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
F•••••••• F•••••••• A••••••• I•••
Latest filing Feb 17, 2026
First filing on the tape Feb 23, 2012 · 27 filings
SEC status approved since Apr 12, 2010
RAUM
$108M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$108M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$36.1M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$108M as of Feb 17, 2026
Feb 23, 2012$28.9M then
HNW client RAUM$95.5M as of Feb 17, 2026
Mar 8, 2018$34.1M then
State-registered IARs (5.B.3)3 as of Feb 17, 2026
Feb 23, 20120 then
Employees (5.A)3 as of Feb 17, 2026
Mar 5, 20131 then
Private funds: no history
RAUM +21% over the last fiscal year+20% a year over threeIARs 2 to 3offices 0 to 1
Practice profile
derived from the filing of Feb 17, 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
- 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
- RAUM per advisor
- $36.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $647,626derivedRAUM 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
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- High-net-worth individuals$95.5M88%
- Individuals$12.7M12%
- Individual clients
- 24reported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 167reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| L••• A•• K••••Certified Financial Planner, Personal Financial Specialist | Rocky Point, Ny | Jun 23, 2021 | 20 y | 0 |
| A•••••• A••• V••••••• | Tampa, Fl | Nov 20, 2021 | 12 y | 0 |
| A••••• E•••••••• W•••• | Rocky Point, Ny | Feb 25, 2025 | 15 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• L•••• A•• · President/Chief Compliance Officercontrolsince 12/2010 · 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 |
|---|---|---|---|---|---|
| Rocky Point, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 155 to 167Nov 14, 2025 to Feb 17, 2026
- Advisory employees · 2 to 3Nov 14, 2025 to Feb 17, 2026
- HNW clients · 31 to 34Nov 14, 2025 to Feb 17, 2026
- Individual clients · 25 to 24Nov 14, 2025 to Feb 17, 2026
- State-registered IARs · 2 to 3Nov 14, 2025 to Feb 17, 2026
- Discretionary RAUM · $89.3M to $108MNov 14, 2025 to Feb 17, 2026
- HNW RAUM · $76.2M to $95.5MNov 14, 2025 to Feb 17, 2026
- Individual RAUM · $13.1M to $12.7MNov 14, 2025 to Feb 17, 2026
- RAUM · $89.3M to $108MNov 14, 2025 to Feb 17, 2026
- Financial planning clients · 26-50 to 26-50Mar 24, 2025 to May 5, 2025
- Other offices · 0 to 1Mar 24, 2025 to May 5, 2025
- Accounts · 152 to 155Feb 26, 2024 to Feb 2, 2025
- Advisory employees · 3 to 2Feb 26, 2024 to Feb 2, 2025
- HNW clients · 30 to 31Feb 26, 2024 to Feb 2, 2025
- Employees · 4 to 3Feb 26, 2024 to Feb 2, 2025
- State-registered IARs · 3 to 2Feb 26, 2024 to Feb 2, 2025
- Discretionary RAUM · $78.5M to $89.3MFeb 26, 2024 to Feb 2, 2025
- HNW RAUM · $66.9M to $76.2MFeb 26, 2024 to Feb 2, 2025
- Individual RAUM · $11.6M to $13.1MFeb 26, 2024 to Feb 2, 2025
- RAUM · $78.5M to $89.3MFeb 26, 2024 to Feb 2, 2025
- Accounts · 148 to 152Mar 4, 2023 to Feb 24, 2024
- HNW clients · 24 to 30Mar 4, 2023 to Feb 24, 2024
- Individual clients · 29 to 25Mar 4, 2023 to Feb 24, 2024
- Discretionary RAUM · $61.8M to $78.5MMar 4, 2023 to Feb 24, 2024
- HNW RAUM · $49.1M to $66.9MMar 4, 2023 to Feb 24, 2024
- Individual RAUM · $12.7M to $11.6MMar 4, 2023 to Feb 24, 2024
- RAUM · $61.8M to $78.5MMar 4, 2023 to Feb 24, 2024
- Related insurance company · true to falseMar 4, 2023 to Feb 24, 2024
- Accounts · 118 to 148Oct 28, 2022 to Feb 17, 2023
- Advisory employees · 2 to 3Oct 28, 2022 to Feb 17, 2023
- HNW clients · 23 to 24Oct 28, 2022 to Feb 17, 2023
- Individual clients · 17 to 29Oct 28, 2022 to Feb 17, 2023
- Employees · 2 to 4Oct 28, 2022 to Feb 17, 2023
- State-registered IARs · 2 to 3Oct 28, 2022 to Feb 17, 2023
- Discretionary RAUM · $62.4M to $61.8MOct 28, 2022 to Feb 17, 2023
- HNW RAUM · $53.1M to $49.1MOct 28, 2022 to Feb 17, 2023
- Individual RAUM · $9.3M to $12.7MOct 28, 2022 to Feb 17, 2023
- RAUM · $62.4M to $61.8MOct 28, 2022 to Feb 17, 2023
- Accounts · 126 to 118Mar 3, 2021 to Feb 26, 2022
- Advisory employees · 1 to 2Mar 3, 2021 to Feb 26, 2022
Signals
No event on the tape.
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 phone
- 631-981-1904reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.f•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 631-981-1904reportedpublic record, Form ADV, Feb 17, 2026
- Contact form
- f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $36.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026