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SEC-registered adviser

A•••••• E••••••• I•••

Asset manager (funds and pooled vehicles)Melville, New YorkCRD 13452SEC 801-15504IAPD
Latest filing Mar 10, 2026
First filing on the tape Jan 6, 2012 · 18 filings
SEC status approved since Oct 6, 1980
RAUM
$272M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 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$272M as of Mar 10, 2026
Jan 6, 2012$185M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 10, 2026
Jan 6, 20120 then
Employees (5.A)4 as of Mar 10, 2026
Jan 4, 20133 then
Private funds: no history
RAUM +7.4% over the last fiscal year-10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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)
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$272MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • is a broker-dealer (6.A.1)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$272M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••••• D•••• J•• · Chief Executive Officer And Chief Compliance Officercontrol
        since 01/1981 · owns 75% or more
      • D•• A•••••• K••••••• · Secretary
        since 02/2023 · owns less than 5%
      • R••••••••• M••••• D•••• · Vice President/ Asst. Compliance Officer
        since 02/2023 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 3 to 4
        Mar 31, 2025 to Mar 10, 2026
      • Discretionary RAUM · $253M to $272M
        Mar 31, 2025 to Mar 10, 2026
      • RAUM · $253M to $272M
        Mar 31, 2025 to Mar 10, 2026
      • Employees · 5 to 4
        Mar 1, 2024 to Mar 31, 2025
      • Financial planning clients · unset to
        Mar 1, 2024 to Mar 31, 2025
      • Discretionary RAUM · $326M to $253M
        Mar 1, 2024 to Mar 31, 2025
      • RAUM · $326M to $253M
        Mar 1, 2024 to Mar 31, 2025
      • Discretionary RAUM · $379M to $326M
        May 22, 2023 to Mar 1, 2024
      • RAUM · $379M to $326M
        May 22, 2023 to Mar 1, 2024
      • Employees · 4 to 5
        Mar 18, 2022 to May 22, 2023
      • Discretionary RAUM · $456M to $379M
        Mar 18, 2022 to May 22, 2023
      • RAUM · $456M to $379M
        Mar 18, 2022 to May 22, 2023
      • Advisory employees · 2 to 3
        Mar 22, 2021 to Mar 18, 2022
      • BD registered reps · 2 to 3
        Mar 22, 2021 to Mar 18, 2022
      • Discretionary RAUM · $428M to $456M
        Mar 22, 2021 to Mar 18, 2022
      • RAUM · $428M to $456M
        Mar 22, 2021 to Mar 18, 2022
      • Employees · 3 to 4
        Feb 14, 2020 to Mar 22, 2021
      • Discretionary RAUM · $234M to $428M
        Feb 14, 2020 to Mar 22, 2021
      • RAUM · $234M to $428M
        Feb 14, 2020 to Mar 22, 2021
      • Other offices · 1 to 0
        Jan 18, 2019 to Feb 14, 2020
      • Discretionary RAUM · $174M to $234M
        Jan 18, 2019 to Feb 14, 2020
      • RAUM · $174M to $234M
        Jan 18, 2019 to Feb 14, 2020
      • Discretionary RAUM · $213M to $174M
        Jan 12, 2018 to Jan 18, 2019
      • RAUM · $213M to $174M
        Jan 12, 2018 to Jan 18, 2019
      • Other offices · unset to 1.0
        Jan 18, 2017 to Jan 12, 2018
      • Discretionary RAUM · $182M to $213M
        Jan 18, 2017 to Jan 12, 2018
      • RAUM · $182M to $213M
        Jan 18, 2017 to Jan 12, 2018
      • Discretionary RAUM · $179M to $182M
        Jan 11, 2016 to Jan 18, 2017
      • RAUM · $179M to $182M
        Jan 11, 2016 to Jan 18, 2017
      • Discretionary RAUM · $176M to $179M
        Jan 6, 2015 to Jan 11, 2016
      • RAUM · $176M to $179M
        Jan 6, 2015 to Jan 11, 2016
      • BD registered reps · 3 to 2
        Jan 24, 2014 to Jan 6, 2015
      • Discretionary RAUM · $175M to $176M
        Jan 24, 2014 to Jan 6, 2015
      • RAUM · $175M to $176M
        Jan 24, 2014 to Jan 6, 2015
      • Discretionary RAUM · $150M to $175M
        Jan 4, 2013 to Jan 16, 2014
      • RAUM · $150M to $175M
        Jan 4, 2013 to Jan 16, 2014
      • Advisory employees · unset to 2.0
        Sep 21, 2012 to Jan 4, 2013
      • BD registered reps · unset to 3.0
        Sep 21, 2012 to Jan 4, 2013
      • Employees · unset to 3.0
        Sep 21, 2012 to Jan 4, 2013
      • Discretionary RAUM · $185M to $150M
        Sep 21, 2012 to Jan 4, 2013
      Signals
      1 dated events
      • A•••••• E••••••• I••• reported RAUM $427.8M, up 82% from $234.5M (2020-02-14 to 2021-03-22)
        Mar 22, 2021 · RAUM change · derived
      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
      631-423-7373reportedpublic record, Form ADV, Mar 10, 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
      Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026