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
D•• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Oct 17, 2017 · 32 filings
SEC status approved since Nov 16, 2017
RAUM
$261M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
9.6%
$25.0M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$52.1M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$261M as of Mar 31, 2026
Mar 29, 2018$141M then
HNW client RAUM$17.2M as of Mar 31, 2026
Mar 29, 2018$48.7M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 29, 20181 then
Employees (5.A)11 as of Mar 31, 2026
Mar 29, 201814 then
Private funds: no history
RAUM +18% over the last fiscal year-1.3% a year over threeIARs 2 to 2offices 4 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $52.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 8derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $5.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 43%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%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, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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
- Investment companies$123M47%
- Pension and profit-sharing plans$112M43%
- High-net-worth individuals$17.2M6.6%
- Individuals$7.8M3.0%
- Corporations and businesses$885,6200.3%
- Individual clients
- 34reported
- HNW clients
- 8reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 51reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.1 fund_share=0.47 institutional_share=0.43 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••• W• C•••••••Chartered Financial Analyst | New York, Ny | Sep 4, 2024 | 16 y | 0 |
| M•• W••• D••••••• | New York, Ny | Jun 13, 2025 | 11 y | 2 |
| Y•••••• M•••• H•••••• | Efrat | Feb 17, 2026 | 10 y | 0 |
| P•••••• D•••••• C••••• | New York, Ny | Sep 9, 2026 | 21 y | 0 |
| T••••• P•••• S•••••••• | Fairfield, Ct | Sep 11, 2026 | 32 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- M••••• N•• C••• to W•• W••••• A••••••• L••Feb 25, 2022 · RIA to a newly registered adviser
- W•••••• P••• G•••••• to W•• W••••• A••••••• L••Jan 12, 2022 · RIA to a newly registered adviser
- D•••• P•••••• O•••••• to K••••• A••••••• S•••••••• L••Oct 3, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- T••••• P•••• S•••••••• from A••••• S••••••••• A••••••• L••Sep 11, 2026 · Other
- M•• W••• D••••••• from S• A•••••••• L••Jun 13, 2025 · Other
- D•••• P•••••• O•••••• from M••••• S••••••May 9, 2018 · Wirehouse to independent RIA
- M••••• N•• C••• from E•••• W••••• M••••••••• L••Apr 27, 2018 · Other
- W•••••• P••• G•••••• from E•••• W••••• M••••••••• L••Apr 25, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from E•••• W••••• M••••••••• L••Jan 24, 2018 · Saratoga Springs, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• A••••••• J••••• · Chief Compliance Officer / Chief Operating Officercontrolsince 08/2023 · owns less than 5%
- G•••••••• E•••••• S• · Managing Directorcontrolsince 04/2022 · owns less than 5%
- G•••••••• G••••• A••••• · Chief Executive Officer, Managing Membercontrolsince 08/2011 · owns 10% to 25%
- G•••••••• G••••• A••••• · Managing Membercontrolsince 01/2007 · owns 25% to 50% of D••••••• G•••• H•••••••• L••
Entity owners
- D••••••• G•••• H•••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- D••••••• F•••••••• G••••• L••••broker-dealern
- D••••••• M••••••• B•••• L•••broker-dealern
- L•••••• C•••••• G••••• L••investment advisernRAUM $432M
Advisers that list D•• A•••••••• L•• as a related person
- 130023 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 5 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 58 to 51Oct 1, 2025 to Mar 31, 2026
- Corporate clients · 1 to 2Oct 1, 2025 to Mar 31, 2026
- HNW clients · 7 to 8Oct 1, 2025 to Mar 31, 2026
- Individual clients · 42 to 34Oct 1, 2025 to Mar 31, 2026
- Employees · 12 to 11Oct 1, 2025 to Mar 31, 2026
- Other offices · 4 to 3Oct 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $220M to $261MOct 1, 2025 to Mar 31, 2026
- HNW RAUM · $13.4M to $17.2MOct 1, 2025 to Mar 31, 2026
- Individual RAUM · $9.8M to $7.8MOct 1, 2025 to Mar 31, 2026
- Pension RAUM · $89.5M to $112MOct 1, 2025 to Mar 31, 2026
- RAUM · $220M to $261MOct 1, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Oct 1, 2025
- Accounts · 95 to 58May 29, 2024 to Mar 31, 2025
- Advisory employees · 9 to 6May 29, 2024 to Mar 31, 2025
- Advisory activities · 6 to 4May 29, 2024 to Mar 31, 2025
- BD registered reps · 3 to 5May 29, 2024 to Mar 31, 2025
- Charity clients · 2.0 to unsetMay 29, 2024 to Mar 31, 2025
- Corporate clients · 3 to 1May 29, 2024 to Mar 31, 2025
- HNW clients · 13 to 7May 29, 2024 to Mar 31, 2025
- Individual clients · 62 to 42May 29, 2024 to Mar 31, 2025
- Pension plan clients · 8 to 6May 29, 2024 to Mar 31, 2025
- Employees · 13 to 12May 29, 2024 to Mar 31, 2025
- State-registered IARs · 1 to 2May 29, 2024 to Mar 31, 2025
- Other offices · 5 to 4May 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $350M to $220MMay 29, 2024 to Mar 31, 2025
- HNW RAUM · $32.5M to $13.4MMay 29, 2024 to Mar 31, 2025
- Individual RAUM · $19.0M to $9.8MMay 29, 2024 to Mar 31, 2025
- Pension RAUM · $89.1M to $89.5MMay 29, 2024 to Mar 31, 2025
- RAUM · $350M to $220MMay 29, 2024 to Mar 31, 2025
- Accounts · 99 to 95Dec 13, 2023 to Mar 29, 2024
- Advisory employees · 10 to 9Dec 13, 2023 to Mar 29, 2024
- Corporate clients · 2 to 3Dec 13, 2023 to Mar 29, 2024
- HNW clients · 14 to 13Dec 13, 2023 to Mar 29, 2024
- Individual clients · 69 to 62Dec 13, 2023 to Mar 29, 2024
- Employees · 14 to 13Dec 13, 2023 to Mar 29, 2024
- Other offices · 7 to 5Dec 13, 2023 to Mar 29, 2024
- Discretionary RAUM · $271M to $350MDec 13, 2023 to Mar 29, 2024
- HNW RAUM · $31.4M to $32.5MDec 13, 2023 to Mar 29, 2024
- Individual RAUM · $17.3M to $19.0MDec 13, 2023 to Mar 29, 2024
- Pension RAUM · $80.0M to $89.1MDec 13, 2023 to Mar 29, 2024
Signals
16 dated events
- D•• A•••••••• L•• reported RAUM $220.1M, down 37% from $349.8M (2024-05-29 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Reuben Marc Rappaport (Chief Executive Officer) no longer on Schedule A of D•• A•••••••• L•• (listed 2023-10-16, absent 2023-12-13)Dec 13, 2023 · Control person left · inference
- D•• A•••••••• L•• reported 7 offices beyond its principal office, up from 0 (2023-08-08 to 2023-10-16)Oct 16, 2023 · Office count change · derived
- Joseph Anthony Giorgio (Chief Compliance Officer) appeared on Schedule A of D•• A•••••••• L••Aug 7, 2023 · Control person joined · fact
- D•• A•••••••• L•• reported RAUM $271.2M, down 33% from $406.6M (2023-01-25 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- S Elliot Grossman (Managing Director) appeared on Schedule A of D•• A•••••••• L••Sep 12, 2022 · Control person joined · fact
- Edward Steven Collopy (Chief Operating Officer / Chief Compliance Officer) no longer on Schedule A of D•• A•••••••• L•• (listed 2022-03-30, absent 2022-05-20)May 20, 2022 · Control person left · inference
- D•• A•••••••• L•• reported RAUM $406.6M, up 58% from $256.8M (2021-10-01 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Herbert Steven Roseman (President Of Wealth Advisory) no longer on Schedule A of D•• A•••••••• L•• (listed 2021-10-01, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- M••••• N•• C••• left D•• A•••••••• L•• for W•• W••••• A••••••• L•• (registered 2021-10-12)Feb 25, 2022 · Advisor changed firm · fact
- W•••••• P••• G•••••• left D•• A•••••••• L•• for W•• W••••• A••••••• L•• (registered 2021-10-13)Jan 12, 2022 · Advisor changed firm · fact
- D•• A•••••••• L•• reported RAUM $256.8M, up 93% from $133.3M (2020-06-30 to 2021-03-18)Mar 18, 2021 · RAUM change · derived
- Paul William Hodge (Chief Compliance Officer) no longer on Schedule A of D•• A•••••••• L•• (listed 2019-06-20, absent 2019-09-04)Sep 4, 2019 · Control person left · inference
- Michael Andrew Greenstein (Acting Ceo) no longer on Schedule A of D•• A•••••••• L•• (listed 2019-03-29, absent 2019-06-20)Jun 20, 2019 · Control person left · inference
- Reuben Marc Rappaport (Chief Executive Officer) appeared on Schedule A of D•• A•••••••• L••Jun 20, 2019 · Control person joined · fact
- D••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 17, 2017 · 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
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/DCM-ADVISORSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 917-386-6260reportedpublic record, Form ADV, Mar 31, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $52.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026