3)1 as of Mar 31, 2020
Mar 26, 20131 then
Employees (5.A)1 as of Mar 31, 2020
Mar 26, 20131 then
Private funds: no history
RAUM -6.7% over the last fiscal year-4.4% a year over threeIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Apr 5, 2021; every figure names its basis
RAUM per advisor
$23.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$524,917derivedHNW RAUM over HNW clients
Average account
$569,756derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-40%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
  • 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$18.9M81%
  • Corporations and businesses$4.5M19%
Individual clients
5reported
HNW clients
36reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
41reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M••• S•••••• B••••Melville, NyAug 9, 202140 y1
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• M•••• S•••••• · Managing Member/Chief Compliance Officercontrol
        since 03/2002 · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 42 to 41
        Oct 26, 2020 to Apr 5, 2021
      • Discretionary RAUM · $26.8M to $23.4M
        Oct 26, 2020 to Apr 5, 2021
      • HNW RAUM · $22.2M to $18.9M
        Oct 26, 2020 to Apr 5, 2021
      • Individual RAUM · 701936.0 to unset
        Oct 26, 2020 to Apr 5, 2021
      • RAUM · $26.8M to $23.4M
        Oct 26, 2020 to Apr 5, 2021
      • Accounts · 70 to 42
        Mar 23, 2019 to Mar 31, 2020
      • Corporate clients · 1 to 0
        Mar 23, 2019 to Mar 31, 2020
      • HNW clients · 60 to 36
        Mar 23, 2019 to Mar 31, 2020
      • Individual clients · 8 to 5
        Mar 23, 2019 to Mar 31, 2020
      • Financial planning clients · 0 to 51-100
        Mar 23, 2019 to Mar 31, 2020
      • Other offices · 1 to 0
        Mar 23, 2019 to Mar 31, 2020
      • Discretionary RAUM · $25.0M to $26.8M
        Mar 23, 2019 to Mar 31, 2020
      • HNW RAUM · $20.4M to $22.2M
        Mar 23, 2019 to Mar 31, 2020
      • Individual RAUM · $924,841 to $701,936
        Mar 23, 2019 to Mar 31, 2020
      • RAUM · $25.0M to $26.8M
        Mar 23, 2019 to Mar 31, 2020
      • Accounts · 69 to 70
        Mar 22, 2018 to Mar 23, 2019
      • HNW clients · 59 to 60
        Mar 22, 2018 to Mar 23, 2019
      • Pension plan clients · 1 to 0
        Mar 22, 2018 to Mar 23, 2019
      • Discretionary RAUM · $28.7M to $25.0M
        Mar 22, 2018 to Mar 23, 2019
      • HNW RAUM · $21.4M to $20.4M
        Mar 22, 2018 to Mar 23, 2019
      • Individual RAUM · $1.2M to $924,841
        Mar 22, 2018 to Mar 23, 2019
      • Pension RAUM · $1.6M to $0
        Mar 22, 2018 to Mar 23, 2019
      • RAUM · $28.7M to $25.0M
        Mar 22, 2018 to Mar 23, 2019
      • Advisory activities · 3 to 2
        Mar 7, 2017 to Mar 22, 2018
      • Charity clients · unset to 0.0
        Mar 7, 2017 to Mar 22, 2018
      • Corporate clients · unset to 1.0
        Mar 7, 2017 to Mar 22, 2018
      • HNW clients · unset to 59.0
        Mar 7, 2017 to Mar 22, 2018
      • Individual clients · unset to 8.0
        Mar 7, 2017 to Mar 22, 2018
      • Pension plan clients · unset to 1.0
        Mar 7, 2017 to Mar 22, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 7, 2017 to Mar 22, 2018
      • Financial planning clients · 1-10 to 0
        Mar 7, 2017 to Mar 22, 2018
      • Other offices · unset to 1.0
        Mar 7, 2017 to Mar 22, 2018
      • Discretionary RAUM · $26.8M to $28.7M
        Mar 7, 2017 to Mar 22, 2018
      • HNW RAUM · unset to 21402900.0
        Mar 7, 2017 to Mar 22, 2018
      • Individual RAUM · unset to 1213100.0
        Mar 7, 2017 to Mar 22, 2018
      • Pension RAUM · unset to 1635000.0
        Mar 7, 2017 to Mar 22, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 7, 2017 to Mar 22, 2018
      • RAUM · $26.8M to $28.7M
        Mar 7, 2017 to Mar 22, 2018
      • Accounts · 81 to 69
        Mar 29, 2016 to Mar 7, 2017
      • Discretionary RAUM · $25.9M to $26.8M
        Mar 29, 2016 to Mar 7, 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
      $23.4Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026