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
R••••••• C••••••••• S••••••• L••
Latest filing Aug 5, 2026
First filing on the tape Mar 8, 2012 · 19 filings
SEC status approved since Jun 30, 2006
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$0 as of Aug 5, 2026
Mar 4, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Aug 5, 2026
Jun 15, 20120 then
Employees (5.A)7 as of Aug 5, 2026
May 16, 20136 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Aug 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 52reported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 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••••• S•••• R••••••• | Hicksville, Ny | Aug 5, 2021 | 36 y | 0 |
| T•••• G••••• R••••••• | Hicksville, Ny | Feb 7, 2024 | 11 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
- R•••••••• T•••••• S•••• · President/Chief Compliance Officercontrolsince 05/2005 · 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 |
|---|---|---|---|---|---|
| Hicksville, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Pension plan clients · 59 to 52Mar 4, 2025 to Mar 12, 2026
- Employees · 6 to 7Mar 4, 2025 to Mar 12, 2026
- Accounts · unset to 0.0Mar 5, 2024 to Mar 4, 2025
- Pension plan clients · 51 to 59Mar 5, 2024 to Mar 4, 2025
- Financial planning clients · unset to Mar 5, 2024 to Mar 4, 2025
- Discretionary RAUM · unset to 0.0Mar 5, 2024 to Mar 4, 2025
- Non-discretionary RAUM · unset to 0.0Mar 5, 2024 to Mar 4, 2025
- Pension RAUM · unset to 0.0Mar 5, 2024 to Mar 4, 2025
- RAUM · unset to 0.0Mar 5, 2024 to Mar 4, 2025
- Advisory employees · 5 to 4Mar 20, 2023 to Mar 5, 2024
- Pension plan clients · 46 to 51Mar 20, 2023 to Mar 5, 2024
- Employees · 7 to 6Mar 20, 2023 to Mar 5, 2024
- State-registered IARs · 1 to 2Mar 20, 2023 to Mar 5, 2024
- Pension RAUM · 0.0 to unsetMar 20, 2023 to Mar 5, 2024
- Pension plan clients · 68 to 46Dec 9, 2022 to Mar 20, 2023
- Employees · 6 to 7Dec 9, 2022 to Mar 20, 2023
- Advisory employees · 4 to 5May 21, 2021 to Jun 22, 2022
- Employees · 5 to 6May 21, 2021 to Jun 22, 2022
- Pension plan clients · 54 to 68May 26, 2020 to May 21, 2021
- Employees · 6 to 5May 26, 2020 to May 21, 2021
- Pension plan clients · 52 to 54Jun 5, 2019 to May 14, 2020
- Employees · 7 to 6Jun 5, 2019 to May 14, 2020
- Pension plan clients · 46 to 52Jun 15, 2018 to Jun 5, 2019
- Pension plan clients · unset to 46.0Jun 21, 2017 to Jun 15, 2018
- Employees · 5 to 7Jun 21, 2017 to Jun 15, 2018
- Other offices · unset to 0.0Jun 21, 2017 to Jun 15, 2018
- Pension RAUM · unset to 0.0Jun 21, 2017 to Jun 15, 2018
- Advisory employees · 3 to 4May 12, 2015 to Apr 19, 2016
- Employees · 6 to 5May 16, 2013 to Apr 28, 2014
- Advisory employees · unset to 3.0Jun 15, 2012 to May 16, 2013
- Employees · unset to 6.0Jun 15, 2012 to May 16, 2013
- HQ city · JERICHO to HICKSVILLEJun 15, 2012 to May 16, 2013
- State-registered IARs · 0 to 1Jun 15, 2012 to May 16, 2013
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
- 212-742-1616reportedpublic record, Form ADV, Aug 5, 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
- No RAUM reportedderiveda 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