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
L••••• R••• A•••• M••••••••• I•••
Latest filing Sep 2, 2026
First filing on the tape Jul 29, 2014 · 23 filings
SEC status approved since Aug 5, 2014
RAUM
$52.5M
reported, Item 5.F
Discretionary
50%
of RAUM
Private clients
100%
$52.5M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$26.3M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$50.3M as of Feb 7, 2026
Feb 17, 2015$27.7M then
HNW client RAUM$42.5M as of Feb 7, 2026
Feb 27, 2018$20.8M then
State-registered IARs (5.B.3)2 as of Feb 7, 2026
Feb 17, 20151 then
Employees (5.A)2 as of Feb 7, 2026
Feb 17, 20152 then
Private funds: no history
RAUM +21% over the last fiscal year+20% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 2, 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
- 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
- RAUM per advisor
- $26.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $662,603derivedHNW RAUM over HNW clients
- Average account
- $420,203derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 50%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 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
- +82%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$44.4M85%
- Individuals$8.1M15%
- Individual clients
- 57reported
- HNW clients
- 67reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 125reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- T••• M•••••• G•••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 22, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• T•••• M•••••• · President/Chief Compliance Officercontrolsince 05/2012 · 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 |
|---|---|---|---|---|---|
| Manhasset, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 120 to 125Feb 7, 2026 to Sep 2, 2026
- Corporate clients · 1 to 0Feb 7, 2026 to Sep 2, 2026
- HNW clients · 65 to 67Feb 7, 2026 to Sep 2, 2026
- Individual clients · 55 to 57Feb 7, 2026 to Sep 2, 2026
- Insurance-licensed employees · 1 to 2Feb 7, 2026 to Sep 2, 2026
- Financial planning clients · to unsetFeb 7, 2026 to Sep 2, 2026
- Discretionary RAUM · $25.1M to $26.5MFeb 7, 2026 to Sep 2, 2026
- HNW RAUM · $42.5M to $44.4MFeb 7, 2026 to Sep 2, 2026
- Individual RAUM · $7.4M to $8.1MFeb 7, 2026 to Sep 2, 2026
- Non-discretionary RAUM · $25.1M to $26.1MFeb 7, 2026 to Sep 2, 2026
- RAUM · $50.3M to $52.5MFeb 7, 2026 to Sep 2, 2026
- Related adviser · false to trueFeb 7, 2026 to Sep 2, 2026
- Succession · false to unsetFeb 7, 2026 to Sep 2, 2026
- HNW clients · 67 to 65Sep 19, 2025 to Feb 7, 2026
- Individual clients · 52 to 55Sep 19, 2025 to Feb 7, 2026
- Financial planning clients · 1-10 to Sep 19, 2025 to Feb 7, 2026
- Discretionary RAUM · $23.2M to $25.1MSep 19, 2025 to Feb 7, 2026
- HNW RAUM · $41.5M to $42.5MSep 19, 2025 to Feb 7, 2026
- Individual RAUM · $6.6M to $7.4MSep 19, 2025 to Feb 7, 2026
- Non-discretionary RAUM · $25.3M to $25.1MSep 19, 2025 to Feb 7, 2026
- RAUM · $48.5M to $50.3MSep 19, 2025 to Feb 7, 2026
- Accounts · 119 to 120Jan 29, 2025 to Sep 19, 2025
- Corporate clients · 0 to 1Jan 29, 2025 to Sep 19, 2025
- HNW clients · 29 to 67Jan 29, 2025 to Sep 19, 2025
- Individual clients · 37 to 52Jan 29, 2025 to Sep 19, 2025
- Discretionary RAUM · $21.3M to $23.2MJan 29, 2025 to Sep 19, 2025
- HNW RAUM · $38.3M to $41.5MJan 29, 2025 to Sep 19, 2025
- Individual RAUM · $5.3M to $6.6MJan 29, 2025 to Sep 19, 2025
- Non-discretionary RAUM · $22.2M to $25.3MJan 29, 2025 to Sep 19, 2025
- RAUM · $43.5M to $48.5MJan 29, 2025 to Sep 19, 2025
- HNW clients · 46 to 29Mar 4, 2024 to Jan 29, 2025
- Individual clients · 73 to 37Mar 4, 2024 to Jan 29, 2025
- Financial planning clients · 1-10 to 1-10Mar 4, 2024 to Jan 29, 2025
- Discretionary RAUM · $18.5M to $21.3MMar 4, 2024 to Jan 29, 2025
- HNW RAUM · $29.4M to $38.3MMar 4, 2024 to Jan 29, 2025
- Individual RAUM · $9.7M to $5.3MMar 4, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $20.7M to $22.2MMar 4, 2024 to Jan 29, 2025
- RAUM · $39.2M to $43.5MMar 4, 2024 to Jan 29, 2025
- Accounts · 118 to 119Feb 2, 2023 to Mar 4, 2024
- Corporate clients · 1 to 0Feb 2, 2023 to Mar 4, 2024
Signals
1 dated events
- L••••• R••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Jul 29, 2014 · 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 email
- i•••@l•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-767-1099reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-767-2072reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-245-0924reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- L•••••R•••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-767-1099reportedpublic record, Form ADV, Sep 2, 2026
- Team page
- l•••••••••.comreportedpublished 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
- $26.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026