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
N•••••••• F•••••••• A••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Mar 23, 2012 · 18 filings
SEC status approved since Jun 24, 2010
RAUM
$62.4M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$61.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$62.4M
derived; firm RAUM over IAPD count
Employees
1
1 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$62.4M as of Mar 16, 2026
Mar 23, 2012$39.1M then
HNW client RAUM$59.3M as of Mar 16, 2026
Mar 14, 2018$25.3M then
State-registered IARs (5.B.3)1 as of Mar 16, 2026
Mar 23, 20120 then
Employees (5.A)1 as of Mar 16, 2026
Mar 11, 20131 then
Private funds: no history
RAUM +16% over the last fiscal year+30% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $62.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$59.3M95%
- Individuals$1.7M2.8%
- Pension and profit-sharing plans$1.4M2.2%
- Individual clients
- 8reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 54reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••••• S•••• | Northport, Ny | Jul 13, 2021 | 35 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
- S••••• D••••••• · Managing Member/ Chief Compliance Officercontrolsince 04/2008 · owns 75% or more
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
- Accounts · 51 to 54Mar 11, 2025 to Mar 16, 2026
- HNW clients · 25 to 27Mar 11, 2025 to Mar 16, 2026
- Discretionary RAUM · $52.6M to $61.0MMar 11, 2025 to Mar 16, 2026
- HNW RAUM · $51.2M to $59.3MMar 11, 2025 to Mar 16, 2026
- Individual RAUM · $1.1M to $1.7MMar 11, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $1.2M to $1.4MMar 11, 2025 to Mar 16, 2026
- Pension RAUM · $1.5M to $1.4MMar 11, 2025 to Mar 16, 2026
- RAUM · $53.8M to $62.4MMar 11, 2025 to Mar 16, 2026
- Accounts · 57 to 51Mar 13, 2024 to Mar 11, 2025
- HNW clients · 31 to 25Mar 13, 2024 to Mar 11, 2025
- Individual clients · 12 to 8Mar 13, 2024 to Mar 11, 2025
- Financial planning clients · 0 to 0Mar 13, 2024 to Mar 11, 2025
- HQ city · unset to Mar 13, 2024 to Mar 11, 2025
- HQ state · unset to Mar 13, 2024 to Mar 11, 2025
- Discretionary RAUM · $44.0M to $52.6MMar 13, 2024 to Mar 11, 2025
- HNW RAUM · $29.5M to $51.2MMar 13, 2024 to Mar 11, 2025
- Individual RAUM · $14.3M to $1.1MMar 13, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $1.2M to $1.2MMar 13, 2024 to Mar 11, 2025
- Pension RAUM · $1.4M to $1.5MMar 13, 2024 to Mar 11, 2025
- RAUM · $45.2M to $53.8MMar 13, 2024 to Mar 11, 2025
- Accounts · 67 to 57Mar 14, 2023 to Mar 13, 2024
- HNW clients · 28 to 31Mar 14, 2023 to Mar 13, 2024
- Individual clients · 10 to 12Mar 14, 2023 to Mar 13, 2024
- Pension plan clients · 5.0 to unsetMar 14, 2023 to Mar 13, 2024
- Discretionary RAUM · $27.6M to $44.0MMar 14, 2023 to Mar 13, 2024
- HNW RAUM · $13.1M to $29.5MMar 14, 2023 to Mar 13, 2024
- Individual RAUM · $12.3M to $14.3MMar 14, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $800,561 to $1.2MMar 14, 2023 to Mar 13, 2024
- Pension RAUM · $3.1M to $1.4MMar 14, 2023 to Mar 13, 2024
- RAUM · $28.4M to $45.2MMar 14, 2023 to Mar 13, 2024
- Accounts · 70 to 67Mar 4, 2022 to Mar 14, 2023
- HNW clients · 32 to 28Mar 4, 2022 to Mar 14, 2023
- Individual clients · 12 to 10Mar 4, 2022 to Mar 14, 2023
- Discretionary RAUM · $47.1M to $27.6MMar 4, 2022 to Mar 14, 2023
- HNW RAUM · $42.3M to $13.1MMar 4, 2022 to Mar 14, 2023
- Individual RAUM · $1.6M to $12.3MMar 4, 2022 to Mar 14, 2023
- Non-discretionary RAUM · $1.2M to $800,561Mar 4, 2022 to Mar 14, 2023
- Pension RAUM · $4.4M to $3.1MMar 4, 2022 to Mar 14, 2023
- RAUM · $48.3M to $28.4MMar 4, 2022 to Mar 14, 2023
- Accounts · 68 to 70Mar 16, 2021 to Mar 4, 2022
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
- (516)991-8348reportedpublic record, Form ADV, Mar 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
- $62.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026