DFX Intelligence
RIA Intelligence
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SEC-registered adviser
H••••• P•••••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 27, 2012 · 20 filings
SEC status approved since Jan 9, 2004
RAUM
$186M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$175M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$92.9M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$186M as of Mar 30, 2026
Mar 27, 2012$80.0M then
HNW client RAUM$160M as of Mar 30, 2026
Mar 20, 2018$105M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 27, 20120 then
Employees (5.A)5 as of Mar 30, 2026
Mar 26, 20136 then
Private funds: no history
RAUM +6.9% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $92.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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$160M86%
- Individuals$15.4M8.3%
- Charitable organizations$10.5M5.6%
- Individual clients
- 39reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 85reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• Y••Certified Financial Planner | Garrison, Ny | Oct 12, 2007 | 24 y | 0 |
| B•••• S••••••••• S•••••• | Garrison, Ny | Sep 7, 2021 | 40 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
- S••••••• B••••• S••••••••• · Managing Membercontrolsince 12/2003 · owns 75% or more
- Y••• T••••• · Chief Financial Officer, Chief Compliance Officercontrolsince 03/2008 · owns 10% to 25%
Related persons
Schedule D 7.A
- H••••• F•••••••• G••••• I•••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Garrison, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 87 to 85Mar 18, 2025 to Mar 30, 2026
- Advisory employees · 6 to 5Mar 18, 2025 to Mar 30, 2026
- Individual clients · 41 to 39Mar 18, 2025 to Mar 30, 2026
- Assets in custody · unset to 172297.0Mar 18, 2025 to Mar 30, 2026
- Employees · 6 to 5Mar 18, 2025 to Mar 30, 2026
- Discretionary RAUM · $174M to $186MMar 18, 2025 to Mar 30, 2026
- HNW RAUM · $146M to $160MMar 18, 2025 to Mar 30, 2026
- Individual RAUM · $15.2M to $15.4MMar 18, 2025 to Mar 30, 2026
- RAUM · $174M to $186MMar 18, 2025 to Mar 30, 2026
- Accounts · 84 to 87Mar 20, 2024 to Mar 18, 2025
- Charity clients · 2.0 to unsetMar 20, 2024 to Mar 18, 2025
- HNW clients · 41 to 44Mar 20, 2024 to Mar 18, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 18, 2025
- Discretionary RAUM · $146M to $174MMar 20, 2024 to Mar 18, 2025
- HNW RAUM · $127M to $146MMar 20, 2024 to Mar 18, 2025
- Individual RAUM · $14.9M to $15.2MMar 20, 2024 to Mar 18, 2025
- RAUM · $146M to $174MMar 20, 2024 to Mar 18, 2025
- Accounts · 253 to 84Nov 13, 2023 to Mar 20, 2024
- Advisory employees · 5 to 6Nov 13, 2023 to Mar 20, 2024
- Charity clients · unset to 2.0Nov 13, 2023 to Mar 20, 2024
- HNW clients · 42 to 41Nov 13, 2023 to Mar 20, 2024
- Individual clients · 44 to 41Nov 13, 2023 to Mar 20, 2024
- Employees · 5 to 6Nov 13, 2023 to Mar 20, 2024
- Discretionary RAUM · $130M to $146MNov 13, 2023 to Mar 20, 2024
- HNW RAUM · $113M to $127MNov 13, 2023 to Mar 20, 2024
- Individual RAUM · $14.4M to $14.9MNov 13, 2023 to Mar 20, 2024
- RAUM · $130M to $146MNov 13, 2023 to Mar 20, 2024
- Accounts · 250 to 253Mar 31, 2022 to Mar 17, 2023
- Advisory employees · 4 to 5Mar 31, 2022 to Mar 17, 2023
- Individual clients · 42 to 44Mar 31, 2022 to Mar 17, 2023
- Employees · 4 to 5Mar 31, 2022 to Mar 17, 2023
- Discretionary RAUM · $153M to $130MMar 31, 2022 to Mar 17, 2023
- HNW RAUM · $131M to $113MMar 31, 2022 to Mar 17, 2023
- Individual RAUM · $15.8M to $14.4MMar 31, 2022 to Mar 17, 2023
- RAUM · $153M to $130MMar 31, 2022 to Mar 17, 2023
- Accounts · 251 to 250May 27, 2021 to Mar 31, 2022
- Advisory employees · 6 to 4May 27, 2021 to Mar 31, 2022
- Charity clients · 2.0 to unsetMay 27, 2021 to Mar 31, 2022
- Individual clients · 40 to 42May 27, 2021 to Mar 31, 2022
- Employees · 6 to 4May 27, 2021 to Mar 31, 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
- Principal office phone
- 845-424-4567reportedpublic record, Form ADV, Mar 30, 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
- $92.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026