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
M••••••• P••• P•••••••
Legal name M••••••• P••• P••••••• C•••••••••
Latest filing Mar 3, 2026
First filing on the tape May 19, 2021 · 8 filings
SEC status approved since Jun 16, 2021
RAUM
$74.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$73.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$74.9M
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
8 filings and snapshots on the tape
RAUM$74.9M as of Mar 3, 2026
Mar 8, 2022$34.2M then
HNW client RAUM$50.9M as of Mar 3, 2026
Mar 8, 2022$18.5M then
State-registered IARs (5.B.3)1 as of Mar 3, 2026
Mar 8, 20221 then
Employees (5.A)1 as of Mar 3, 2026
Mar 8, 20221 then
Private funds: no history
RAUM +11% over the last fiscal year+20% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 3, 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
- $74.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 129derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $307,113derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 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
- -1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$50.9M68%
- Individuals$22.5M30%
- Pension and profit-sharing plans$1.5M2.0%
- Charitable organizations$46,8630.1%
- Individual clients
- 95reported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 244reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| J•••• J••• D••••• | Hopewell Junction, Ny | Jul 18, 2021 | 17 y | 2 |
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
- J•••• J••• D••••• from C•••••• G•••• • C• I••Jul 18, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• J••••• J••• · President/Ccocontrolsince 09/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 242 to 244Feb 28, 2025 to Mar 3, 2026
- HNW clients · 32 to 34Feb 28, 2025 to Mar 3, 2026
- Individual clients · 99 to 95Feb 28, 2025 to Mar 3, 2026
- Discretionary RAUM · $67.5M to $74.9MFeb 28, 2025 to Mar 3, 2026
- HNW RAUM · $44.1M to $50.9MFeb 28, 2025 to Mar 3, 2026
- Individual RAUM · $22.1M to $22.5MFeb 28, 2025 to Mar 3, 2026
- Pension RAUM · $1.3M to $1.5MFeb 28, 2025 to Mar 3, 2026
- RAUM · $67.5M to $74.9MFeb 28, 2025 to Mar 3, 2026
- Accounts · 228 to 242Oct 29, 2024 to Feb 28, 2025
- HNW clients · 24 to 32Oct 29, 2024 to Feb 28, 2025
- Individual clients · 89 to 99Oct 29, 2024 to Feb 28, 2025
- Financial planning clients · 26-50 to 26-50Oct 29, 2024 to Feb 28, 2025
- Discretionary RAUM · $60.2M to $67.5MOct 29, 2024 to Feb 28, 2025
- HNW RAUM · $37.1M to $44.1MOct 29, 2024 to Feb 28, 2025
- Individual RAUM · $22.1M to $22.1MOct 29, 2024 to Feb 28, 2025
- Pension RAUM · $34,337 to $1.3MOct 29, 2024 to Feb 28, 2025
- RAUM · $60.2M to $67.5MOct 29, 2024 to Feb 28, 2025
- Accounts · 223 to 228Mar 23, 2024 to Oct 29, 2024
- HNW clients · 21 to 24Mar 23, 2024 to Oct 29, 2024
- Individual clients · 95 to 89Mar 23, 2024 to Oct 29, 2024
- Discretionary RAUM · $53.8M to $60.2MMar 23, 2024 to Oct 29, 2024
- HNW RAUM · $29.6M to $37.1MMar 23, 2024 to Oct 29, 2024
- Individual RAUM · $23.2M to $22.1MMar 23, 2024 to Oct 29, 2024
- Pension RAUM · $1.0M to $34,337Mar 23, 2024 to Oct 29, 2024
- RAUM · $53.8M to $60.2MMar 23, 2024 to Oct 29, 2024
- Accounts · 197 to 223Mar 21, 2023 to Mar 23, 2024
- HNW clients · 17 to 21Mar 21, 2023 to Mar 23, 2024
- Individual clients · 94 to 95Mar 21, 2023 to Mar 23, 2024
- Financial planning clients · 11-25 to 26-50Mar 21, 2023 to Mar 23, 2024
- Discretionary RAUM · $42.8M to $53.8MMar 21, 2023 to Mar 23, 2024
- HNW RAUM · $22.5M to $29.6MMar 21, 2023 to Mar 23, 2024
- Individual RAUM · $19.7M to $23.2MMar 21, 2023 to Mar 23, 2024
- Pension RAUM · $597,435 to $1.0MMar 21, 2023 to Mar 23, 2024
- RAUM · $42.8M to $53.8MMar 21, 2023 to Mar 23, 2024
- Accounts · 174 to 197Mar 8, 2022 to Mar 21, 2023
- HNW clients · 15 to 17Mar 8, 2022 to Mar 21, 2023
- Individual clients · 88 to 94Mar 8, 2022 to Mar 21, 2023
- Financial planning clients · 26-50 to 11-25Mar 8, 2022 to Mar 21, 2023
- Discretionary RAUM · $34.2M to $42.8MMar 8, 2022 to Mar 21, 2023
- HNW RAUM · $18.5M to $22.5MMar 8, 2022 to Mar 21, 2023
Signals
1 dated events
- M••••••• P••• P••••••• filed its initial SEC registration (Form ADV)May 19, 2021 · 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
- M•••••••P•••P•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 845-592-0789reportedpublic record, Form ADV, Mar 3, 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
- $74.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026