DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C••••• N• A•••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Jul 15, 2015 · 19 filings
SEC status approved since Jun 26, 2015
RAUM
$94.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$91.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$94.2M
derived; firm RAUM over IAPD count
Employees
3
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$94.2M as of Mar 16, 2026
Mar 29, 2016$86.9M then
HNW client RAUM$65.3M as of Mar 16, 2026
Mar 26, 2018$41.3M then
State-registered IARs (5.B.3)1 as of Mar 16, 2026
Mar 29, 20160 then
Employees (5.A)3 as of Mar 16, 2026
Mar 29, 20163 then
Private funds: no history
RAUM +11% over the last fiscal year-3.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 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
- $94.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 104derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $888,702derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$65.3M69%
- Individuals$25.9M27%
- Pension and profit-sharing plans$3.1M3.2%
- Individual clients
- 82reported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 106reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••••• M•••• M••••• | Fishkill, Ny | Dec 8, 2021 | 27 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
- F•••••••• C••••••• I••• · Managing Member, Ceocontrolsince 07/2015 · owns 75% or more
- M•••••••• D••••• A•• · Coosince 02/2024 · owns less than 5%
- M•••••••• J••••• D•••• · Ccosince 06/2015 · owns less than 5%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 108 to 106Nov 3, 2025 to Mar 16, 2026
- Discretionary RAUM · $85.0M to $94.2MNov 3, 2025 to Mar 16, 2026
- HNW RAUM · $59.3M to $65.3MNov 3, 2025 to Mar 16, 2026
- Individual RAUM · $22.5M to $25.9MNov 3, 2025 to Mar 16, 2026
- Pension RAUM · $3.2M to $3.1MNov 3, 2025 to Mar 16, 2026
- RAUM · $85.0M to $94.2MNov 3, 2025 to Mar 16, 2026
- Accounts · 118 to 108Mar 27, 2024 to Mar 17, 2025
- HNW clients · 29 to 22Mar 27, 2024 to Mar 17, 2025
- Individual clients · 89 to 82Mar 27, 2024 to Mar 17, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 17, 2025
- Discretionary RAUM · $107M to $85.0MMar 27, 2024 to Mar 17, 2025
- HNW RAUM · $78.6M to $59.3MMar 27, 2024 to Mar 17, 2025
- Individual RAUM · $24.7M to $22.5MMar 27, 2024 to Mar 17, 2025
- Pension RAUM · $3.9M to $3.2MMar 27, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 27, 2024 to Mar 17, 2025
- RAUM · $107M to $85.0MMar 27, 2024 to Mar 17, 2025
- Accounts · 122 to 118Mar 17, 2023 to Mar 27, 2024
- HNW clients · 27 to 29Mar 17, 2023 to Mar 27, 2024
- Individual clients · 91 to 89Mar 17, 2023 to Mar 27, 2024
- Discretionary RAUM · $104M to $107MMar 17, 2023 to Mar 27, 2024
- HNW RAUM · $76.2M to $78.6MMar 17, 2023 to Mar 27, 2024
- Individual RAUM · $23.7M to $24.7MMar 17, 2023 to Mar 27, 2024
- Pension RAUM · $4.3M to $3.9MMar 17, 2023 to Mar 27, 2024
- RAUM · $104M to $107MMar 17, 2023 to Mar 27, 2024
- Accounts · 126 to 122Mar 10, 2022 to Mar 17, 2023
- HNW clients · 28 to 27Mar 10, 2022 to Mar 17, 2023
- Individual clients · 95 to 91Mar 10, 2022 to Mar 17, 2023
- State-registered IARs · 0 to 1Mar 10, 2022 to Mar 17, 2023
- Discretionary RAUM · $116M to $104MMar 10, 2022 to Mar 17, 2023
- HNW RAUM · $81.7M to $76.2MMar 10, 2022 to Mar 17, 2023
- Individual RAUM · $30.1M to $23.7MMar 10, 2022 to Mar 17, 2023
- Pension RAUM · $3.8M to $4.3MMar 10, 2022 to Mar 17, 2023
- RAUM · $116M to $104MMar 10, 2022 to Mar 17, 2023
- Related adviser · true to falseMar 10, 2022 to Mar 17, 2023
- Accounts · 137 to 126Mar 15, 2021 to Mar 10, 2022
- HNW clients · 22 to 28Mar 15, 2021 to Mar 10, 2022
- Individual clients · 112 to 95Mar 15, 2021 to Mar 10, 2022
- Discretionary RAUM · $96.6M to $116MMar 15, 2021 to Mar 10, 2022
- HNW RAUM · $52.3M to $81.7MMar 15, 2021 to Mar 10, 2022
- Individual RAUM · $39.3M to $30.1MMar 15, 2021 to Mar 10, 2022
Signals
2 dated events
- C••••• N• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 15, 2015 · Succession (Item 4) · fact
- C••••• N• A•••••••• L•• filed its initial SEC registration (Form ADV)Jul 15, 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
- Principal office phone
- 845-897-1560reportedpublic record, Form ADV, Mar 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
- $94.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026