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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

T•••• F•••••••• A•••••••• L••

Former SEC-registered adviserBethpage, New YorkCRD 143998SEC 801-67935IAPD
Latest filing Mar 12, 2019
First filing on the tape Mar 13, 2012 · 19 filings
RAUM
$203M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$201M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
3 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$203M as of Mar 12, 2019
Mar 13, 2012$124M then
HNW client RAUM$119M as of Mar 12, 2019
Feb 5, 2018$137M then
State-registered IARs (5.B.3)3 as of Mar 12, 2019
Mar 13, 20120 then
Employees (5.A)8 as of Mar 12, 2019
Feb 19, 20138 then
Private funds: no history
RAUM -6.7% over the last fiscal year+3.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 12, 2019; every figure names its basis
RAUM per advisor
$67.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
111derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$260,537derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-6.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.9%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, 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$119M59%
  • Individuals$81.3M40%
  • Pension and profit-sharing plans$2.7M1.3%
Individual clients
268reported
HNW clients
66reported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
781reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P••••••••• J••••• J••••• · Chief Operations Officer And Chief Investment Officercontrol
      since 02/2007 · owns 10% to 25%
    • P••••••••• J••••• · Managing Member/Chief Executive Officer/Chief Compliance Officercontrol
      since 02/2007 · owns 25% to 50%
    • P••••••••• S••••• L••• · Vice Presidentcontrol
      since 02/2007 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    • T•••• F•••••••• S•••••• I•••
      real estaten
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 767 to 781
      Feb 5, 2018 to Mar 12, 2019
    • HNW clients · 73 to 66
      Feb 5, 2018 to Mar 12, 2019
    • Individual clients · 258 to 268
      Feb 5, 2018 to Mar 12, 2019
    • Discretionary RAUM · $218M to $203M
      Feb 5, 2018 to Mar 12, 2019
    • HNW RAUM · $137M to $119M
      Feb 5, 2018 to Mar 12, 2019
    • Individual RAUM · $79.1M to $81.3M
      Feb 5, 2018 to Mar 12, 2019
    • Pension RAUM · $2.3M to $2.7M
      Feb 5, 2018 to Mar 12, 2019
    • RAUM · $218M to $203M
      Feb 5, 2018 to Mar 12, 2019
    • Accounts · 475 to 767
      Jun 19, 2017 to Feb 5, 2018
    • Advisory employees · 4 to 3
      Jun 19, 2017 to Feb 5, 2018
    • HNW clients · unset to 73.0
      Jun 19, 2017 to Feb 5, 2018
    • Individual clients · unset to 258.0
      Jun 19, 2017 to Feb 5, 2018
    • Pension plan clients · unset to 2.0
      Jun 19, 2017 to Feb 5, 2018
    • State-registered IARs · 4 to 3
      Jun 19, 2017 to Feb 5, 2018
    • Other offices · unset to 0.0
      Jun 19, 2017 to Feb 5, 2018
    • Discretionary RAUM · $192M to $218M
      Jun 19, 2017 to Feb 5, 2018
    • HNW RAUM · unset to 136778236.0
      Jun 19, 2017 to Feb 5, 2018
    • Individual RAUM · unset to 79062892.0
      Jun 19, 2017 to Feb 5, 2018
    • Non-discretionary RAUM · $869,739 to $0
      Jun 19, 2017 to Feb 5, 2018
    • Pension RAUM · unset to 2257706.0
      Jun 19, 2017 to Feb 5, 2018
    • RAUM · $193M to $218M
      Jun 19, 2017 to Feb 5, 2018
    • Accounts · 742 to 475
      Feb 23, 2016 to Mar 8, 2017
    • Discretionary RAUM · $186M to $192M
      Feb 23, 2016 to Mar 8, 2017
    • Non-discretionary RAUM · $0 to $869,739
      Feb 23, 2016 to Mar 8, 2017
    • RAUM · $186M to $193M
      Feb 23, 2016 to Mar 8, 2017
    • Accounts · 717 to 742
      Sep 29, 2015 to Jan 29, 2016
    • Employees · 7 to 8
      Sep 29, 2015 to Jan 29, 2016
    • State-registered IARs · 3 to 4
      Sep 29, 2015 to Jan 29, 2016
    • Discretionary RAUM · $178M to $186M
      Sep 29, 2015 to Jan 29, 2016
    • RAUM · $178M to $186M
      Sep 29, 2015 to Jan 29, 2016
    • Accounts · 432 to 717
      Oct 3, 2014 to Feb 19, 2015
    • Advisory activities · 6 to 5
      Oct 3, 2014 to Feb 19, 2015
    • Employees · 8 to 7
      Oct 3, 2014 to Feb 19, 2015
    • Financial planning clients · 0 to 51-100
      Oct 3, 2014 to Feb 19, 2015
    • Discretionary RAUM · $163M to $178M
      Oct 3, 2014 to Feb 19, 2015
    • RAUM · $163M to $178M
      Oct 3, 2014 to Feb 19, 2015
    • BD registered reps · 6 to 0
      Mar 7, 2014 to Apr 10, 2014
    • State-registered IARs · 2 to 3
      Mar 7, 2014 to Apr 10, 2014
    • Discretionary RAUM · $159M to $163M
      Mar 7, 2014 to Apr 10, 2014
    • RAUM · $159M to $163M
      Mar 7, 2014 to Apr 10, 2014
    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.
    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
    Former SEC-registered adviserderiveda 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