DFX Intelligence
RIA Intelligence
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SEC-registered adviser
R• S••••• W••••• M••••••••• L••
Latest filing Feb 12, 2026
First filing on the tape Jun 15, 2021 · 22 filings
SEC status approved since Jul 15, 2021
RAUM
$72.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$71.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$72.1M
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
22 filings and snapshots on the tape
RAUM$72.1M as of Feb 12, 2026
Feb 1, 2022$40.2M then
HNW client RAUM$56.3M as of Feb 12, 2026
Feb 1, 2022$24.5M then
State-registered IARs (5.B.3)1 as of Feb 12, 2026
Feb 1, 20221 then
Employees (5.A)1 as of Feb 12, 2026
Feb 1, 20221 then
Private funds: no history
RAUM +15% over the last fiscal year+23% a year over threeIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Feb 12, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $72.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%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
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $144MreportedItem 5.I
- Custody
- $9.3M, 3 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$56.3M78%
- Individuals$15.3M21%
- Charitable organizations$548,0300.8%
- Individual clients
- 36reported
- HNW clients
- 30reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 67reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $72.1M sponsored, $0 managedreported
- Custody of client assets
- $9.3M for 3 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| R•••••• T• S•••••Certified Financial Planner | Lindenhurst, Ny | Aug 9, 2021 | 32 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•••••• R••••••• T••••• · President/Chief Compliance Officercontrolsince 10/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Lindenhurst, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 63 to 67Aug 21, 2025 to Feb 12, 2026
- HNW clients · 20 to 30Aug 21, 2025 to Feb 12, 2026
- Individual clients · 42 to 36Aug 21, 2025 to Feb 12, 2026
- Assets in custody · $9.1M to $9.3MAug 21, 2025 to Feb 12, 2026
- Discretionary RAUM · $62.7M to $72.1MAug 21, 2025 to Feb 12, 2026
- HNW RAUM · $41.4M to $56.3MAug 21, 2025 to Feb 12, 2026
- Individual RAUM · $20.9M to $15.3MAug 21, 2025 to Feb 12, 2026
- RAUM · $62.7M to $72.1MAug 21, 2025 to Feb 12, 2026
- Wrap assets (sponsor) · $0 to $72.1MAug 21, 2025 to Feb 12, 2026
- Other offices · 1 to 0Apr 22, 2025 to Aug 21, 2025
- Financial planning clients · 26-50 to 26-50Feb 14, 2025 to Apr 22, 2025
- Accounts · 62 to 63Feb 15, 2024 to Feb 14, 2025
- Individual clients · 41 to 42Feb 15, 2024 to Feb 14, 2025
- Assets in custody · $10.1M to $9.1MFeb 15, 2024 to Feb 14, 2025
- Financial planning clients · 51-100 to 26-50Feb 15, 2024 to Feb 14, 2025
- Discretionary RAUM · $56.9M to $62.7MFeb 15, 2024 to Feb 14, 2025
- HNW RAUM · $39.9M to $41.4MFeb 15, 2024 to Feb 14, 2025
- Individual RAUM · $16.7M to $20.9MFeb 15, 2024 to Feb 14, 2025
- RAUM · $56.9M to $62.7MFeb 15, 2024 to Feb 14, 2025
- Accounts · 59 to 62Aug 28, 2023 to Feb 15, 2024
- HNW clients · 19 to 20Aug 28, 2023 to Feb 15, 2024
- Individual clients · 39 to 41Aug 28, 2023 to Feb 15, 2024
- Assets in custody · $8.5M to $10.1MAug 28, 2023 to Feb 15, 2024
- Financial planning clients · 26-50 to 51-100Aug 28, 2023 to Feb 15, 2024
- Discretionary RAUM · $39.1M to $56.9MAug 28, 2023 to Feb 15, 2024
- HNW RAUM · $24.7M to $39.9MAug 28, 2023 to Feb 15, 2024
- Individual RAUM · $14.1M to $16.7MAug 28, 2023 to Feb 15, 2024
- RAUM · $39.1M to $56.9MAug 28, 2023 to Feb 15, 2024
- Assets in custody · $0 to $8.5MMar 28, 2023 to Aug 21, 2023
- Custody of client assets · false to trueMar 28, 2023 to Aug 21, 2023
- Accounts · 53 to 59Nov 30, 2022 to Feb 24, 2023
- HNW clients · 15 to 19Nov 30, 2022 to Feb 24, 2023
- Individual clients · 37 to 39Nov 30, 2022 to Feb 24, 2023
- Discretionary RAUM · $40.2M to $39.1MNov 30, 2022 to Feb 24, 2023
- HNW RAUM · $24.5M to $24.7MNov 30, 2022 to Feb 24, 2023
- Individual RAUM · $15.7M to $14.1MNov 30, 2022 to Feb 24, 2023
- RAUM · $40.2M to $39.1MNov 30, 2022 to Feb 24, 2023
- Accounts · 52 to 53Jan 3, 2022 to Feb 1, 2022
- Discretionary RAUM · $39.9M to $40.2MJan 3, 2022 to Feb 1, 2022
- HNW RAUM · $25.1M to $24.5MJan 3, 2022 to Feb 1, 2022
Signals
1 dated events
- R• S••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 15, 2021 · 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
- Principal office phone
- 631-592-9729reportedpublic record, Form ADV, Feb 12, 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
- $72.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026