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•••••••• D••••••••• A•••• M••••••••• I•••
Latest filing Mar 12, 2026
First filing on the tape Apr 9, 2013 · 33 filings
SEC status approved since Apr 26, 2013
RAUM
$884M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$884M
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$884M as of Mar 12, 2026
Mar 26, 2014$260M then
HNW client RAUM$95.6M as of Mar 27, 2019
Mar 29, 2018$113M then
State-registered IARs (5.B.3)1 as of Mar 12, 2026
Mar 26, 20141 then
Employees (5.A)5 as of Mar 12, 2026
Mar 26, 20148 then
Private funds: no history
RAUM +18% over the last fiscal year+16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 12, 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
- $884MderivedRAUM 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
- $884MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$884M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $846M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••••• T•••••• | Hauppauge, Ny | Feb 24, 2016 | 33 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••• D••••••• · President, Chief Investment Officercontrolsince 11/2011 · owns 75% or more
- T••••••• M••••••• J••• · Chief Financial Officercontrolsince 07/2017 · owns less than 5%
- K•••••••• T•••••• F•••••• · Chief Compliance Officersince 03/2015 · owns less than 5%
Related persons
Schedule D 7.A
- L•••••••• F•••••••• S•••••••• I•••broker-dealern
- L•••••••• G••••• A•••••••• L••investment advisernRAUM $972M
Advisers that list L•••••••• D••••••••• A•••• M••••••••• I••• as a related person
- 283303 n
Offices
Schedule D 1.F, the 25 largest
- Marco Island, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 12, 2026financial planning (Item 5.G.1): yes on the filing of 2025-02-25, no on the filing of 2026-03-12peers: asset managers, $500M to $1B (784)
What changed
consecutive filings, newest first
- Advisory activities · 4 to 3Feb 25, 2025 to Mar 12, 2026
- Insurance-licensed employees · 5 to 4Feb 25, 2025 to Mar 12, 2026
- Financial planning clients · 0 to Feb 25, 2025 to Mar 12, 2026
- Discretionary RAUM · $750M to $884MFeb 25, 2025 to Mar 12, 2026
- RAUM · $750M to $884MFeb 25, 2025 to Mar 12, 2026
- Wrap assets (manager) · $723M to $846MFeb 25, 2025 to Mar 12, 2026
- Accounts · 2,997 to 1Mar 4, 2024 to Feb 25, 2025
- Pension plan clients · 83.0 to unsetMar 4, 2024 to Feb 25, 2025
- Financial planning clients · 0 to 0Mar 4, 2024 to Feb 25, 2025
- Discretionary RAUM · $644M to $750MMar 4, 2024 to Feb 25, 2025
- Pension RAUM · 62783125.0 to unsetMar 4, 2024 to Feb 25, 2025
- RAUM · $644M to $750MMar 4, 2024 to Feb 25, 2025
- Wrap assets (manager) · $644M to $723MMar 4, 2024 to Feb 25, 2025
- Accounts · 2,872 to 2,997Mar 3, 2023 to Mar 4, 2024
- Pension plan clients · 73 to 83Mar 3, 2023 to Mar 4, 2024
- Insurance-licensed employees · 4 to 5Mar 3, 2023 to Mar 4, 2024
- Other offices · 0 to 1Mar 3, 2023 to Mar 4, 2024
- Discretionary RAUM · $572M to $644MMar 3, 2023 to Mar 4, 2024
- Pension RAUM · $55.3M to $62.8MMar 3, 2023 to Mar 4, 2024
- RAUM · $572M to $644MMar 3, 2023 to Mar 4, 2024
- Wrap assets (manager) · $572M to $644MMar 3, 2023 to Mar 4, 2024
- Accounts · 2,582 to 2,872Mar 24, 2022 to Mar 3, 2023
- Pension plan clients · 69 to 73Mar 24, 2022 to Mar 3, 2023
- Insurance-licensed employees · 5 to 4Mar 24, 2022 to Mar 3, 2023
- Discretionary RAUM · $627M to $572MMar 24, 2022 to Mar 3, 2023
- Pension RAUM · $62.2M to $55.3MMar 24, 2022 to Mar 3, 2023
- RAUM · $627M to $572MMar 24, 2022 to Mar 3, 2023
- Wrap assets (manager) · $627M to $572MMar 24, 2022 to Mar 3, 2023
- Accounts · 37 to 2,582Mar 29, 2021 to Mar 24, 2022
- BD registered reps · 4 to 3Mar 29, 2021 to Mar 24, 2022
- Pension plan clients · 36 to 69Mar 29, 2021 to Mar 24, 2022
- Insurance-licensed employees · 4 to 5Mar 29, 2021 to Mar 24, 2022
- Discretionary RAUM · $534M to $627MMar 29, 2021 to Mar 24, 2022
- Pension RAUM · $63.9M to $62.2MMar 29, 2021 to Mar 24, 2022
- RAUM · $534M to $627MMar 29, 2021 to Mar 24, 2022
- Wrap assets (manager) · $534M to $627MMar 29, 2021 to Mar 24, 2022
- Accounts · 62 to 37Jul 23, 2020 to Mar 29, 2021
- BD registered reps · 2 to 4Jul 23, 2020 to Mar 29, 2021
- Business name · D••••••••• P•••••• W••••• A•••••••• I••• to L•••••••• D••••••••• A•••• M••••••••• I•••Jul 23, 2020 to Mar 29, 2021
- Pension plan clients · 35 to 36Jul 23, 2020 to Mar 29, 2021
Signals
5 dated events
- Ladd Jordan Kimmel (Chief Equity Strategist) no longer on Schedule A of L•••••••• D••••••••• A•••• M••••••••• I••• (listed 2021-03-29, absent 2022-03-24)Mar 24, 2022 · Control person left · inference
- Ladd Jordan Kimmel (Chief Equity Strategist) appeared on Schedule A of L•••••••• D••••••••• A•••• M••••••••• I•••Mar 29, 2021 · Control person joined · fact
- John Michael Tavella (Chief Financial Officer) appeared on Schedule A of L•••••••• D••••••••• A•••• M••••••••• I•••Mar 29, 2021 · Control person joined · fact
- Avery Michael Hartzman (Vice President) no longer on Schedule A of L•••••••• D••••••••• A•••• M••••••••• I••• (listed 2019-06-17, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- D••••••••• P•••••• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Apr 9, 2013 · 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
- Website
- l••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-785-1800reportedpublic record, Form ADV, Mar 12, 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
- $884Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026