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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Former SEC-registered adviser

B••••••• • J••••• A•••••••• L••

Former SEC-registered adviserEast Islip, New YorkCRD 165351SEC 801-77165IAPD
Latest filing Nov 4, 2015
First filing on the tape Sep 12, 2012 · 16 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 1, 2015
Feb 11, 20130 then
Employees (5.A)5 as of Jun 1, 2015
Feb 11, 20131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Nov 4, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, pension consulting, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D••••• T•••••• · Chief Compliance Officercontrol
    since 08/2012 · owns 50% to 75%
  • M•••••••• B•••• · Presidentcontrol
    since 03/2015 · owns 50% to 75%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory activities · 2 to 3
    Jul 21, 2015 to Nov 4, 2015
  • Financial planning clients · unset to 1-10
    Apr 13, 2015 to Apr 15, 2015
  • Advisory employees · 1 to 4
    Mar 23, 2015 to Apr 13, 2015
  • BD registered reps · 1 to 4
    Mar 23, 2015 to Apr 13, 2015
  • Employees · 1 to 5
    Mar 23, 2015 to Apr 13, 2015
  • Related broker-dealer · false to true
    Mar 23, 2015 to Apr 13, 2015
  • HQ city · NEW YORK to EAST ISLIP
    Feb 5, 2015 to Feb 26, 2015
  • Advisory employees · unset to 1.0
    Oct 23, 2012 to Jan 23, 2013
  • BD registered reps · unset to 1.0
    Oct 23, 2012 to Jan 23, 2013
  • Employees · unset to 1.0
    Oct 23, 2012 to Jan 23, 2013
  • State-registered IARs · unset to 0.0
    Oct 23, 2012 to Jan 23, 2013
Signals
1 dated events
  • B••••••• • J••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Sep 12, 2012 · 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.
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
Former SEC-registered adviserderiveda 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