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
A••••••••• W••••• M••••••••• C•••
Latest filing Jul 24, 2026
First filing on the tape Feb 7, 2014 · 35 filings
SEC status approved since Feb 18, 2014
RAUM
$125M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$125M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$41.7M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$125M as of Jul 24, 2026
Feb 3, 2015$46.3M then
HNW client RAUM$84.5M as of Jul 24, 2026
Feb 27, 2018$37.0M then
State-registered IARs (5.B.3)0 as of Jul 24, 2026
Feb 3, 20151 then
Employees (5.A)1 as of Jul 24, 2026
Feb 3, 20153 then
Private funds: no history
RAUM +27% over the last fiscal year+16% a year over threeIARs 3 to 0
Practice profile
derived from the filing of Jul 24, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $41.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $512,677derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
- 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
- High-net-worth individuals$84.5M68%
- Individuals$40.4M32%
- Corporations and businesses$146,8620.1%
- Individual clients
- 202reported
- HNW clients
- 41reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 244reported
- Financial planning clients
- 0reported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| V••• A•••••••••Personal Financial Specialist | Glen Cove, Ny | Mar 4, 2014 | 37 y | 1 |
| C•••• A•• M•••••• D••••••• | Glen Cove, Ny | May 2, 2014 | 20 y | 0 |
| B•••• A•••••••••Certified Financial Planner | Glen Cove, Ny | Jan 23, 2015 | 16 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
- V••• A••••••••• from N•• A•••• M••••••••• L••Mar 4, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• V••• · President - Ccocontrolsince 06/2013 · 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 |
|---|---|---|---|---|---|
| Glen Cove, Ny · principal | 3 | 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
- affiliate changedChange between filings · filing Jul 24, 2026insurance affiliate (Item 7.A.10): no on the filing of 2026-01-23, yes on the filing of 2026-07-24peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Jul 24, 2026pension consulting (Item 5.G.6): yes on the filing of 2026-01-23, no on the filing of 2026-07-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 384 to 244Jan 23, 2026 to Jul 24, 2026
- Advisory activities · 3 to 2Jan 23, 2026 to Jul 24, 2026
- Corporate clients · 0 to 1Jan 23, 2026 to Jul 24, 2026
- HNW clients · 52 to 41Jan 23, 2026 to Jul 24, 2026
- Individual clients · 186 to 202Jan 23, 2026 to Jul 24, 2026
- Discretionary RAUM · $0 to $125MJan 23, 2026 to Jul 24, 2026
- HNW RAUM · $69.4M to $84.5MJan 23, 2026 to Jul 24, 2026
- Individual RAUM · $43.1M to $40.4MJan 23, 2026 to Jul 24, 2026
- Non-discretionary RAUM · $112M to $0Jan 23, 2026 to Jul 24, 2026
- RAUM · $112M to $125MJan 23, 2026 to Jul 24, 2026
- Related insurance company · false to trueJan 23, 2026 to Jul 24, 2026
- Accounts · 344 to 384Jan 27, 2025 to Jan 23, 2026
- Advisory employees · 3 to 1Jan 27, 2025 to Jan 23, 2026
- HNW clients · 35 to 52Jan 27, 2025 to Jan 23, 2026
- Individual clients · 201 to 186Jan 27, 2025 to Jan 23, 2026
- Employees · 3 to 1Jan 27, 2025 to Jan 23, 2026
- Financial planning clients · to 0Jan 27, 2025 to Jan 23, 2026
- State-registered IARs · 3 to 0Jan 27, 2025 to Jan 23, 2026
- HNW RAUM · $61.8M to $69.4MJan 27, 2025 to Jan 23, 2026
- Individual RAUM · $36.4M to $43.1MJan 27, 2025 to Jan 23, 2026
- Non-discretionary RAUM · $98.2M to $112MJan 27, 2025 to Jan 23, 2026
- RAUM · $98.2M to $112MJan 27, 2025 to Jan 23, 2026
- Accounts · 212 to 344Feb 8, 2024 to Jan 27, 2025
- Corporate clients · 1 to 0Feb 8, 2024 to Jan 27, 2025
- HNW clients · 24 to 35Feb 8, 2024 to Jan 27, 2025
- Individual clients · 187 to 201Feb 8, 2024 to Jan 27, 2025
- Financial planning clients · unset to Feb 8, 2024 to Jan 27, 2025
- HNW RAUM · $48.3M to $61.8MFeb 8, 2024 to Jan 27, 2025
- Individual RAUM · $42.6M to $36.4MFeb 8, 2024 to Jan 27, 2025
- Non-discretionary RAUM · $91.0M to $98.2MFeb 8, 2024 to Jan 27, 2025
- RAUM · $91.0M to $98.2MFeb 8, 2024 to Jan 27, 2025
- Accounts · 231 to 212Mar 23, 2023 to Feb 8, 2024
- Corporate clients · 0 to 1Mar 23, 2023 to Feb 8, 2024
- HNW clients · 10 to 24Mar 23, 2023 to Feb 8, 2024
- Individual clients · 221 to 187Mar 23, 2023 to Feb 8, 2024
- HNW RAUM · $21.2M to $48.3MMar 23, 2023 to Feb 8, 2024
- Individual RAUM · $59.9M to $42.6MMar 23, 2023 to Feb 8, 2024
- Non-discretionary RAUM · $81.1M to $91.0MMar 23, 2023 to Feb 8, 2024
- RAUM · $81.1M to $91.0MMar 23, 2023 to Feb 8, 2024
- Accounts · 225 to 231Mar 1, 2022 to Feb 16, 2023
Signals
1 dated events
- A••••••••• W••••• M••••••••• C••• filed its initial SEC registration (Form ADV)Feb 7, 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 phone
- 516-674-9229reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-674-9229reportedpublic record, Form ADV, Jul 24, 2026
- Contact form
- AWMNY.COM/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- AWMNY.COM/teamreportedpublished 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
- $41.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026