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
F•••• L••• I••••• I••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 1, 2013 · 28 filings
SEC status approved since Jul 13, 1984
RAUM
$1.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
63%
$1.2B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$266M
derived; firm RAUM over IAPD count
Employees
24
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.9B as of Mar 31, 2026
Apr 1, 2013$645M then
HNW client RAUM$1.1B as of Mar 31, 2026
Mar 29, 2018$452M then
State-registered IARs (5.B.3)7 as of Mar 31, 2026
Apr 1, 20130 then
Employees (5.A)24 as of Mar 31, 2026
Apr 1, 201310 then
Private funds9 as of Mar 31, 2026
Apr 1, 201312 then
RAUM +9.0% over the last fiscal year+11% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $266MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.4%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
- Custody
- $554M, 9 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B60%
- Pooled investment vehicles$569M31%
- Pension and profit-sharing plans$59.5M3.2%
- Individuals$57.8M3.1%
- Corporations and businesses$30.6M1.6%
- Charitable organizations$25.6M1.4%
- Individual clients
- 170reported
- HNW clients
- 325reported
- Pension plan clients
- 9reported
- Charitable clients
- 15reported
- Accounts
- 940reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $554M for 9 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.63 fund_share=0.31 institutional_share=0.05 related_bd=true related_bank=false bd_reps=8.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• P•••••• G•••••Certified Financial Planner | Jericho, Ny | Aug 24, 2021 | 20 y | 0 |
| P••••• W• M••••••• | Jericho, Ny | Aug 30, 2021 | 39 y | 1 |
| R••••• D••••• R•••••••• | Jericho, Ny | Aug 31, 2021 | 42 y | 0 |
| R•••• F•••••• P•••••••• | Jericho, Ny | Sep 8, 2021 | 42 y | 0 |
| W••••• X••••• L••••Chartered Financial Analyst | Jericho, Ny | Sep 9, 2021 | 12 y | 0 |
| E••••• C•••••• P•••••••• | Jericho, Ny | Sep 10, 2021 | 25 y | 0 |
| D•••• P••• K••••Chartered Financial Analyst | Jericho, Ny | May 3, 2023 | 12 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
- P••••• W• M••••••• from W••••••• R•••••••• M••••••••• I••Aug 30, 2021 · Other
Private funds
17 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•• P••••••• F•••• L••• | Hedge Fund | $214M | 91 | Mar 30, 2012 |
| F•• S••••• E••••• F•••• L••• | Hedge Fund | $116M | 64 | Mar 30, 2012 |
| F•• V•••• F•••• L••• | Hedge Fund | $75.4M | 47 | Mar 30, 2012 |
| F•• G••••• F•••• L••• | Hedge Fund | $72.6M | 47 | Mar 30, 2012 |
| F•• S••••• E••••• F••• I•• L••• | Hedge Fund | $39.2M | 32 | Mar 30, 2012 |
| F•• S••••••• R••••• F•••••• I•• L• | Other Private Fund | $19.5M | 37 | Mar 30, 2020 |
| F•• S••••••• R••••• F•••••• I••• L• | $13.9M | 42 | Mar 31, 2026 | |
| 1•••no longer reported | Hedge Fund | $6.7M | 15 | Mar 30, 2012 |
| F•• S••••••• R••••• F•••••• L• | Other Private Fund | $1.9M | 41 | Mar 29, 2016 |
| F•• P••••••••• F•••• L• | Private Equity Fund | $1.4M | 41 | Mar 31, 2017 |
| 1•••no longer reported | Private Equity Fund | $433,873 | 21 | Mar 30, 2012 |
| 1•••no longer reported | Real Estate Fund | $186,885 | 16 | Mar 30, 2012 |
| 1•••no longer reported | Real Estate Fund | $29,158 | 7 | Mar 30, 2012 |
| 1•••no longer reported | Real Estate Fund | $16,102 | 14 | Mar 30, 2012 |
| 1•••no longer reported | Private Equity Fund | $3,479 | 16 | Mar 30, 2012 |
| F•• F•••••••• P•••••••• L•no longer reported | Hedge Fund | $0 | 26 | Mar 31, 2014 |
| 1•••no longer reported | Real Estate Fund | $0 | 45 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• B••••• P•••••• · Senior Vice President - Private Wealth Managementcontrolsince 01/2022 · owns less than 5%
- G••••• J•••••••• A••••• · Senior Vice President, General Counsel And Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- J•••••• S••••••• J••••• · Executive Vice President And Chief Financial Officercontrolsince 12/2021 · owns less than 5%
- M•••••••• P•••••• W• · Executive Managing Director And Director Of Researchcontrolsince 01/2022 · owns less than 5%
- P••••••••• E•••••• C•••••• · Executive Managing Directorcontrolsince 01/2022 · owns less than 5%
- P••••••••• R••••• F•••••• · President And Chief Operating Officercontrolsince 06/1999 · owns less than 5%
- R••••••••• R•••••• D••••• · Manager, Chairman, Ceocontrolsince 07/2019 · owns less than 5%
- V••••• T••••••• C••••••••• · Senior Vice President, Finance & Administration And Chief Financial Officercontrolsince 07/2024 · owns less than 5%
- P••••••••• R••••• F•••••• · President And Chief Operating Officercontrolsince 06/1999 · owns 25% to 50% of F•••• L••• I••••• I••••••• H•••••••• I•••
- R••••••••• R•••••• D••••• · Chief Executive Officercontrolsince 08/1998 · owns 50% to 75% of F•••• L••• I••••• I••••••• H•••••••• I•••
Entity owners
- F•••• L••• I••••• I••••••• · Member Class A Interestsdirect · owns 75% or more
- F•••• L••• I••••• I••••••• H•••••••• I••• · Member Class A Interestsdirect · owns 75% or more
- B••••• H••••••• •••••••• L••• · Shareholderindirect · owns 75% or more of W• I••••••••• H••••••• L•••
- K••• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of K••• I••••••••• U•• L••
- K••• I••••••••• M••••••••• L•• · Memberindirect · owns 75% or more of K••• I••••••••• H•••••••• L••
- W•••• M•••••••• I•••••••• G••••• L••• · Shareholderindirect · owns 75% or more of B••••• H••••••• •••••••• L••• · public reporting company
- W• I••••••••• H••••••• L••• · Shareholderindirect · owns 75% or more of W• R••••• L•••
- W• R••••• L••• · Memberindirect · owns 75% or more of K••• I••••••••• M••••••••• L••
- K••• I••••••••• U•• L•• · Member Class I Interestsdirect · owns less than 5%
Related persons
Schedule D 7.A
- F•• F•••• M••••••••• C•• I•• L•pooled vehicle sponsory
- F•• F•••• M••••••••• C•• I••• L•pooled vehicle sponsory
- F•• F•••• M••••••••• C•• I•• L•pooled vehicle sponsory
- F•• F•••• M••••••••• C•• V• L•pooled vehicle sponsory
- F•• F•••• M••••••••• C•• V•• L•pooled vehicle sponsory
- F•• F•••• M••••••••• C•• V••• L•••pooled vehicle sponsory
- F•• F•••• M••••••••• C••• L•pooled vehicle sponsory
- F•••• L••• I••••• I••••••••• L••broker-dealerreal estatenRAUM $553M
- F•• M••••••••• C•••••••••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Jericho, Ny · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 31, 2026J•••••• S••••••• J••••• (EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2023-03-30 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 31, 2026V••••• T••••••• C••••••••• (SENIOR VICE PRESIDENT, FINANCE & ADMINISTRATION AND CHIEF FINANCIAL OFFICER) appeared on Schedule A between the filings of 2023-03-30 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 881 to 940Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 7 to 8Mar 31, 2025 to Mar 31, 2026
- Charity clients · 14 to 15Mar 31, 2025 to Mar 31, 2026
- HNW clients · 321 to 325Mar 31, 2025 to Mar 31, 2026
- Individual clients · 172 to 170Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 10 to 9Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 18 to 20Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $557M to $554MMar 31, 2025 to Mar 31, 2026
- Private funds · 11 to 9Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.7B to $1.9BMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $983M to $1.1BMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $57.6M to $57.8MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $51.1M to $59.5MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $567M to $569MMar 31, 2025 to Mar 31, 2026
- RAUM · $1.7B to $1.9BMar 31, 2025 to Mar 31, 2026
- Accounts · 818 to 881Mar 28, 2024 to Mar 31, 2025
- Advisory activities · 5 to 7Mar 28, 2024 to Mar 31, 2025
- Charity clients · 10 to 14Mar 28, 2024 to Mar 31, 2025
- Corporate clients · unset to 7.0Mar 28, 2024 to Mar 31, 2025
- HNW clients · 211 to 321Mar 28, 2024 to Mar 31, 2025
- Individual clients · 145 to 172Mar 28, 2024 to Mar 31, 2025
- Pension plan clients · 8 to 10Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 12 to 18Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $505M to $557MMar 28, 2024 to Mar 31, 2025
- Employees · 26 to 24Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.5B to $1.7BMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $775M to $983MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $155M to $57.6MMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $46.1M to $51.1MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $527M to $567MMar 28, 2024 to Mar 31, 2025
- RAUM · $1.5B to $1.7BMar 28, 2024 to Mar 31, 2025
- Accounts · 806 to 818Mar 30, 2023 to Mar 28, 2024
- BD registered reps · 6 to 7Mar 30, 2023 to Mar 28, 2024
- Corporate clients · 6.0 to unsetMar 30, 2023 to Mar 28, 2024
- HNW clients · 206 to 211Mar 30, 2023 to Mar 28, 2024
- Individual clients · 150 to 145Mar 30, 2023 to Mar 28, 2024
- Pension plan clients · 9 to 8Mar 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 13 to 12Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $436M to $505MMar 30, 2023 to Mar 28, 2024
Signals
6 dated events
- Alan Bruce Siegel (Executive Vice President General Counsel, Chief Compliance Officer) no longer on Schedule A of F•••• L••• I••••• I••••••••• L•• (listed 2022-03-30, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Andrew Jonathan Golub (Senior Vice President, General Counsel, And Chief Compliance Officer) appeared on Schedule A of F•••• L••• I••••• I••••••••• L••Mar 30, 2023 · Control person joined · fact
- W Philip Malakoff (Executive Managing Director And Director Of Research) appeared on Schedule A of F•••• L••• I••••• I••••••••• L••Mar 30, 2023 · Control person joined · fact
- Charles Edward Palleschi (Executive Managing Director) appeared on Schedule A of F•••• L••• I••••• I••••••••• L••Mar 30, 2023 · Control person joined · fact
- Phillip Brian Gamble (Senior Vice President - Private Wealth Management) appeared on Schedule A of F•••• L••• I••••• I••••••••• L••Mar 30, 2023 · Control person joined · fact
- F•••• L••• I••••• I••••••••• L•• reported RAUM $1.3B, up 30% from $1.0B (2019-11-20 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- F•••• L••• I••••• I••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- F•••• L••• I••••• I••••••••• L•• · Private Equityshared cik · organization
- F•••• L••• I••••• I••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 516-935-1200reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 516-935-1274reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 844-935-1200reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/first-long-island-investors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- FLII•••••••S.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-935-1200reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- fliinvestors.com/about-us/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- fliinvestors.com/about-us/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $266Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
F•••• L••• I••••• I••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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