DFX Intelligence

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H••••• • C•••••• W••••• M••••••••• L••

Independent wealth managerSEC-registered· Uniondale, New Yorkwebsite

Independent wealth manager, based in Uniondale, New York, reporting $93.9M of regulatory assets across 5 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $93.9M
Advisors: 5
Net advisor flow, 12 months: 0
RAUM change, 1 year: -2.2%
Private clients: 85%

See where advisers went See teams that moved

Advisors (5)Where the RAUM sits

As of 2026-03-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 25 Mar 2026, RAUM $96.1M to $93.9M (-2.2%) on the Form ADV filed 25 Mar 2026, while offices fell 1 to 0.

Every filed figure, and the identifiersCRD 144884 · SEC 801-77007 · 33 filingsShow

CRD 144884SEC 801-77007First filing on the tape Aug 1, 2012, latest Mar 25, 2026SEC status approved since Aug 14, 2012IAPD

RAUM

$93.9M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

85%

$80.3M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$18.8M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

33 filings and snapshots on the tape

RAUM +5.7% a year over three years · the tape starts Aug 1, 2012

Peer group: Independent wealth managers, under $100M, 707 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$93.9M as of Mar 25, 2026

Feb 13, 2013$38.0M then

HNW client RAUM$66.5M as of Mar 25, 2026

Feb 22, 2018$30.4M then

State-registered IARs (5.B.3)5 as of Mar 25, 2026

Feb 13, 20133 then

Employees (5.A)6 as of Mar 25, 2026

Feb 13, 20135 then

Private funds: no history

RAUM -2.2% over the last fiscal year+5.7% a year over threeIARs 5 to 5offices 1 to 0

Practice profile

derived from the filing of Mar 25, 2026; every figure names its basis

Archetypes

HNW wealth manager

The rule behind each archetype, and every derived figure1 ruleShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent

RAUM per advisor: $18.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 13derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.0MderivedHNW RAUM over HNW clients
Average account: $869,661derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.2derivedItem 5.A over advisors
Advisors per office: 5.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: -2.2%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -47%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Wrap fee program: $93.9MreportedItem 5.I
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

71% high-net-worth individuals, 15% individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$66.5M71%
Individuals$13.7M15%
Pension and profit-sharing plans$11.7M12%
Corporations and businesses$1.9M2.1%

Individual clients: 41reported
HNW clients: 22reported
Pension plan clients: 6reported
Charitable clients: n/areported
Accounts: 108reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 85% private clients, 0% pooled funds, 12% institutions; a related broker-dealer; no related bank; 600% of advisors also broker-dealer representativesderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

I•• I••••• R••••• from E•••••••• A•••••••• L••
Mar 10, 2021 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Advisors registered through the firm

5 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
M•••••• J••• L••••••	Uniondale, Ny	Dec 17, 2009	40 y	0
J•••• J••••• A•••••••	Uniondale, Ny	Jan 13, 2020	37 y	1
F•••••• P•••••• G•••••	Uniondale, Ny	Jan 14, 2020	46 y	1
I•• I••••• R•••••Certified Financial Planner	New York City, Ny	Mar 10, 2021	22 y	1
E••••• J••• S••••••	Uniondale, Ny	Nov 10, 2021	39 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A•••••••• J••••• J••••• · Senior Vice President/ Svp Tradingcontrol
since 09/2007 · owns less than 5%
G•••••• F••••••• P•••••• · Managing Membercontrol
since 09/2007 · owns 75% or more
G••••••••• M••••• T••••• · Chief Compliance Officer/Director Of Operationscontrol
since 08/2018 · owns less than 5%
F••••••• R•••••• A•••••• · Chief Financial Officer
since 09/2007 · owns less than 5%

Ownership changes

2 Schedule A changes between consecutive filings, latest first

Added M•••• G••••••••• T••••• · Chief Compliance Officer/Director of Operations control
filing of Sep 12, 2018, against Apr 5, 2018 · owns under 5%
Removed M•••••• L•••••• J••• · Managing Director/Chief Compliance Officer control
filing of Sep 12, 2018, against Apr 5, 2018 · owns under 5%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

Related persons

Schedule D 7.A

H••••• • C•••••• L••
broker-dealern

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Uniondale, Ny · principal	4	0	0

Offices

Schedule D 1.F, the 25 largest

, 1 employee

ADV anomalies

1 against comparable advisers; where to look, not conclusions

client count collapseChange between filings · filing Mar 25, 2026
individual and HNW clients (Item 5.D) moved from 118.0 to 63.0 (-47.0%) between the annual amendments of 2025-03-13 and 2026-03-25; the peer median change was 0.0% (117 comparable advisers, 7.0th percentile of changes)
peers: independent wealth managers, under $100M (117) · 6.9% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 122 to 108
Mar 13, 2025 to Mar 25, 2026
Advisory employees · 5 to 3
Mar 13, 2025 to Mar 25, 2026
Corporate clients · unset to 2.0
Mar 13, 2025 to Mar 25, 2026
HNW clients · 53 to 22
Mar 13, 2025 to Mar 25, 2026
Individual clients · 65 to 41
Mar 13, 2025 to Mar 25, 2026

Full history · 80 changes

Pension plan clients · unset to 6.0
Mar 13, 2025 to Mar 25, 2026
Other offices · 1 to 0
Mar 13, 2025 to Mar 25, 2026
Discretionary RAUM · $95.9M to $93.9M
Mar 13, 2025 to Mar 25, 2026
HNW RAUM · $72.3M to $66.5M
Mar 13, 2025 to Mar 25, 2026
Individual RAUM · $13.3M to $13.7M
Mar 13, 2025 to Mar 25, 2026
Non-discretionary RAUM · $176,073 to $0
Mar 13, 2025 to Mar 25, 2026
Pension RAUM · $5.7M to $11.7M
Mar 13, 2025 to Mar 25, 2026
RAUM · $96.1M to $93.9M
Mar 13, 2025 to Mar 25, 2026
Accounts · 142 to 122
Feb 12, 2025 to Mar 13, 2025
HNW clients · 34 to 53
Feb 12, 2025 to Mar 13, 2025
Individual clients · 97 to 65
Feb 12, 2025 to Mar 13, 2025
Pension plan clients · 7.0 to unset
Feb 12, 2025 to Mar 13, 2025
Financial planning clients · 0 to 0
Feb 12, 2025 to Mar 13, 2025
Discretionary RAUM · $90.8M to $95.9M
Feb 12, 2025 to Mar 13, 2025
HNW RAUM · $58.9M to $72.3M
Feb 12, 2025 to Mar 13, 2025
Individual RAUM · $17.5M to $13.3M
Feb 12, 2025 to Mar 13, 2025
Non-discretionary RAUM · $166,369 to $176,073
Feb 12, 2025 to Mar 13, 2025
Pension RAUM · $7.8M to $5.7M
Feb 12, 2025 to Mar 13, 2025
RAUM · $90.9M to $96.1M
Feb 12, 2025 to Mar 13, 2025
Wrap assets (manager) · unset to 0.0
Feb 28, 2024 to Dec 10, 2024
Wrap assets (sponsor) · unset to 0.0
Feb 28, 2024 to Dec 10, 2024
Accounts · 159 to 142
May 16, 2023 to Feb 28, 2024
Individual clients · 84 to 97
May 16, 2023 to Feb 28, 2024
Discretionary RAUM · $79.4M to $90.8M
May 16, 2023 to Feb 28, 2024
HNW RAUM · $48.7M to $58.9M
May 16, 2023 to Feb 28, 2024
Individual RAUM · $17.4M to $17.5M
May 16, 2023 to Feb 28, 2024
Non-discretionary RAUM · $143,713 to $166,369
May 16, 2023 to Feb 28, 2024
Pension RAUM · $6.9M to $7.8M
May 16, 2023 to Feb 28, 2024
RAUM · $79.5M to $90.9M
May 16, 2023 to Feb 28, 2024
Accounts · 167 to 159
Mar 16, 2022 to Mar 27, 2023
Advisory employees · 6 to 5
Mar 16, 2022 to Mar 27, 2023
BD registered reps · 7 to 6
Mar 16, 2022 to Mar 27, 2023
HNW clients · 31 to 34
Mar 16, 2022 to Mar 27, 2023
Individual clients · 73 to 84
Mar 16, 2022 to Mar 27, 2023
Pension plan clients · unset to 7.0
Mar 16, 2022 to Mar 27, 2023
Employees · 7 to 6
Mar 16, 2022 to Mar 27, 2023
State-registered IARs · 6 to 5
Mar 16, 2022 to Mar 27, 2023
Discretionary RAUM · $111M to $79.4M
Mar 16, 2022 to Mar 27, 2023
HNW RAUM · $75.0M to $48.7M
Mar 16, 2022 to Mar 27, 2023
Individual RAUM · $21.3M to $17.4M
Mar 16, 2022 to Mar 27, 2023
Non-discretionary RAUM · $714,808 to $143,713
Mar 16, 2022 to Mar 27, 2023
Pension RAUM · $3.5M to $6.9M
Mar 16, 2022 to Mar 27, 2023
RAUM · $112M to $79.5M
Mar 16, 2022 to Mar 27, 2023
Accounts · 69 to 167
Dec 8, 2021 to Mar 16, 2022
Advisory employees · 5 to 6
Dec 8, 2021 to Mar 16, 2022
BD registered reps · 6 to 7
Dec 8, 2021 to Mar 16, 2022
HNW clients · 26 to 31
Dec 8, 2021 to Mar 16, 2022
Individual clients · 41 to 73
Dec 8, 2021 to Mar 16, 2022
Employees · 6 to 7
Dec 8, 2021 to Mar 16, 2022
State-registered IARs · 5 to 6
Dec 8, 2021 to Mar 16, 2022
Discretionary RAUM · $40.3M to $111M
Dec 8, 2021 to Mar 16, 2022
HNW RAUM · $28.6M to $75.0M
Dec 8, 2021 to Mar 16, 2022
Individual RAUM · $7.3M to $21.3M
Dec 8, 2021 to Mar 16, 2022
Non-discretionary RAUM · $579,296 to $714,808
Dec 8, 2021 to Mar 16, 2022
Pension RAUM · $2.8M to $3.5M
Dec 8, 2021 to Mar 16, 2022
RAUM · $40.9M to $112M
Dec 8, 2021 to Mar 16, 2022
Advisory employees · 7 to 5
Aug 24, 2021 to Dec 6, 2021
BD registered reps · 8 to 6
Aug 24, 2021 to Dec 6, 2021
Employees · 8 to 6
Aug 24, 2021 to Dec 6, 2021
Other offices · 2 to 1
Mar 23, 2021 to Aug 24, 2021
Accounts · 89 to 69
Jun 30, 2020 to Mar 23, 2021
Advisory employees · 6 to 7
Jun 30, 2020 to Mar 23, 2021
BD registered reps · 7 to 8
Jun 30, 2020 to Mar 23, 2021
HNW clients · 35 to 26
Jun 30, 2020 to Mar 23, 2021
Individual clients · 27 to 41
Jun 30, 2020 to Mar 23, 2021
Employees · 7 to 8
Jun 30, 2020 to Mar 23, 2021
Other offices · 1 to 2
Jun 30, 2020 to Mar 23, 2021
Discretionary RAUM · $35.1M to $40.3M
Jun 30, 2020 to Mar 23, 2021
HNW RAUM · $26.2M to $28.6M
Jun 30, 2020 to Mar 23, 2021
Individual RAUM · $3.0M to $7.3M
Jun 30, 2020 to Mar 23, 2021
Non-discretionary RAUM · $650,054 to $579,296
Jun 30, 2020 to Mar 23, 2021
Pension RAUM · $4.6M to $2.8M
Jun 30, 2020 to Mar 23, 2021
RAUM · $35.7M to $40.9M
Jun 30, 2020 to Mar 23, 2021
Accounts · 95 to 89
Oct 28, 2019 to Mar 12, 2020
HNW clients · 45 to 35
Oct 28, 2019 to Mar 12, 2020

Signals

1 dated events

••• Locked
Aug 1, 2012 · 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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (2) · the addresses open with an account

2 earlier addresses on Form ADV filings, the earliest seen Apr 2, 2013

How to reach

public business contact points only, each with its source

Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 25, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 25, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $18.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026