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B•••••• S••••••••• L••
Independent wealth managerSEC-registered· Locust Valley, New York
Independent wealth manager, based in Locust Valley, New York, reporting $117M of regulatory assets across 3 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $117M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +26%
- Private clients
- 100% of RAUM, $117M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Nothing material in the last 180 days. Last change: 25 Feb 2026, RAUM $92.7M to $117M (+26.4%) on the Form ADV filed 25 Feb 2026, while advisors on the filing rose 2 to 2.
Every filed figure, and the identifiersCRD 126976 · SEC 801-110136 · 18 filingsShowHide
CRD 126976SEC 801-110136First filing on the tape Mar 6, 2017, latest Feb 25, 2026SEC status approved since Mar 17, 2017IAPD
RAUM
$117M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$117M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$39.1M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$117M as of Feb 25, 2026
Jan 16, 2018$43.1M then
HNW client RAUM$69.3M as of Feb 25, 2026
Jan 16, 2018$17.0M then
State-registered IARs (5.B.3)2 as of Feb 25, 2026
Jan 16, 20182 then
Employees (5.A)3 as of Feb 25, 2026
Jan 16, 20184 then
Private funds: no history
RAUM +26% over the last fiscal year+20% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 25, 2026; every figure names its basis
The rule behind each archetype, and every derived figure4 rulesShowHide
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $39.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $677,765derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +30%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $117MreportedItem 5.I
- 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 a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$69.3M59%
- Individuals$47.9M41%
- Individual clients
- 139reported
- HNW clients
- 34reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 173reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
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
none on the tape
Joined, latest
- R••••• L• S••••••• from M••••• S••••••Sep 4, 2025 · Wirehouse to independent RIA
Advisors registered through the firm
3 on IAPD today; the 10 longest tenured
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• M•••••• F•••••••• | Locust Valley, Ny | Mar 10, 2022 | 11 y | 0 |
| P•••• P••••• D•••••• | Locust Valley, Ny | Apr 22, 2022 | 40 y | 0 |
| R••••• L• S••••••• | Locust Valley, Ny | Sep 4, 2025 | 15 y | 2 |
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• P•••• P••••• · President/Ccocontrolsince 11/2004 · owns 75% or more
- D••••••• J••• M•••• · Finopsince 01/2009 · owns less than 5%
- F••••••••• E••• M•••••• · Principalsince 02/2022 · owns less than 5%
- R•••••• M•••• A•• · Principalsince 04/2015 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Locust Valley, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 133 to 173Aug 28, 2025 to Feb 25, 2026
- HNW clients · 29 to 34Aug 28, 2025 to Feb 25, 2026
- Individual clients · 104 to 139Aug 28, 2025 to Feb 25, 2026
- Discretionary RAUM · $92.7M to $117MAug 28, 2025 to Feb 25, 2026
- HNW RAUM · $55.3M to $69.3MAug 28, 2025 to Feb 25, 2026
Full history · 80 changesShow fewer
- Individual RAUM · $37.5M to $47.9MAug 28, 2025 to Feb 25, 2026
- RAUM · $92.7M to $117MAug 28, 2025 to Feb 25, 2026
- Financial planning clients · 0 to 0Apr 25, 2025 to Aug 28, 2025
- Accounts · 129 to 133Feb 7, 2024 to Feb 26, 2025
- HNW clients · 24 to 29Feb 7, 2024 to Feb 26, 2025
- Pension plan clients · 1 to 0Feb 7, 2024 to Feb 26, 2025
- Discretionary RAUM · $77.2M to $92.7MFeb 7, 2024 to Feb 26, 2025
- HNW RAUM · $42.6M to $55.3MFeb 7, 2024 to Feb 26, 2025
- Individual RAUM · $34.1M to $37.5MFeb 7, 2024 to Feb 26, 2025
- Pension RAUM · $544,135 to $0Feb 7, 2024 to Feb 26, 2025
- RAUM · $77.2M to $92.7MFeb 7, 2024 to Feb 26, 2025
- HNW clients · 20 to 24Jul 5, 2023 to Feb 7, 2024
- Individual clients · 106 to 104Jul 5, 2023 to Feb 7, 2024
- Pension plan clients · 3 to 1Jul 5, 2023 to Feb 7, 2024
- Discretionary RAUM · $67.8M to $77.2MJul 5, 2023 to Feb 7, 2024
- HNW RAUM · $33.1M to $42.6MJul 5, 2023 to Feb 7, 2024
- Individual RAUM · $32.8M to $34.1MJul 5, 2023 to Feb 7, 2024
- Pension RAUM · $2.0M to $544,135Jul 5, 2023 to Feb 7, 2024
- RAUM · $67.8M to $77.2MJul 5, 2023 to Feb 7, 2024
- Accounts · 135 to 129Aug 3, 2022 to Feb 23, 2023
- HNW clients · 26 to 20Aug 3, 2022 to Feb 23, 2023
- Discretionary RAUM · $84.1M to $67.8MAug 3, 2022 to Feb 23, 2023
- HNW RAUM · $49.2M to $33.1MAug 3, 2022 to Feb 23, 2023
- Individual RAUM · $32.5M to $32.8MAug 3, 2022 to Feb 23, 2023
- Pension RAUM · $2.4M to $2.0MAug 3, 2022 to Feb 23, 2023
- RAUM · $84.1M to $67.8MAug 3, 2022 to Feb 23, 2023
- Accounts · 118 to 135Jan 15, 2021 to Jan 13, 2022
- Advisory employees · 3 to 2Jan 15, 2021 to Jan 13, 2022
- BD registered reps · 4 to 3Jan 15, 2021 to Jan 13, 2022
- HNW clients · 17 to 26Jan 15, 2021 to Jan 13, 2022
- Individual clients · 98 to 106Jan 15, 2021 to Jan 13, 2022
- Employees · 4 to 3Jan 15, 2021 to Jan 13, 2022
- Discretionary RAUM · $62.2M to $84.1MJan 15, 2021 to Jan 13, 2022
- HNW RAUM · $28.0M to $49.2MJan 15, 2021 to Jan 13, 2022
- Individual RAUM · $32.1M to $32.5MJan 15, 2021 to Jan 13, 2022
- Pension RAUM · $2.1M to $2.4MJan 15, 2021 to Jan 13, 2022
- RAUM · $62.2M to $84.1MJan 15, 2021 to Jan 13, 2022
- Accounts · 115 to 118Dec 1, 2020 to Jan 15, 2021
- HNW clients · 12 to 17Dec 1, 2020 to Jan 15, 2021
- Individual clients · 100 to 98Dec 1, 2020 to Jan 15, 2021
- Discretionary RAUM · $52.5M to $62.2MDec 1, 2020 to Jan 15, 2021
- HNW RAUM · $19.8M to $28.0MDec 1, 2020 to Jan 15, 2021
- Individual RAUM · $31.0M to $32.1MDec 1, 2020 to Jan 15, 2021
- Pension RAUM · $1.8M to $2.1MDec 1, 2020 to Jan 15, 2021
- RAUM · $52.5M to $62.2MDec 1, 2020 to Jan 15, 2021
- HQ city · GLEN COVE to LOCUST VALLEYMay 4, 2020 to Dec 1, 2020
- HNW clients · 11 to 12Jan 17, 2019 to Feb 5, 2020
- Individual clients · 101 to 100Jan 17, 2019 to Feb 5, 2020
- Discretionary RAUM · $45.4M to $52.5MJan 17, 2019 to Feb 5, 2020
- HNW RAUM · $16.3M to $19.8MJan 17, 2019 to Feb 5, 2020
- Individual RAUM · $27.7M to $31.0MJan 17, 2019 to Feb 5, 2020
- Pension RAUM · $1.3M to $1.8MJan 17, 2019 to Feb 5, 2020
- RAUM · $45.4M to $52.5MJan 17, 2019 to Feb 5, 2020
- Accounts · 101 to 115Feb 15, 2018 to Jan 17, 2019
- HNW clients · 10 to 11Feb 15, 2018 to Jan 17, 2019
- Individual clients · 88 to 101Feb 15, 2018 to Jan 17, 2019
- Discretionary RAUM · $43.1M to $45.4MFeb 15, 2018 to Jan 17, 2019
- HNW RAUM · $17.0M to $16.3MFeb 15, 2018 to Jan 17, 2019
- Individual RAUM · $24.7M to $27.7MFeb 15, 2018 to Jan 17, 2019
- Pension RAUM · $1.4M to $1.3MFeb 15, 2018 to Jan 17, 2019
- RAUM · $43.1M to $45.4MFeb 15, 2018 to Jan 17, 2019
- Related broker-dealer · false to trueFeb 15, 2018 to Jan 17, 2019
- Accounts · 71 to 101Jul 7, 2017 to Jan 16, 2018
- Charity clients · unset to 0.0Jul 7, 2017 to Jan 16, 2018
- Corporate clients · unset to 0.0Jul 7, 2017 to Jan 16, 2018
- HNW clients · unset to 10.0Jul 7, 2017 to Jan 16, 2018
- Individual clients · unset to 88.0Jul 7, 2017 to Jan 16, 2018
- Pension plan clients · unset to 3.0Jul 7, 2017 to Jan 16, 2018
- Pooled vehicle clients · unset to 0.0Jul 7, 2017 to Jan 16, 2018
- Other offices · unset to 0.0Jul 7, 2017 to Jan 16, 2018
- Discretionary RAUM · $34.4M to $43.1MJul 7, 2017 to Jan 16, 2018
- HNW RAUM · unset to 16953987.0Jul 7, 2017 to Jan 16, 2018
- Individual RAUM · unset to 24696090.0Jul 7, 2017 to Jan 16, 2018
- Pension RAUM · unset to 1403323.0Jul 7, 2017 to Jan 16, 2018
- Pooled vehicle RAUM · unset to 0.0Jul 7, 2017 to Jan 16, 2018
Signals
1 dated events
- ••• LockedMar 6, 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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 25, 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
- $39.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026