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
S••• H••••• A•••• M••••••••• I•••
Latest filing Mar 11, 2026
First filing on the tape Apr 14, 2014 · 23 filings
SEC status approved since May 15, 2014
RAUM
$26.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$26.0M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$8.9M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$26.8M as of Mar 11, 2026
Mar 24, 2015$29.6M then
HNW client RAUM$25.2M as of Mar 11, 2026
Feb 7, 2018$36.0M then
State-registered IARs (5.B.3)1 as of Mar 11, 2026
Mar 24, 20151 then
Employees (5.A)4 as of Mar 11, 2026
Mar 24, 20152 then
Private funds: no history
RAUM -21% over the last fiscal year-7.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 11, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $8.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 8derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $623,478derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.0%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
- -21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminars, otherreportedItem 5.G
- Custody
- $5.5M, 11 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$25.2M94%
- Pension and profit-sharing plans$815,4993.0%
- Individuals$757,6052.8%
- Individual clients
- 3reported
- HNW clients
- 22reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 43reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.5M for 11 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| S•••••• K••• D•••• | Huntington, Ny | Jun 13, 2021 | 30 y | 1 |
| E•••••• J••••• D••••••••Certified Financial Planner | Huntington, Ny | Sep 23, 2021 | 40 y | 0 |
| A•••••••• S•••••••• | Huntington, Ny | Nov 14, 2024 | 18 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
- A•••••• J••• B•••••• to A•••••• A••••••• S•••••••Nov 15, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- A•••••• J••• B•••••• from B••••••••• C•••••• M••••••••• L••Sep 9, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• S••••••• K••• · President And Chief Compliance Officercontrolsince 08/1995 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Huntington, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 44 to 43Feb 24, 2025 to Mar 11, 2026
- HNW clients · 24 to 22Feb 24, 2025 to Mar 11, 2026
- Individual clients · 5 to 3Feb 24, 2025 to Mar 11, 2026
- Pension plan clients · 1 to 3Feb 24, 2025 to Mar 11, 2026
- Assets in custody · $6.0M to $5.5MFeb 24, 2025 to Mar 11, 2026
- Discretionary RAUM · $33.8M to $26.8MFeb 24, 2025 to Mar 11, 2026
- HNW RAUM · $27.6M to $25.2MFeb 24, 2025 to Mar 11, 2026
- Individual RAUM · $1.5M to $757,605Feb 24, 2025 to Mar 11, 2026
- Pension RAUM · $4.7M to $815,499Feb 24, 2025 to Mar 11, 2026
- RAUM · $33.8M to $26.8MFeb 24, 2025 to Mar 11, 2026
- Accounts · 50 to 44May 23, 2024 to Feb 24, 2025
- HNW clients · 25 to 24May 23, 2024 to Feb 24, 2025
- Individual clients · 7 to 5May 23, 2024 to Feb 24, 2025
- Pension plan clients · 2 to 1May 23, 2024 to Feb 24, 2025
- Assets in custody · $708,050 to $6.0MMay 23, 2024 to Feb 24, 2025
- Financial planning clients · 0 to 1-10May 23, 2024 to Feb 24, 2025
- Discretionary RAUM · $34.7M to $33.8MMay 23, 2024 to Feb 24, 2025
- HNW RAUM · $28.3M to $27.6MMay 23, 2024 to Feb 24, 2025
- Individual RAUM · $1.6M to $1.5MMay 23, 2024 to Feb 24, 2025
- Pension RAUM · $4.8M to $4.7MMay 23, 2024 to Feb 24, 2025
- RAUM · $34.7M to $33.8MMay 23, 2024 to Feb 24, 2025
- Advisory activities · 4 to 5Mar 26, 2024 to May 23, 2024
- Employees · 5 to 4Mar 26, 2024 to May 23, 2024
- Accounts · 47 to 50Sep 27, 2023 to Mar 26, 2024
- HNW clients · 19 to 25Sep 27, 2023 to Mar 26, 2024
- Individual clients · 11 to 7Sep 27, 2023 to Mar 26, 2024
- Assets in custody · $19.7M to $708,050Sep 27, 2023 to Mar 26, 2024
- Discretionary RAUM · $34.3M to $34.7MSep 27, 2023 to Mar 26, 2024
- HNW RAUM · $27.2M to $28.3MSep 27, 2023 to Mar 26, 2024
- Individual RAUM · $2.9M to $1.6MSep 27, 2023 to Mar 26, 2024
- Pension RAUM · $4.2M to $4.8MSep 27, 2023 to Mar 26, 2024
- RAUM · $34.3M to $34.7MSep 27, 2023 to Mar 26, 2024
- Accounts · 48 to 47Oct 24, 2022 to Mar 3, 2023
- Advisory employees · 4 to 2Oct 24, 2022 to Mar 3, 2023
- Individual clients · 13 to 11Oct 24, 2022 to Mar 3, 2023
- Assets in custody · $769,773 to $19.7MOct 24, 2022 to Mar 3, 2023
- Employees · 7 to 5Oct 24, 2022 to Mar 3, 2023
- State-registered IARs · 3 to 1Oct 24, 2022 to Mar 3, 2023
- Discretionary RAUM · $43.3M to $34.3MOct 24, 2022 to Mar 3, 2023
- HNW RAUM · $34.1M to $27.2MOct 24, 2022 to Mar 3, 2023
Signals
2 dated events
- A•••••• J••• B•••••• left S••• H••••• A•••• M••••••••• I••• for A•••••• A••••••• S••••••• (registered 2024-02-13)Nov 15, 2022 · Advisor changed firm · fact
- S••••••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Apr 14, 2014 · First SEC registration · 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
- Business email
- info@investsafeharbor.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 631-421-4341reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- INVESTS•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 631-421-4341reportedpublic record, Form ADV, Mar 11, 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
- $8.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026