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
P••••••• C•••••• S•••••••• I•••
Latest filing Feb 27, 2026
First filing on the tape Mar 21, 2014 · 40 filings
SEC status approved since Apr 18, 2014
RAUM
$109M
reported, Item 5.F
Discretionary
24%
of RAUM
Private clients
59%
$64.9M individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$8.4M
derived; firm RAUM over IAPD count
Employees
18
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$109M as of Feb 27, 2026
Apr 10, 2014$32.0M then
HNW client RAUM$49.0M as of Feb 27, 2026
Feb 22, 2018$52.3M then
State-registered IARs (5.B.3)18 as of Feb 27, 2026
Apr 10, 201410 then
Employees (5.A)18 as of Feb 27, 2026
Apr 10, 201411 then
Private funds: no history
RAUM +16% over the last fiscal year-1.5% a year over threeIARs 18 to 18
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $8.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $415,494derivedHNW RAUM over HNW clients
- Average account
- $458,347derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 24%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 6.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $83.1MreportedItem 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
- 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$49.0M56%
- Corporations and businesses$20.3M23%
- Individuals$15.8M18%
- Pension and profit-sharing plans$2.4M2.7%
- Individual clients
- 92reported
- HNW clients
- 118reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 238reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $83.1M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.59 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=18.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• M•••••• C••••• | Hauppauge, Ny | Oct 7, 2004 | 33 y | 0 |
| J••• C•••••• G•••••• | Hauppauge, Ny | Feb 7, 2006 | 32 y | 0 |
| F•••• P•••••• | Hauppauge, Ny | Jun 5, 2008 | 34 y | 2 |
| R•••••• D••••• H••••••• | Atlanta, Ga | Feb 12, 2013 | 42 y | 3 |
| R••••• G••••• G••••• | S••••S, Al | Feb 12, 2013 | 34 y | 6 |
| S••••• A••••• S•••••••• | Hauppauge, Ny | Aug 26, 2015 | 13 y | 0 |
| T••••• C••••• J•••• | Hauppauge, Ny | May 24, 2016 | 30 y | 1 |
| E••• J••• D••••• | Hauppauge, Ny | Sep 14, 2016 | 34 y | 0 |
| G•• R•••••• G••••• | Hauppauge, Ny | Feb 21, 2019 | 29 y | 0 |
| M•••••• M••••••• | Hauppauge, Ny | Sep 17, 2019 | 37 y | 0 |
| R••••• G• D•••••• | Hauppauge, Ny | Apr 15, 2021 | 25 y | 5 |
| L••••••• J••• | Hauppauge, Ny | Jan 9, 2023 | 12 y | 2 |
| A•••••• S•••• | Hauppauge, Ny | Dec 15, 2025 | 10 y | 4 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 7.7% of current headcount3 left over 36 months
Left, latest
- K•••• M• S••••• to J••• M••••• S••••••••• L••Dec 3, 2025 · RIA to wirehouse
- T•••••• V•••••• L•••• to K••••• A••••••• S•••••••• L••Oct 28, 2024 · RIA to affiliated broker-dealer or bank
- K•••• J••• M••••• to K••••• A••••••• S•••••••• L••Feb 1, 2024 · RIA to affiliated broker-dealer or bank
- R••••• A•••••• B•••••• to M••••• S••••••Apr 3, 2023 · RIA to wirehouse
- C•••• D• M•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 16, 2021 · RIA to wirehouse
- C•••••• P••••• to M•• I•••••••• S•••••••• L••Jul 15, 2021 · RIA to affiliated broker-dealer or bank
- J••• A••• F•••••• to C•••••• F•••••••• S•••••••• I•••Jan 20, 2017 · Other
- J••• R••••• M••••• to J••• M••••• S••••••••• L••Dec 9, 2016 · Other
- J•••• J•••••• Y••••••• to I••••••••• F•••••••• G••••• L••May 3, 2016 · Other
- M••••••• Y• M••••• to B•••• W•••••• L••Oct 1, 2015 · Other
- G••••• P••••• S•••• to R•••••• J•••• • A••••••••• I•••Jul 9, 2015 · Other
- J•••• S•••• D•••• to C••••• I••••••••• A••••••• L••Jan 10, 2007 · Other
Joined, latest
- A•••••• S•••• from R••••••• W••••• M••••••••• L••Dec 15, 2025 · RIA to RIA
- L••••••• J••• from A••••••••• F•••••••• S•••••••• L••Jan 9, 2023 · Affiliated broker-dealer or bank to independent RIA
- R••••• G• D•••••• from J••• M••••• S••••••••• L••Apr 15, 2021 · Wirehouse to independent RIA
- T••••• C••••• J•••• from C•••••••• G••••• M•••••• I•••May 24, 2016 · Other
- T•••••• V•••••• L•••• from T•••••• A••••••• L••Aug 27, 2015 · Other
- R••••• G••••• G••••• from L••• K••• • C••••••Feb 12, 2013 · Other
- M••••••• Y• M••••• from L••• K••• • C••••••Feb 12, 2013 · Other
- R•••••• D••••• H••••••• from L••• K••• • C••••••Feb 12, 2013 · Other
- G••••• P••••• S•••• from L••• K••• • C••••••Feb 12, 2013 · Other
- J••• A••• F•••••• from H••• S••••••••• •••• I•••Sep 13, 2012 · Other
- J•••• J•••••• Y••••••• from S•• I••••••••• A•••••••• I•••May 3, 2010 · Other
- F•••• P•••••• from B••• O• A•••••• I••••••••• S•••••••• I•••Jun 5, 2008 · Other
- J••• R••••• M••••• from L•••••••• T••••••• A•••• M••••••••• I••Jun 3, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• E•••••• M•••••• · Presidentcontrolsince 06/2003 · owns 25% to 50%
- G••••••• A••••••• M•••••• · Shareholdercontrolsince 03/2016 · owns 25% to 50%
- G••••••• J•••• C•••••• · Shareholdercontrolsince 02/2006 · owns 10% to 25%
- S••••••••• S•••••• A••••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
Related persons
Schedule D 7.A
- A•• V•••••• C•••••• M••••••••• F••• L••investment advisernRAUM $786M
- A••••••• C•••••• P•••••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hauppauge, Ny · principal | 13 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA3 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 27, 2026HNW share of RAUM moved from 77.0% to 45.0% between the annual amendments of 2025-03-12 and 2026-02-27peers: WEALTH_I•••••••••, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Feb 27, 2026private-client share of RAUM moved from 91.0% to 59.0% between the annual amendments of 2025-03-12 and 2026-02-27peers: WEALTH_I•••••••••, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Feb 27, 2026institutional share of RAUM moved from 1.0% to 21.0% between the annual amendments of 2025-03-12 and 2026-02-27peers: WEALTH_I•••••••••, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 215 to 238Mar 12, 2025 to Feb 27, 2026
- Corporate clients · 4 to 5Mar 12, 2025 to Feb 27, 2026
- HNW clients · 116 to 118Mar 12, 2025 to Feb 27, 2026
- Individual clients · 79 to 92Mar 12, 2025 to Feb 27, 2026
- Pension plan clients · unset to 4.0Mar 12, 2025 to Feb 27, 2026
- Financial planning clients · 26-50 to 0Mar 12, 2025 to Feb 27, 2026
- Discretionary RAUM · $19.1M to $26.0MMar 12, 2025 to Feb 27, 2026
- HNW RAUM · $72.9M to $49.0MMar 12, 2025 to Feb 27, 2026
- Individual RAUM · $13.1M to $15.8MMar 12, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $75.0M to $83.1MMar 12, 2025 to Feb 27, 2026
- Pension RAUM · unset to 2357513.0Mar 12, 2025 to Feb 27, 2026
- RAUM · $94.1M to $109MMar 12, 2025 to Feb 27, 2026
- Wrap assets (sponsor) · $75.0M to $83.1MMar 12, 2025 to Feb 27, 2026
- Accounts · 296 to 215Oct 8, 2024 to Mar 12, 2025
- Advisory employees · 11 to 12Oct 8, 2024 to Mar 12, 2025
- Corporate clients · 6 to 4Oct 8, 2024 to Mar 12, 2025
- HNW clients · 66 to 116Oct 8, 2024 to Mar 12, 2025
- Individual clients · 192 to 79Oct 8, 2024 to Mar 12, 2025
- Pension plan clients · 4.0 to unsetOct 8, 2024 to Mar 12, 2025
- Financial planning clients · 51-100 to 26-50Oct 8, 2024 to Mar 12, 2025
- Discretionary RAUM · $301,961 to $19.1MOct 8, 2024 to Mar 12, 2025
- HNW RAUM · $55.0M to $72.9MOct 8, 2024 to Mar 12, 2025
- Individual RAUM · $18.9M to $13.1MOct 8, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $139M to $75.0MOct 8, 2024 to Mar 12, 2025
- Pension RAUM · 5707652.0 to unsetOct 8, 2024 to Mar 12, 2025
- RAUM · $139M to $94.1MOct 8, 2024 to Mar 12, 2025
- Wrap assets (sponsor) · $139M to $75.0MOct 8, 2024 to Mar 12, 2025
- Accounts · 298 to 296Jun 26, 2023 to Mar 28, 2024
- Advisory employees · 12 to 11Jun 26, 2023 to Mar 28, 2024
- Corporate clients · 5 to 6Jun 26, 2023 to Mar 28, 2024
- HNW clients · 68 to 66Jun 26, 2023 to Mar 28, 2024
- Individual clients · 196 to 192Jun 26, 2023 to Mar 28, 2024
- Pension plan clients · 2 to 4Jun 26, 2023 to Mar 28, 2024
- Employees · 20 to 18Jun 26, 2023 to Mar 28, 2024
- State-registered IARs · 15 to 18Jun 26, 2023 to Mar 28, 2024
- Discretionary RAUM · $0 to $301,961Jun 26, 2023 to Mar 28, 2024
- HNW RAUM · $41.6M to $55.0MJun 26, 2023 to Mar 28, 2024
- Individual RAUM · $18.3M to $18.9MJun 26, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $114M to $139MJun 26, 2023 to Mar 28, 2024
- Pension RAUM · $3.7M to $5.7MJun 26, 2023 to Mar 28, 2024
Signals
6 dated events
- K•••• M• S••••• left P••••••• C•••••• S•••••••• I••• for J••• M••••• S••••••••• L•• (registered 2025-11-13)Dec 3, 2025 · Advisor changed firm · fact
- T•••••• V•••••• L•••• left P••••••• C•••••• S•••••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2024-09-30)Oct 28, 2024 · Advisor changed firm · fact
- K•••• J••• M••••• left P••••••• C•••••• S•••••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2024-01-04)Feb 1, 2024 · Advisor changed firm · fact
- R••••• A•••••• B•••••• left P••••••• C•••••• S•••••••• I••• for M••••• S•••••• (registered 2023-03-31)Apr 3, 2023 · Advisor changed firm · fact
- Andrew Steven Schneider (Chief Compliance Officer) appeared on Schedule A of P••••••• C•••••• S•••••••• I•••Jan 20, 2023 · Control person joined · fact
- P••••••• C•••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Mar 21, 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
- Website
- partcapservices.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 631-851-0918reportedpublic record, Form ADV, Feb 27, 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
- $8.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026