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

L••• I••••• F•••••••• A•••••••• I•••

Former SEC-registered adviserMedford, New YorkCRD 123439SEC 801-61594IAPD
Latest filing Mar 30, 2021
First filing on the tape Mar 30, 2012 · 17 filings
RAUM
$37.8M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
100%
$37.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$37.8M as of Mar 30, 2021
Mar 30, 2012$71.0M then
HNW client RAUM$14.7M as of Mar 30, 2021
Mar 30, 2018$5.5M then
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 30, 20120 then
Employees (5.A)8 as of Mar 30, 2021
Mar 28, 201317 then
Private funds: no history
RAUM +69% over the last fiscal year+23% a year over threeIARs 8 to 0offices 7 to 6
Practice profile
derived from the filing of Mar 30, 2021; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$378,302derivedRAUM over accounts (5.F.2.f)
Discretionary
79%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived7 offices incl. principal (1.F.5)
RAUM growth, one year
+69%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 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
  • Individuals$23.2M61%
  • High-net-worth individuals$14.7M39%
Individual clients
94reported
HNW clients
6reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
100reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• M•••• J•••••• · President/Chief Compliance Officercontrol
        since 09/2002 · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Forest Hills, NY2 employees
      • Huntington, NY1 employees
      • West Seneca, NY1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 116 to 100
        May 29, 2020 to Mar 30, 2021
      • Advisory employees · 8 to 6
        May 29, 2020 to Mar 30, 2021
      • BD registered reps · 8 to 7
        May 29, 2020 to Mar 30, 2021
      • HNW clients · unset to 6.0
        May 29, 2020 to Mar 30, 2021
      • Individual clients · 114 to 94
        May 29, 2020 to Mar 30, 2021
      • Employees · 12 to 8
        May 29, 2020 to Mar 30, 2021
      • State-registered IARs · 8 to 0
        May 29, 2020 to Mar 30, 2021
      • Other offices · 7 to 6
        May 29, 2020 to Mar 30, 2021
      • Discretionary RAUM · $20.4M to $29.8M
        May 29, 2020 to Mar 30, 2021
      • HNW RAUM · $3.0M to $14.7M
        May 29, 2020 to Mar 30, 2021
      • Individual RAUM · $19.4M to $23.2M
        May 29, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $1.9M to $8.1M
        May 29, 2020 to Mar 30, 2021
      • RAUM · $22.4M to $37.8M
        May 29, 2020 to Mar 30, 2021
      • Wrap assets (manager) · 0.0 to unset
        May 29, 2020 to Mar 30, 2021
      • Wrap assets (sponsor) · 1928583.0 to unset
        May 29, 2020 to Mar 30, 2021
      • Accounts · 105 to 116
        Mar 27, 2019 to Mar 27, 2020
      • Advisory employees · 7 to 8
        Mar 27, 2019 to Mar 27, 2020
      • BD registered reps · 7 to 8
        Mar 27, 2019 to Mar 27, 2020
      • Charity clients · unset to 0.0
        Mar 27, 2019 to Mar 27, 2020
      • Corporate clients · unset to 0.0
        Mar 27, 2019 to Mar 27, 2020
      • HNW clients · 4.0 to unset
        Mar 27, 2019 to Mar 27, 2020
      • Individual clients · 101 to 114
        Mar 27, 2019 to Mar 27, 2020
      • Pension plan clients · unset to 0.0
        Mar 27, 2019 to Mar 27, 2020
      • Pooled vehicle clients · unset to 0.0
        Mar 27, 2019 to Mar 27, 2020
      • Employees · 7 to 12
        Mar 27, 2019 to Mar 27, 2020
      • State-registered IARs · 7 to 8
        Mar 27, 2019 to Mar 27, 2020
      • Other offices · 9 to 7
        Mar 27, 2019 to Mar 27, 2020
      • Discretionary RAUM · $17.4M to $20.4M
        Mar 27, 2019 to Mar 27, 2020
      • HNW RAUM · $9.6M to $3.0M
        Mar 27, 2019 to Mar 27, 2020
      • Individual RAUM · $10.2M to $19.4M
        Mar 27, 2019 to Mar 27, 2020
      • Non-discretionary RAUM · $2.4M to $1.9M
        Mar 27, 2019 to Mar 27, 2020
      • RAUM · $19.8M to $22.4M
        Mar 27, 2019 to Mar 27, 2020
      • Wrap assets (manager) · $11.0M to $0
        Mar 27, 2019 to Mar 27, 2020
      • Wrap assets (sponsor) · $0 to $1.9M
        Mar 27, 2019 to Mar 27, 2020
      • Accounts · 132 to 105
        Mar 30, 2018 to Mar 27, 2019
      • Advisory employees · 9 to 7
        Mar 30, 2018 to Mar 27, 2019
      • BD registered reps · 9 to 7
        Mar 30, 2018 to Mar 27, 2019
      • HNW clients · 2 to 4
        Mar 30, 2018 to Mar 27, 2019
      • Individual clients · 82 to 101
        Mar 30, 2018 to Mar 27, 2019
      • Employees · 9 to 7
        Mar 30, 2018 to Mar 27, 2019
      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