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
O•• F•••• A••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Jul 21, 2021 · 6 filings
SEC status approved since Aug 23, 2021
RAUM
$30.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$28.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$30.6M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$30.6M as of Mar 20, 2026
Apr 18, 2022$30.5M then
HNW client RAUM$28.2M as of Mar 20, 2026
Apr 18, 2022$28.5M then
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Apr 18, 20220 then
Employees (5.A)1 as of Mar 20, 2026
Apr 18, 20221 then
Private funds: no history
RAUM +8.1% over the last fiscal year+0.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 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
- $30.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $502,082derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$28.2M92%
- Charitable organizations$2.1M6.8%
- Individuals$341,3501.1%
- Individual clients
- n/areported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 61reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• T••••• M••• | Setauket, Ny | May 3, 2021 | 22 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
- T••••• M•••• G••• · Principal/Ceo, Ccocontrolsince 01/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Melville, NY1 employees
- New York, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 58 to 61Mar 20, 2025 to Mar 20, 2026
- HNW clients · 8 to 10Mar 20, 2025 to Mar 20, 2026
- Discretionary RAUM · $28.3M to $30.6MMar 20, 2025 to Mar 20, 2026
- HNW RAUM · $24.6M to $28.2MMar 20, 2025 to Mar 20, 2026
- Individual RAUM · $1.7M to $341,350Mar 20, 2025 to Mar 20, 2026
- RAUM · $28.3M to $30.6MMar 20, 2025 to Mar 20, 2026
- Accounts · 55 to 58Apr 29, 2024 to Mar 20, 2025
- Financial planning clients · 11-25 to 11-25Apr 29, 2024 to Mar 20, 2025
- HQ city · unset to Apr 29, 2024 to Mar 20, 2025
- HQ state · unset to Apr 29, 2024 to Mar 20, 2025
- Discretionary RAUM · $26.2M to $28.3MApr 29, 2024 to Mar 20, 2025
- HNW RAUM · $23.1M to $24.6MApr 29, 2024 to Mar 20, 2025
- Individual RAUM · $1.0M to $1.7MApr 29, 2024 to Mar 20, 2025
- RAUM · $26.2M to $28.3MApr 29, 2024 to Mar 20, 2025
- Accounts · 58 to 55May 2, 2023 to Apr 29, 2024
- HNW clients · 12 to 8May 2, 2023 to Apr 29, 2024
- Individual clients · 3.0 to unsetMay 2, 2023 to Apr 29, 2024
- Discretionary RAUM · $26.6M to $26.2MMay 2, 2023 to Apr 29, 2024
- HNW RAUM · $25.0M to $23.1MMay 2, 2023 to Apr 29, 2024
- Individual RAUM · $1.6M to $1.0MMay 2, 2023 to Apr 29, 2024
- RAUM · $26.6M to $26.2MMay 2, 2023 to Apr 29, 2024
- Accounts · 53 to 58Apr 18, 2022 to May 2, 2023
- Discretionary RAUM · $30.5M to $26.6MApr 18, 2022 to May 2, 2023
- HNW RAUM · $28.5M to $25.0MApr 18, 2022 to May 2, 2023
- Individual RAUM · $2.1M to $1.6MApr 18, 2022 to May 2, 2023
- RAUM · $30.5M to $26.6MApr 18, 2022 to May 2, 2023
- Accounts · 52 to 53Jul 21, 2021 to Apr 18, 2022
- HNW clients · 13 to 12Jul 21, 2021 to Apr 18, 2022
- Individual clients · unset to 3.0Jul 21, 2021 to Apr 18, 2022
- HQ city · MELVILLE to unsetJul 21, 2021 to Apr 18, 2022
- HQ state · NY to unsetJul 21, 2021 to Apr 18, 2022
- Discretionary RAUM · $28.1M to $30.5MJul 21, 2021 to Apr 18, 2022
- HNW RAUM · $26.6M to $28.5MJul 21, 2021 to Apr 18, 2022
- Individual RAUM · $1.5M to $2.1MJul 21, 2021 to Apr 18, 2022
- RAUM · $28.1M to $30.5MJul 21, 2021 to Apr 18, 2022
- Related adviser · true to falseJul 21, 2021 to Apr 18, 2022
Signals
1 dated events
- O•• F•••• A••••••• L•• filed its initial SEC registration (Form ADV)Jul 21, 2021 · 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
- OLDF••••ADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 631-751-7230reportedpublic record, Form ADV, Mar 20, 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
- $30.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026