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
P•••••• C••••• A•••• M••••••••• I•••
Latest filing Apr 16, 2026
First filing on the tape Mar 16, 2012 · 23 filings
SEC status approved since Apr 5, 2012
RAUM
$181M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$181M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$90.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$181M as of Apr 16, 2026
Mar 6, 2013$54.0M then
HNW client RAUM$120M as of Apr 16, 2026
Jan 5, 2018$39.9M then
State-registered IARs (5.B.3)2 as of Apr 16, 2026
Mar 6, 20131 then
Employees (5.A)2 as of Apr 16, 2026
Mar 6, 20131 then
Private funds: no history
RAUM +12% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $90.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 122derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $282,278derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -27%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$120M66%
- Individuals$61.0M34%
- Individual clients
- 152reported
- HNW clients
- 92reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 642reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• L•• D•••••Certified Financial Planner, Chartered Financial Consultant | Massapequa, Ny | Sep 13, 2011 | 28 y | 0 |
| T••• M•••••• D••••••Certified Financial Planner | Massapequa, Ny | Jun 12, 2015 | 29 y | 1 |
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
- T••• M•••••• D•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 12, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• J•••••• L•• · President/Chief Compliance Officercontrolsince 03/2008 · 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 |
|---|---|---|---|---|---|
| Massapequa, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- c•••••s down average size upCombination · filing Apr 16, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $162,089,312 to $181,222,268, advisors 2 to 2, private clients 333 to 244, offices 0 to 0 (2025-01-03 to 2026-04-16)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 538 to 642Jan 3, 2025 to Feb 19, 2026
- HNW clients · 195 to 92Jan 3, 2025 to Feb 19, 2026
- Individual clients · 138 to 152Jan 3, 2025 to Feb 19, 2026
- Discretionary RAUM · $162M to $181MJan 3, 2025 to Feb 19, 2026
- HNW RAUM · $113M to $120MJan 3, 2025 to Feb 19, 2026
- Individual RAUM · $48.6M to $61.0MJan 3, 2025 to Feb 19, 2026
- RAUM · $162M to $181MJan 3, 2025 to Feb 19, 2026
- Accounts · 524 to 538Jun 3, 2024 to Jan 3, 2025
- HNW clients · 190 to 195Jun 3, 2024 to Jan 3, 2025
- Individual clients · 134 to 138Jun 3, 2024 to Jan 3, 2025
- Financial planning clients · 1-10 to 1-10Jun 3, 2024 to Jan 3, 2025
- Discretionary RAUM · $134M to $162MJun 3, 2024 to Jan 3, 2025
- HNW RAUM · $97.1M to $113MJun 3, 2024 to Jan 3, 2025
- Individual RAUM · $37.4M to $48.6MJun 3, 2024 to Jan 3, 2025
- RAUM · $134M to $162MJun 3, 2024 to Jan 3, 2025
- HQ city · GARDEN CITY to MASSAPEQUAJan 26, 2024 to Jun 3, 2024
- Accounts · 708 to 524Jan 9, 2023 to Jan 26, 2024
- HNW clients · 185 to 190Jan 9, 2023 to Jan 26, 2024
- Individual clients · 135 to 134Jan 9, 2023 to Jan 26, 2024
- Discretionary RAUM · $108M to $134MJan 9, 2023 to Jan 26, 2024
- HNW RAUM · $73.4M to $97.1MJan 9, 2023 to Jan 26, 2024
- Individual RAUM · $35.0M to $37.4MJan 9, 2023 to Jan 26, 2024
- RAUM · $108M to $134MJan 9, 2023 to Jan 26, 2024
- Accounts · 659 to 708Jan 14, 2022 to Jan 9, 2023
- Discretionary RAUM · $126M to $108MJan 14, 2022 to Jan 9, 2023
- HNW RAUM · $90.6M to $73.4MJan 14, 2022 to Jan 9, 2023
- RAUM · $126M to $108MJan 14, 2022 to Jan 9, 2023
- Accounts · 607 to 659Jan 8, 2021 to Jan 14, 2022
- HNW clients · 175 to 185Jan 8, 2021 to Jan 14, 2022
- Individual clients · 125 to 135Jan 8, 2021 to Jan 14, 2022
- Discretionary RAUM · $101M to $126MJan 8, 2021 to Jan 14, 2022
- HNW RAUM · $71.1M to $90.6MJan 8, 2021 to Jan 14, 2022
- Individual RAUM · $30.0M to $35.0MJan 8, 2021 to Jan 14, 2022
- RAUM · $101M to $126MJan 8, 2021 to Jan 14, 2022
- Accounts · 551 to 607May 7, 2020 to Jan 8, 2021
- Discretionary RAUM · $82.5M to $101MMay 7, 2020 to Jan 8, 2021
- HNW RAUM · $52.5M to $71.1MMay 7, 2020 to Jan 8, 2021
- RAUM · $82.5M to $101MMay 7, 2020 to Jan 8, 2021
- Accounts · 519 to 551Jan 11, 2019 to Jan 8, 2020
- Discretionary RAUM · $66.8M to $82.5MJan 11, 2019 to Jan 8, 2020
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
- Business email
- j•@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-280-4622reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-280-4623reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-280-4625reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-280-4622reportedpublic record, Form ADV, Apr 16, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $90.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026