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

H••••• W••••• M•••••••••

Independent wealth managerMelville, New YorkCRD 124261SEC 801-61749websiteIAPD
Legal name T•••• M••••••••• G••••• I•••
Latest filing Feb 6, 2026
First filing on the tape Dec 6, 2011 · 27 filings
SEC status approved since Jan 17, 2003
RAUM
$554M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$475M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$138M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$554M as of Feb 6, 2026
Apr 2, 2012$93.4M then
HNW client RAUM$471M as of Feb 6, 2026
Mar 9, 2018$149M then
State-registered IARs (5.B.3)4 as of Feb 6, 2026
Apr 2, 20120 then
Employees (5.A)6 as of Feb 6, 2026
Mar 18, 20134 then
Private funds: no history
RAUM +24% over the last fiscal year+22% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Feb 6, 2026; every figure names its basis
Archetypes, each a printed rule
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
RAUM per advisor
$138MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$703,803derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$471M85%
  • Pension and profit-sharing plans$77.3M14%
  • Individuals$3.7M0.7%
  • Corporations and businesses$1.9M0.3%
Individual clients
14reported
HNW clients
177reported
Pension plan clients
45reported
Charitable clients
0reported
Accounts
787reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.86 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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 headcount1 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H•••••• L•••••••• E•••• · President, Chief Compliance Officercontrol
    since 06/1992 · owns 75% or more
  • M•••• G••••••• T••••• · Principal
    since 01/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Melville, Ny · principal400
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 742 to 787
    Jul 1, 2025 to Feb 6, 2026
  • Advisory employees · 3 to 4
    Jul 1, 2025 to Feb 6, 2026
  • HNW clients · 161 to 177
    Jul 1, 2025 to Feb 6, 2026
  • Individual clients · 13 to 14
    Jul 1, 2025 to Feb 6, 2026
  • Pension plan clients · 50 to 45
    Jul 1, 2025 to Feb 6, 2026
  • Employees · 5 to 6
    Jul 1, 2025 to Feb 6, 2026
  • State-registered IARs · 3 to 4
    Jul 1, 2025 to Feb 6, 2026
  • Discretionary RAUM · $446M to $554M
    Jul 1, 2025 to Feb 6, 2026
  • HNW RAUM · $375M to $471M
    Jul 1, 2025 to Feb 6, 2026
  • Individual RAUM · $3.1M to $3.7M
    Jul 1, 2025 to Feb 6, 2026
  • Pension RAUM · $66.2M to $77.3M
    Jul 1, 2025 to Feb 6, 2026
  • RAUM · $446M to $554M
    Jul 1, 2025 to Feb 6, 2026
  • Financial planning clients · 51-100 to 51-100
    Apr 10, 2025 to Jul 1, 2025
  • Accounts · 717 to 742
    Apr 11, 2024 to Apr 10, 2025
  • Corporate clients · 5 to 7
    Apr 11, 2024 to Apr 10, 2025
  • HNW clients · 150 to 161
    Apr 11, 2024 to Apr 10, 2025
  • Individual clients · 12 to 13
    Apr 11, 2024 to Apr 10, 2025
  • Pension plan clients · 47 to 50
    Apr 11, 2024 to Apr 10, 2025
  • Employees · 6 to 5
    Apr 11, 2024 to Apr 10, 2025
  • Discretionary RAUM · $404M to $446M
    Apr 11, 2024 to Apr 10, 2025
  • HNW RAUM · $335M to $375M
    Apr 11, 2024 to Apr 10, 2025
  • Individual RAUM · $2.7M to $3.1M
    Apr 11, 2024 to Apr 10, 2025
  • Pension RAUM · $61.1M to $66.2M
    Apr 11, 2024 to Apr 10, 2025
  • RAUM · $404M to $446M
    Apr 11, 2024 to Apr 10, 2025
  • Accounts · 713 to 717
    Mar 27, 2024 to Apr 11, 2024
  • HNW clients · 149 to 150
    Mar 27, 2024 to Apr 11, 2024
  • Discretionary RAUM · $381M to $404M
    Mar 27, 2024 to Apr 11, 2024
  • HNW RAUM · $316M to $335M
    Mar 27, 2024 to Apr 11, 2024
  • Individual RAUM · $2.7M to $2.7M
    Mar 27, 2024 to Apr 11, 2024
  • Pension RAUM · $57.4M to $61.1M
    Mar 27, 2024 to Apr 11, 2024
  • RAUM · $381M to $404M
    Mar 27, 2024 to Apr 11, 2024
  • Accounts · 637 to 713
    Sep 28, 2023 to Mar 27, 2024
  • Corporate clients · unset to 5.0
    Sep 28, 2023 to Mar 27, 2024
  • HNW clients · 292 to 149
    Sep 28, 2023 to Mar 27, 2024
  • Pension plan clients · 23 to 47
    Sep 28, 2023 to Mar 27, 2024
  • Employees · 7 to 6
    Sep 28, 2023 to Mar 27, 2024
  • State-registered IARs · 0 to 3
    Sep 28, 2023 to Mar 27, 2024
  • Discretionary RAUM · $302M to $381M
    Sep 28, 2023 to Mar 27, 2024
  • HNW RAUM · $284M to $316M
    Sep 28, 2023 to Mar 27, 2024
  • Individual RAUM · $2.1M to $2.7M
    Sep 28, 2023 to Mar 27, 2024
Signals
1 dated events
  • M•••••• D••••• W••• left H••••• W••••• M••••••••• for J••• M••••• S••••••••• L•• (registered 2024-10-30)
    Mar 3, 2025 · Advisor changed firm · 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
Principal office phone
631-248-3600reportedpublic record, Form ADV, Feb 6, 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
$138Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026