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
4••••••• F•••••••• G•••• I•••
Latest filing Jan 5, 2026
First filing on the tape Mar 19, 2012 · 27 filings
SEC status approved since Apr 2, 2012
RAUM
$214M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
80%
$171M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$42.9M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$214M as of Jan 5, 2026
Mar 6, 2013$55.0M then
HNW client RAUM$5.0M as of Jan 3, 2019
Jan 5, 2018$5.0M then
State-registered IARs (5.B.3)5 as of Jan 5, 2026
Mar 6, 20137 then
Employees (5.A)6 as of Jan 5, 2026
Mar 6, 20139 then
Private funds: no history
RAUM +20% over the last fiscal year+21% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Jan 5, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $42.9MderivedRAUM 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
- $246,657derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 5.G
- Wrap fee program
- $209MreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- 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
- Individuals$171M80%
- Pension and profit-sharing plans$37.4M17%
- Corporations and businesses$5.9M2.8%
- Individual clients
- 297reported
- HNW clients
- n/areported
- Pension plan clients
- 42reported
- Charitable clients
- n/areported
- Accounts
- 869reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• B•••• M••••• | Syosset, Ny | Jun 1, 2012 | 23 y | 2 |
| M••••• E••••• L•••••Chartered Financial Consultant | Syosset, Ny | Jul 6, 2012 | 42 y | 2 |
| D••••• R•••••• M••••• | Syosset, Ny | Apr 30, 2018 | 14 y | 0 |
| M••••• P•••••••• | Syosset, Ny | Dec 23, 2024 | 14 y | 0 |
| J•••• M•••••• A•••••• | Miami Shores, Fl | May 30, 2025 | 11 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
- M•••••• C•••••• D•••••• to 5• C•••••• M••••••••• L••Feb 26, 2021 · RIA to RIA
- M•••••• F•••••• E••• to A••••••• P••••••••• A•••••••• I••May 31, 2017 · Other
- P••••••• L• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Sep 1, 2016 · Other
- S••• A••••• K••••• to A•• F••••••••• L••Nov 12, 2015 · Other
- C•••••• M•••••• M••••• to A••••••• P••••••••• A•••••••• I••Oct 31, 2014 · Other
Joined, latest
- J•••• M•••••• A•••••• from P•••••••• S••••••••• I•••May 30, 2025 · Affiliated broker-dealer or bank to independent RIA
- C•••••• M•••••• M••••• from P••• A••••• S••••••••• L••Feb 4, 2014 · Other
- S••• A••••• K••••• from L•• F•••••••• L••Oct 17, 2013 · Other
- M•••••• F•••••• E••• from H•••••• T••••••• • K•••• L••May 7, 2013 · Other
- M••••• E••••• L••••• from A••••••• P••••••••• A•••••••• I••Jul 6, 2012 · Other
- J•••• B•••• M••••• from A••••••• P••••••••• A•••••••• I••Jun 1, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• M•••••• E••••• · Chief Marketing Officer, Shareholdercontrolsince 12/2010 · owns 25% to 50%
- M•••••• D•••••• R•••••• · Chief Financial Officer, Investor Relations Officer, Shareholdercontrolsince 06/2020 · owns 25% to 50%
- M•••••• J••••• B•••• · Chief Executive Officer, Chief Compliance Officer, Chief Investment Officer, Shareholdercontrolsince 12/2010 · owns 25% to 50%
Related persons
Schedule D 7.A
- 4••••••• F•••••••• G•••• I•••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Syosset, Ny · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 828 to 869Jan 3, 2025 to Jan 5, 2026
- Advisory employees · 4 to 5Jan 3, 2025 to Jan 5, 2026
- Individual clients · 276 to 297Jan 3, 2025 to Jan 5, 2026
- Pension plan clients · 33 to 42Jan 3, 2025 to Jan 5, 2026
- Employees · 5 to 6Jan 3, 2025 to Jan 5, 2026
- State-registered IARs · 4 to 5Jan 3, 2025 to Jan 5, 2026
- Discretionary RAUM · $174M to $209MJan 3, 2025 to Jan 5, 2026
- Individual RAUM · $134M to $171MJan 3, 2025 to Jan 5, 2026
- Non-discretionary RAUM · $4.0M to $5.4MJan 3, 2025 to Jan 5, 2026
- Pension RAUM · $40.0M to $37.4MJan 3, 2025 to Jan 5, 2026
- RAUM · $178M to $214MJan 3, 2025 to Jan 5, 2026
- Wrap assets (manager) · $174M to $0Jan 3, 2025 to Jan 5, 2026
- Wrap assets (sponsor) · $174M to $0Jan 3, 2025 to Jan 5, 2026
- Accounts · 757 to 828Jun 25, 2024 to Jan 3, 2025
- Corporate clients · 1 to 5Jun 25, 2024 to Jan 3, 2025
- Individual clients · 266 to 276Jun 25, 2024 to Jan 3, 2025
- Pension plan clients · 35 to 33Jun 25, 2024 to Jan 3, 2025
- Financial planning clients · 1-10 to 1-10Jun 25, 2024 to Jan 3, 2025
- Discretionary RAUM · $143M to $174MJun 25, 2024 to Jan 3, 2025
- Individual RAUM · $117M to $134MJun 25, 2024 to Jan 3, 2025
- Non-discretionary RAUM · $3.5M to $4.0MJun 25, 2024 to Jan 3, 2025
- Pension RAUM · $26.3M to $40.0MJun 25, 2024 to Jan 3, 2025
- RAUM · $147M to $178MJun 25, 2024 to Jan 3, 2025
- Wrap assets (manager) · $143M to $174MJun 25, 2024 to Jan 3, 2025
- Wrap assets (sponsor) · $143M to $174MJun 25, 2024 to Jan 3, 2025
- Accounts · 701 to 757Jan 4, 2023 to Jan 3, 2024
- Advisory employees · 5 to 4Jan 4, 2023 to Jan 3, 2024
- Corporate clients · 5 to 1Jan 4, 2023 to Jan 3, 2024
- Individual clients · 295 to 266Jan 4, 2023 to Jan 3, 2024
- Pension plan clients · 40 to 35Jan 4, 2023 to Jan 3, 2024
- Employees · 6 to 5Jan 4, 2023 to Jan 3, 2024
- Financial planning clients · 11-25 to 1-10Jan 4, 2023 to Jan 3, 2024
- State-registered IARs · 5 to 4Jan 4, 2023 to Jan 3, 2024
- Discretionary RAUM · $116M to $143MJan 4, 2023 to Jan 3, 2024
- Individual RAUM · $97.9M to $117MJan 4, 2023 to Jan 3, 2024
- Non-discretionary RAUM · $3.8M to $3.5MJan 4, 2023 to Jan 3, 2024
- Pension RAUM · $19.0M to $26.3MJan 4, 2023 to Jan 3, 2024
- RAUM · $120M to $147MJan 4, 2023 to Jan 3, 2024
- Wrap assets (manager) · $116M to $143MJan 4, 2023 to Jan 3, 2024
- Wrap assets (sponsor) · $116M to $143MJan 4, 2023 to Jan 3, 2024
Signals
1 dated events
- Craig Brian Mackey (Chairman, Shareholder) no longer on Schedule A of 4••••••• F•••••••• G•••• I••• (listed 2024-01-03, absent 2024-06-25)Jun 25, 2024 · Control person left · inference
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
- info@4tfg.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-300-1617reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/3043702reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-300-1617reportedpublic record, Form ADV, Jan 5, 2026
- Team page
- 4tfg.com/managementreportedpublished 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
- $42.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026