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
F•••• A••••••• A•••• A•••••••• L••
Legal name F•••• A••••••• A•••• A•••••••• L•••
Latest filing Mar 31, 2026
First filing on the tape Jun 10, 2022 · 9 filings
SEC status approved since Jul 21, 2022
RAUM
$192M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$192M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$38.4M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$192M as of Mar 31, 2026
Mar 29, 2023$81.4M then
HNW client RAUM$192M as of Mar 31, 2026
Mar 29, 2023$81.4M then
State-registered IARs (5.B.3)6 as of Mar 31, 2026
Mar 29, 20236 then
Employees (5.A)8 as of Mar 31, 2026
Mar 29, 20236 then
Private funds: no history
RAUM +37% over the last fiscal year+33% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $38.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $721,009derivedHNW RAUM over HNW clients
- Average account
- $721,009derivedRAUM 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
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +37%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +34%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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
- is a broker-dealer (6.A.1)
- buys or sells securities as principal to or from clients (8.A.2)
- 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$192M100%
- Individual clients
- 0reported
- HNW clients
- 266reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 266reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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=true related_bank=false bd_reps=6.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••• F••••• | Garden City, Ny | Jan 17, 2019 | 33 y | 0 |
| P••• J••• M••• | Garden City, Ny | Jan 17, 2019 | 32 y | 1 |
| J•••••• L•• | Garden City, Ny | Jun 27, 2019 | 26 y | 0 |
| A••••• R••••• D••••••• | Garden City, Ny | Aug 23, 2021 | 12 y | 0 |
| R•••••• A•••••• S•••••• | Garden City, Ny | Aug 17, 2023 | 29 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- A•••• R••• to W••••••••• A•••• M••••••••• L••Aug 13, 2026 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• M••••••• J••• · Chief Compliance Officer & Ceocontrolsince 01/2019 · owns 50% to 75%
- M•••• P•••• J••• · Presidentcontrolsince 09/2015 · owns 50% to 75%
Related persons
Schedule D 7.A
- M••••• W••••••• S••••••••• I•••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Garden City, Ny · principal | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 31, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
- RAUM up 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $140,163,741 to $191,788,380 (+37.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +15.0% (4549 comparable advisers, 91.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 91% percentile
- business activity changedChange between filings · filing Mar 31, 2026wrap fee program participation (Item 5.I): no on the filing of 2025-06-02, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 198 to 266Jun 2, 2025 to Mar 31, 2026
- Advisory employees · 5 to 6Jun 2, 2025 to Mar 31, 2026
- BD registered reps · 4 to 6Jun 2, 2025 to Mar 31, 2026
- HNW clients · 198 to 266Jun 2, 2025 to Mar 31, 2026
- Employees · 5 to 8Jun 2, 2025 to Mar 31, 2026
- Financial planning clients · 101-250 to 251-500Jun 2, 2025 to Mar 31, 2026
- State-registered IARs · 5 to 6Jun 2, 2025 to Mar 31, 2026
- HNW RAUM · $140M to $192MJun 2, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $140M to $192MJun 2, 2025 to Mar 31, 2026
- RAUM · $140M to $192MJun 2, 2025 to Mar 31, 2026
- Wrap assets (manager) · unset to 0.0Jun 2, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · unset to 0.0Jun 2, 2025 to Mar 31, 2026
- Financial planning clients · 101-250 to 101-250Mar 31, 2025 to Jun 2, 2025
- Accounts · 172 to 198Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 6 to 5Mar 29, 2024 to Mar 31, 2025
- BD registered reps · 5 to 4Mar 29, 2024 to Mar 31, 2025
- HNW clients · 172 to 198Mar 29, 2024 to Mar 31, 2025
- Employees · 6 to 5Mar 29, 2024 to Mar 31, 2025
- State-registered IARs · 6 to 5Mar 29, 2024 to Mar 31, 2025
- HNW RAUM · $99.7M to $140MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $99.7M to $140MMar 29, 2024 to Mar 31, 2025
- RAUM · $99.7M to $140MMar 29, 2024 to Mar 31, 2025
- Wrap assets (manager) · 0.0 to unsetMar 29, 2024 to Mar 31, 2025
- Wrap assets (sponsor) · 0.0 to unsetMar 29, 2024 to Mar 31, 2025
- Accounts · 141 to 172Mar 31, 2023 to Mar 29, 2024
- HNW clients · 141 to 172Mar 31, 2023 to Mar 29, 2024
- HNW RAUM · $81.4M to $99.7MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $81.4M to $99.7MMar 31, 2023 to Mar 29, 2024
- RAUM · $81.4M to $99.7MMar 31, 2023 to Mar 29, 2024
- Wrap assets (manager) · unset to 0.0Mar 31, 2023 to Mar 29, 2024
- Wrap assets (sponsor) · unset to 0.0Mar 31, 2023 to Mar 29, 2024
- Accounts · 113 to 141Aug 12, 2022 to Mar 29, 2023
- Advisory employees · 5 to 6Aug 12, 2022 to Mar 29, 2023
- BD registered reps · 4 to 5Aug 12, 2022 to Mar 29, 2023
- HNW clients · 113 to 141Aug 12, 2022 to Mar 29, 2023
- Employees · 5 to 6Aug 12, 2022 to Mar 29, 2023
- State-registered IARs · 4 to 6Aug 12, 2022 to Mar 29, 2023
- HNW RAUM · $54.7M to $81.4MAug 12, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $54.7M to $81.4MAug 12, 2022 to Mar 29, 2023
- RAUM · $54.7M to $81.4MAug 12, 2022 to Mar 29, 2023
Signals
2 dated events
- A•••• R••• left F•••• A••••••• A•••• A•••••••• L•• for W••••••••• A•••• M••••••••• L•• (registered 2026-07-22)Aug 13, 2026 · Advisor changed firm · fact
- F•••• A••••••• A•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 10, 2022 · ria f•••• adv filing · 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
- f•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (516) 622-3100reportedpublic record, Form ADV, Mar 31, 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
- $38.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026