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
U••••• F•••••••• P••••••• G•••• L••
Latest filing May 13, 2026
First filing on the tape Apr 30, 2018 · 26 filings
SEC status approved since May 28, 2018
RAUM
$347M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$347M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$86.9M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$347M as of May 13, 2026
Mar 15, 2019$80.2M then
HNW client RAUM$313M as of May 13, 2026
Mar 15, 2019$59.7M then
State-registered IARs (5.B.3)4 as of May 13, 2026
Mar 15, 20191 then
Employees (5.A)8 as of May 13, 2026
Mar 15, 20191 then
Private funds: no history
RAUM +14% over the last fiscal year+22% a year over threeIARs 4 to 4offices 4 to 5
Practice profile
derived from the filing of May 13, 2026; every figure names its basis
- RAUM per advisor
- $86.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$313M90%
- Individuals$34.5M9.9%
- Individual clients
- 76reported
- HNW clients
- 112reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 188reported
- Financial planning clients
- 101-250reported
- 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=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• B•••••••Certified Financial Planner | Hauppauge, Ny | Jul 15, 2021 | 18 y | 0 |
| C•••••••• A•• B•••••Certified Financial Planner | Whitestone, Ny | Apr 7, 2022 | 10 y | 0 |
| R••• M•••••• D•••••••••Certified Financial Planner | Huntington Station, Ny | Jan 17, 2023 | 11 y | 0 |
| J••• E•••••• V•••••Certified Financial Planner, Chartered Financial Consultant | Hauppauge, Ny | Jun 6, 2025 | 13 y | 4 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- A••• A• N••• to N• F•••••••• P••••Oct 13, 2025 · RIA to a newly registered adviser
Joined, latest
- J••• E•••••• V••••• from M••••• A•••••••Jun 6, 2025 · RIA to RIA
- A••• A• N••• from P••• A••••• S••••••••• L••Feb 14, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• G•••••• N•• · President/Chief Compliance Officercontrolsince 09/2007 · owns 75% or more
Related persons
Schedule D 7.A
- C•••••••• B•••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hauppauge, Ny · principal | 4 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Lake Success, NY1 employees
- New York, NY1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 190 to 188Jun 3, 2025 to Mar 31, 2026
- Advisory employees · 5 to 4Jun 3, 2025 to Mar 31, 2026
- HNW clients · 91 to 112Jun 3, 2025 to Mar 31, 2026
- Individual clients · 99 to 76Jun 3, 2025 to Mar 31, 2026
- Pension plan clients · 8 to 0Jun 3, 2025 to Mar 31, 2026
- State-registered IARs · 5 to 4Jun 3, 2025 to Mar 31, 2026
- Discretionary RAUM · $275M to $317MJun 3, 2025 to Mar 31, 2026
- HNW RAUM · $249M to $313MJun 3, 2025 to Mar 31, 2026
- Individual RAUM · $39.8M to $34.5MJun 3, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $30.7M to $30.5MJun 3, 2025 to Mar 31, 2026
- Pension RAUM · $8.5M to $0Jun 3, 2025 to Mar 31, 2026
- RAUM · $305M to $347MJun 3, 2025 to Mar 31, 2026
- Related insurance company · true to falseJun 3, 2025 to Mar 31, 2026
- Advisory employees · 4 to 5Mar 21, 2025 to Jun 3, 2025
- Employees · 7 to 8Mar 21, 2025 to Jun 3, 2025
- Financial planning clients · 101-250 to 101-250Mar 21, 2025 to Jun 3, 2025
- State-registered IARs · 4 to 5Mar 21, 2025 to Jun 3, 2025
- Other offices · 4 to 5Mar 21, 2025 to Jun 3, 2025
- Accounts · 732 to 190Oct 8, 2024 to Mar 21, 2025
- HNW clients · 67 to 91Oct 8, 2024 to Mar 21, 2025
- Individual clients · 126 to 99Oct 8, 2024 to Mar 21, 2025
- Pension plan clients · 0 to 8Oct 8, 2024 to Mar 21, 2025
- Employees · 8 to 7Oct 8, 2024 to Mar 21, 2025
- Financial planning clients · 251-500 to 101-250Oct 8, 2024 to Mar 21, 2025
- Discretionary RAUM · $206M to $275MOct 8, 2024 to Mar 21, 2025
- HNW RAUM · $178M to $249MOct 8, 2024 to Mar 21, 2025
- Individual RAUM · $66.2M to $39.8MOct 8, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $37.9M to $30.7MOct 8, 2024 to Mar 21, 2025
- Pension RAUM · $0 to $8.5MOct 8, 2024 to Mar 21, 2025
- RAUM · $244M to $305MOct 8, 2024 to Mar 21, 2025
- Advisory employees · 5 to 4Feb 7, 2024 to Oct 8, 2024
- State-registered IARs · 5 to 4Feb 7, 2024 to Oct 8, 2024
- Accounts · 166 to 732Nov 14, 2023 to Feb 7, 2024
- Corporate clients · unset to 0.0Nov 14, 2023 to Feb 7, 2024
- HNW clients · 58 to 67Nov 14, 2023 to Feb 7, 2024
- Individual clients · 166 to 126Nov 14, 2023 to Feb 7, 2024
- Employees · 7 to 8Nov 14, 2023 to Feb 7, 2024
- Financial planning clients · 101-250 to 251-500Nov 14, 2023 to Feb 7, 2024
- Discretionary RAUM · $177M to $206MNov 14, 2023 to Feb 7, 2024
- HNW RAUM · $145M to $178MNov 14, 2023 to Feb 7, 2024
Signals
2 dated events
- A••• A• N••• left U••••• F•••••••• P••••••• G•••• L•• for N• F•••••••• P•••• (registered 2025-07-25)Oct 13, 2025 · Advisor changed firm · fact
- U••••• F•••••••• P••••••• G•••• L•• filed its initial SEC registration (Form ADV)Apr 30, 2018 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 631-234-0871reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- thinkingcapfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (631) 234-0871reportedpublic record, Form ADV, May 13, 2026
- Contact form
- thinkingcapfinancial.com/contactreportedpublished 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
- $86.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026