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

P•••••• P••••••• G••••• L••

Former SEC-registered adviserMelville, New YorkCRD 126575SEC 801-71335IAPD
Latest filing Apr 19, 2021
First filing on the tape Mar 7, 2012 · 29 filings
RAUM
$383M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
74%
$285M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$383M as of Mar 9, 2021
Mar 7, 2012$92.7M then
HNW client RAUM$259M as of Mar 9, 2021
Mar 30, 2018$176M then
State-registered IARs (5.B.3)5 as of Mar 9, 2021
Mar 7, 20120 then
Employees (5.A)7 as of Mar 9, 2021
Mar 21, 20136 then
Private funds: no history
RAUM +24% over the last fiscal year+20% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 19, 2021; every figure names its basis
RAUM per advisor
$76.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
51derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$551,361derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+13%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$282MreportedItem 5.I
Custody
$5.9M, 2 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$259M68%
  • Pension and profit-sharing plans$97.6M26%
  • Individuals$25.9M6.8%
Individual clients
114reported
HNW clients
139reported
Pension plan clients
20reported
Charitable clients
n/areported
Accounts
694reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$5.9M for 2 clientsreported
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
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
    • D••••••• M••••••• J••• · Membercontrol
      since 02/2021 · owns 25% to 50%
    • D••••• J••••• P•••••• · Membercontrol
      since 02/2021 · owns 10% to 25%
    • K••••• M••••••• E••••• · Membercontrol
      since 03/2021 · owns 10% to 25%
    • M••••••••• J•••• N•• · Managing Member/Chief Compliance Officercontrol
      since 07/2009 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Virginia Beach, VA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 632 to 694
      Jun 16, 2020 to Mar 9, 2021
    • HNW clients · 117 to 139
      Jun 16, 2020 to Mar 9, 2021
    • Individual clients · 106 to 114
      Jun 16, 2020 to Mar 9, 2021
    • Pension plan clients · 16 to 20
      Jun 16, 2020 to Mar 9, 2021
    • Assets in custody · $5.9M to $5.9M
      Jun 16, 2020 to Mar 9, 2021
    • Employees · 11 to 7
      Jun 16, 2020 to Mar 9, 2021
    • Discretionary RAUM · $307M to $382M
      Jun 16, 2020 to Mar 9, 2021
    • HNW RAUM · $209M to $259M
      Jun 16, 2020 to Mar 9, 2021
    • Individual RAUM · $30.5M to $25.9M
      Jun 16, 2020 to Mar 9, 2021
    • Non-discretionary RAUM · $826,220 to $882,331
      Jun 16, 2020 to Mar 9, 2021
    • Pension RAUM · $68.3M to $97.6M
      Jun 16, 2020 to Mar 9, 2021
    • RAUM · $308M to $383M
      Jun 16, 2020 to Mar 9, 2021
    • Related insurance company · true to false
      Jun 16, 2020 to Mar 9, 2021
    • Accounts · 586 to 632
      Aug 19, 2019 to Mar 30, 2020
    • HNW clients · 114 to 117
      Aug 19, 2019 to Mar 30, 2020
    • Individual clients · 108 to 106
      Aug 19, 2019 to Mar 30, 2020
    • Pension plan clients · 12 to 16
      Aug 19, 2019 to Mar 30, 2020
    • Assets in custody · $6.3M to $5.9M
      Aug 19, 2019 to Mar 30, 2020
    • State-registered IARs · 3 to 5
      Aug 19, 2019 to Mar 30, 2020
    • Discretionary RAUM · $273M to $307M
      Aug 19, 2019 to Mar 30, 2020
    • HNW RAUM · $171M to $209M
      Aug 19, 2019 to Mar 30, 2020
    • Individual RAUM · $47.6M to $30.5M
      Aug 19, 2019 to Mar 30, 2020
    • Non-discretionary RAUM · $714,406 to $826,220
      Aug 19, 2019 to Mar 30, 2020
    • Pension RAUM · $55.3M to $68.3M
      Aug 19, 2019 to Mar 30, 2020
    • RAUM · $274M to $308M
      Aug 19, 2019 to Mar 30, 2020
    • HQ city · JERICHO to MELVILLE
      Mar 27, 2019 to Jun 5, 2019
    • Accounts · 521 to 586
      Dec 21, 2018 to Mar 26, 2019
    • HNW clients · 117 to 114
      Dec 21, 2018 to Mar 26, 2019
    • Individual clients · 68 to 108
      Dec 21, 2018 to Mar 26, 2019
    • Assets in custody · $8.3M to $6.3M
      Dec 21, 2018 to Mar 26, 2019
    • Other offices · 2 to 1
      Dec 21, 2018 to Mar 26, 2019
    • Discretionary RAUM · $219M to $273M
      Dec 21, 2018 to Mar 26, 2019
    • HNW RAUM · $176M to $171M
      Dec 21, 2018 to Mar 26, 2019
    • Individual RAUM · $12.8M to $47.6M
      Dec 21, 2018 to Mar 26, 2019
    • Non-discretionary RAUM · $0 to $714,406
      Dec 21, 2018 to Mar 26, 2019
    • Pension RAUM · $29.7M to $55.3M
      Dec 21, 2018 to Mar 26, 2019
    • RAUM · $219M to $274M
      Dec 21, 2018 to Mar 26, 2019
    • Accounts · 433 to 521
      Sep 28, 2017 to Mar 30, 2018
    • HNW clients · unset to 117.0
      Sep 28, 2017 to Mar 30, 2018
    • Individual clients · unset to 68.0
      Sep 28, 2017 to Mar 30, 2018
    Signals
    7 dated events
    • John Michael Desmond (Member) appeared on Schedule A of P•••••• P••••••• G••••• L••
      Mar 9, 2021 · Control person joined · fact
    • Patrick James Diver (Member) appeared on Schedule A of P•••••• P••••••• G••••• L••
      Mar 9, 2021 · Control person joined · fact
    • Eligio Michael Kelly (Member) appeared on Schedule A of P•••••• P••••••• G••••• L••
      Mar 9, 2021 · Control person joined · fact
    • T Roger Ciacco (Member) no longer on Schedule A of P•••••• P••••••• G••••• L•• (listed 2020-06-16, absent 2021-03-09)
      Mar 9, 2021 · Control person left · inference
    • Larry Marchisotta (Member) no longer on Schedule A of P•••••• P••••••• G••••• L•• (listed 2020-06-16, absent 2021-03-09)
      Mar 9, 2021 · Control person left · inference
    • W Frank Sluter (Member) no longer on Schedule A of P•••••• P••••••• G••••• L•• (listed 2020-06-16, absent 2021-03-09)
      Mar 9, 2021 · Control person left · inference
    • E. Robert Bertucelli (Member) no longer on Schedule A of P•••••• P••••••• G••••• L•• (listed 2020-06-16, absent 2021-03-09)
      Mar 9, 2021 · Control person left · inference
    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