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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T•• M••••••••• A••••••• I•••
Latest filing Jan 8, 2026
First filing on the tape Jan 5, 2012 · 35 filings
SEC status approved since May 12, 2011
RAUM
$91.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
35 filings and snapshots on the tape
RAUM$91.0M as of Jan 8, 2026
Jan 5, 2012$38.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 8, 2026
Jan 5, 20120 then
Employees (5.A)2 as of Jan 8, 2026
Mar 1, 20132 then
Private funds: no history
RAUM +0.0% over the last fiscal year-0.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 8, 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
- $91.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $91.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$91.0M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- L•••••• B•••••••• to I•••••• A••••••• L••Oct 21, 2023 · Other
Joined, latest
- L•••••• B•••••••• from S•••• A••••• W••••• M••••••••• L••Sep 14, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• L••• R••••• · Portfolio Managercontrolsince 10/2023 · owns less than 5%
- N•••••• V•••• J•• · Presidentcontrolsince 10/1998 · owns less than 5%
- N•••••• V•••• J•• · Presidentcontrolsince 08/1996 · owns 75% or more of M••••••••• P••••••••• L••
- M•••••• J•••• M•••• · Portfolio Managersince 07/2017 · owns less than 5%
- P••••• B••••• O• · Chief Compliance Officersince 10/2023 · owns less than 5%
Entity owners
- M••••••••• P••••••••• L•• · Shareholderdirect · 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 |
|---|---|---|---|---|---|
| Harrison, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Jul 1, 2024 to Jan 10, 2025
- HQ city · unset to Jul 1, 2024 to Jan 10, 2025
- HQ state · unset to Jul 1, 2024 to Jan 10, 2025
- Employees · 3 to 2Oct 21, 2023 to Jul 1, 2024
- Discretionary RAUM · $91.3M to $91.0MOct 21, 2023 to Jul 1, 2024
- RAUM · $91.3M to $91.0MOct 21, 2023 to Jul 1, 2024
- Discretionary RAUM · $103M to $91.3MApr 15, 2022 to Mar 6, 2023
- RAUM · $103M to $91.3MApr 15, 2022 to Mar 6, 2023
- Discretionary RAUM · $95.1M to $103MOct 22, 2021 to Jan 9, 2022
- RAUM · $95.1M to $103MOct 22, 2021 to Jan 9, 2022
- Discretionary RAUM · $83.1M to $95.1MFeb 26, 2021 to Oct 22, 2021
- RAUM · $83.1M to $95.1MFeb 26, 2021 to Oct 22, 2021
- Related broker-dealer · true to falseFeb 26, 2021 to Oct 22, 2021
- State-registered IARs · 0 to 1Jun 25, 2020 to Feb 11, 2021
- Discretionary RAUM · $78.2M to $83.1MJun 25, 2020 to Feb 11, 2021
- RAUM · $78.2M to $83.1MJun 25, 2020 to Feb 11, 2021
- Discretionary RAUM · $70.2M to $78.2MAug 13, 2019 to Jan 12, 2020
- RAUM · $70.2M to $78.2MAug 13, 2019 to Jan 12, 2020
- Discretionary RAUM · $65.7M to $70.2MFeb 18, 2019 to Aug 13, 2019
- RAUM · $65.7M to $70.2MFeb 18, 2019 to Aug 13, 2019
- Financial planning clients · unset to 0Jun 5, 2018 to Feb 18, 2019
- Discretionary RAUM · $65.8M to $65.7MJun 5, 2018 to Feb 18, 2019
- RAUM · $65.8M to $65.7MJun 5, 2018 to Feb 18, 2019
- BD registered reps · 0 to 1Jan 9, 2018 to Jun 5, 2018
- Discretionary RAUM · $68.9M to $65.8MJan 9, 2018 to Jun 5, 2018
- RAUM · $68.9M to $65.8MJan 9, 2018 to Jun 5, 2018
- Employees · 2 to 3Jun 30, 2017 to Jan 9, 2018
- Other offices · unset to 0.0Jun 30, 2017 to Jan 9, 2018
- Discretionary RAUM · $0 to $68.9MJun 30, 2017 to Jan 9, 2018
- Non-discretionary RAUM · $59.0M to $0Jun 30, 2017 to Jan 9, 2018
- RAUM · $59.0M to $68.9MJun 30, 2017 to Jan 9, 2018
- Non-discretionary RAUM · $53.0M to $59.0MJan 27, 2016 to Jan 31, 2017
- RAUM · $53.0M to $59.0MJan 27, 2016 to Jan 31, 2017
- Non-discretionary RAUM · $54.0M to $53.0MFeb 3, 2015 to Jan 27, 2016
- RAUM · $54.0M to $53.0MFeb 3, 2015 to Jan 27, 2016
- Discretionary RAUM · $45.0M to $0Feb 4, 2014 to Feb 3, 2015
- Non-discretionary RAUM · $0 to $54.0MFeb 4, 2014 to Feb 3, 2015
- RAUM · $45.0M to $54.0MFeb 4, 2014 to Feb 3, 2015
- Accounts · 3,000 to 1Oct 2, 2013 to Feb 4, 2014
- Discretionary RAUM · $0 to $45.0MOct 2, 2013 to Feb 4, 2014
Signals
2 dated events
- L•••••• B•••••••• left T•• M••••••••• A••••••• I••• for I•••••• A••••••• L•• (registered 2023-05-19)Oct 21, 2023 · a•••••• firm change · fact
- Reiner Lee Nelson (Portfolio Manager) appeared on Schedule A of T•• M••••••••• A••••••• I•••Oct 4, 2023 · Control person joined · 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
- 914-925-0022 X 110reportedpublic record, Form ADV, Jan 8, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026