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.

Former SEC-registered adviser

North Ridge Securities Corp.

Former SEC-registered adviserMelville, New YorkCRD 27098SEC 801-108451IAPD
Latest filing Sep 24, 2018
First filing on the tape Sep 19, 2016 · 8 filings
RAUM
$40.6M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$40.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
85
16 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$40.6M as of Sep 24, 2018
Sep 30, 2016$174M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Sep 24, 2018
Sep 30, 20165 then
Employees (5.A)85 as of Sep 24, 2018
Sep 30, 201685 then
Private funds: no history
RAUM -79% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Sep 24, 2018; every figure names its basis
RAUM per advisor
$8.1MderivedRAUM 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
$533,797derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
17.0derivedItem 5.A over advisors
Advisors per office
0.6derived9 offices incl. principal (1.F.5)
RAUM growth, one year
-79%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, otherreportedItem 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
  • is a broker-dealer (6.A.1)
  • buys or sells securities as principal to or from clients (8.A.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$40.6M100%
Individual clients
76reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
76reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Sandra Jean Grinspan · Exec. Vice President/Muni Bond Princ.control
      since 10/2016 · owns 10% to 25%
    • Daniel Robert Levy · President/Ceo/Financial Operations Principal/Ccocontrol
      since 10/2016 · owns 75% or more
    • Louis Matthew Levy · Vp - Operations/Principalcontrol
      since 08/2016 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Jericho, NY1 employees
    • New York, NY1 employees
    • Huntington, NY1 employees
    • , 1 employees
    • Hauppauge, NY1 employees
    • , 1 employees
    • , 1 employees
    • New York, NY1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 600 to 76
      Sep 7, 2017 to Sep 24, 2018
    • Individual clients · unset to 76.0
      Sep 7, 2017 to Sep 24, 2018
    • Other offices · unset to 8.0
      Sep 7, 2017 to Sep 24, 2018
    • Individual RAUM · unset to 40568547.0
      Sep 7, 2017 to Sep 24, 2018
    • Non-discretionary RAUM · $192M to $40.6M
      Sep 7, 2017 to Sep 24, 2018
    • RAUM · $192M to $40.6M
      Sep 7, 2017 to Sep 24, 2018
    • Accounts · 517 to 600
      Apr 24, 2017 to Sep 7, 2017
    • Discretionary RAUM · $174M to $0
      Apr 24, 2017 to Sep 7, 2017
    • Non-discretionary RAUM · $0 to $192M
      Apr 24, 2017 to Sep 7, 2017
    • RAUM · $174M to $192M
      Apr 24, 2017 to Sep 7, 2017
    Signals
    2 dated events
    • North Ridge Securities Corp. reported RAUM $40.6M, down 79% from $192.0M (2017-09-07 to 2018-09-24)
      Sep 24, 2018 · RAUM change · derived
    • North Ridge Securities Corp. filed its initial SEC registration (Form ADV)
      Sep 19, 2016 · 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