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

R••••••• A•••••••• I•••

Former SEC-registered adviserBohemia, New YorkCRD 173677SEC 801-106614IAPD
Latest filing Sep 20, 2021
First filing on the tape Aug 27, 2015 · 19 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2021
Mar 22, 20160 then
Employees (5.A)5 as of Mar 23, 2021
Mar 22, 20164 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 20, 2021; 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
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 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
fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, otherreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • marketing includes testimonials (5.L.1.c)
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
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M•••••• M••• R••••••••Bohemia, NyApr 1, 202413 y1
R•••••• R••• K•••••••Bohemia, NyApr 1, 202415 y1
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K•••••••• R••••••• R••• · Secretarycontrol
    since 04/2013 · owns 25% to 50%
  • R••••••••• M••••••• M••• · President And Chief Compliance Officercontrol
    since 04/2013 · owns 25% to 50%
  • W••••• D•••••• C•••••• · Deceased
    since 02/2020 · owns 25% to 50%
Related persons
Schedule D 7.A
  • A••• B••••• S•••••••• I•••
    real estatey
  • A••• S••••• R•••••••• N••••••• I•••
    real estatey
  • E•• H•••••••
    LP sponsory
  • H••••••• I•••••••• A••••• O• L••• I••••• I•••
    real estatey
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Bohemia, Ny · principal200
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 4 to 2
    Sep 1, 2021 to Sep 10, 2021
  • Advisory employees · 0 to 4
    Aug 25, 2021 to Sep 1, 2021
  • Employees · 4 to 5
    Jul 1, 2020 to Mar 23, 2021
  • Related adviser · true to false
    Jul 1, 2020 to Mar 23, 2021
  • HQ city · HAUPPAUGE to BOHEMIA
    Mar 28, 2019 to Mar 25, 2020
  • Employees · 3 to 4
    Mar 23, 2018 to Mar 28, 2019
  • Employees · 4 to 3
    Mar 31, 2017 to Mar 23, 2018
  • Other offices · unset to 0.0
    Mar 31, 2017 to Mar 23, 2018
  • Financial planning clients · 26-50 to 11-25
    Mar 22, 2016 to Mar 31, 2017
Signals
3 dated events
  • David John Caffrey (Vice President) no longer on Schedule A of R••••••• A•••••••• I••• (listed 2020-07-01, absent 2021-03-23)
    Mar 23, 2021 · Control person left · inference
  • C•••••• D••••• W•••• (Treasurer) no longer on Schedule A of R••••••• A•••••••• I••• (listed 2019-03-28, absent 2020-03-25)
    Mar 25, 2020 · Control person left · inference
  • R••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
    Aug 27, 2015 · 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
R•••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 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
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