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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
M•••••• G••••• A••••••• L••
Latest filing Apr 21, 2026
First filing on the tape May 27, 2022 · 17 filings
SEC status approved since Aug 19, 2022
RAUM
$71.4M
reported, Item 5.F
Discretionary
57%
of RAUM
Private clients
92%
$66.0M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$8.9M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$71.4M as of Apr 21, 2026
Apr 11, 2023$47.0M then
HNW client RAUM$31.0M as of Apr 21, 2026
Apr 11, 2023$30.3M then
State-registered IARs (5.B.3)8 as of Apr 21, 2026
Apr 11, 20234 then
Employees (5.A)8 as of Apr 21, 2026
Apr 11, 20235 then
Private funds: no history
RAUM -11% over the last fiscal year+15% a year over threeIARs 5 to 8
Practice profile
derived from the filing of Apr 21, 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
- $8.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $306,438derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 57%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +60%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +32%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, 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)
- is an insurance broker or agent (6.A.6)
- 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
- Individuals$35.0M49%
- High-net-worth individuals$31.0M43%
- Pooled investment vehicles$5.4M7.6%
- Individual clients
- 204reported
- HNW clients
- 25reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 233reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.08 institutional_share=0.0 related_bd=true related_bank=false bd_reps=7.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• D•••• R•••••••• | Hauppauge, Ny | Mar 11, 2020 | 37 y | 5 |
| J••• H•••• C•••••• | Hauppauge, Ny | Oct 19, 2021 | 35 y | 2 |
| A•••• J••••• G••••• | Hauppauge, Ny | Oct 19, 2021 | 42 y | 0 |
| D•••• S•••••• K••••• | Hauppauge, Ny | Nov 15, 2021 | 42 y | 2 |
| A••• R••••• S•••••••• | Hauppauge, Ny | Apr 11, 2023 | 30 y | 1 |
| E••• A••• N••••• | Hauppauge, Ny | Jul 17, 2024 | 12 y | 0 |
| M•••••• K••••• | Hauppauge, Ny | Feb 5, 2025 | 12 y | 0 |
| D••• S••• G••••• | Hauppauge, Ny | Mar 6, 2026 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- D••• S••• G••••• from F••••• F••••• W•••••• L••Mar 6, 2026 · RIA to RIA
- A••• R••••• S•••••••• from S•••••• R••• M••••••••• L••Apr 11, 2023 · RIA to RIA
- D•••• S•••••• K••••• from T•••••• A••••••• L••Nov 15, 2021 · Other
- J••• H•••• C•••••• from T•••••• A••••••• L••Oct 19, 2021 · Other
- B•••• D•••• R•••••••• from A•••• C•••••• C••••Aug 15, 2019 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from T•••••• A••••••• L••Jan 5, 2018 · Woodbury, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• A••••• J••••• · President/Ccocontrolsince 05/2017 · owns less than 5%
- K•••••• D••••• S•••••• · Ceocontrolsince 05/2017 · owns less than 5%
- K•••••• D••••• S•••••• · Indirect Ownercontrolsince 08/2016 · owns 25% to 50% of M•••••• I•• L••
- A•••••• T••••• · Indirect Ownersince 08/2016 · owns 25% to 50% of M•••••• I•• L••
- E••••• A••• · Indirect Ownersince 08/2016 · owns 25% to 50% of M•••••• I•• L••
Entity owners
- M•••••• I•• L•• · Direct Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hauppauge, Ny · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- advisor count surgeChange between filings · filing Apr 21, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 8.0 (+60.0%) between the annual amendments of 2025-04-01 and 2026-04-21; the peer median change was 0.0% (57 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, under $100M (57) · 96% percentile
- discretionary share shiftChange between filings · filing Apr 21, 2026discretionary share of RAUM moved from 35.0% to 57.0% between the annual amendments of 2025-04-01 and 2026-04-21peers: independent wealth managers, under $100M (704)
What changed
consecutive filings, newest first
- Accounts · 178 to 233Mar 31, 2026 to Apr 21, 2026
- Advisory employees · 5 to 8Mar 31, 2026 to Apr 21, 2026
- BD registered reps · 5 to 7Mar 31, 2026 to Apr 21, 2026
- HNW clients · 51 to 25Mar 31, 2026 to Apr 21, 2026
- Individual clients · 123 to 204Mar 31, 2026 to Apr 21, 2026
- Employees · 5 to 8Mar 31, 2026 to Apr 21, 2026
- Insurance-licensed employees · 1 to 0Mar 31, 2026 to Apr 21, 2026
- State-registered IARs · 5 to 8Mar 31, 2026 to Apr 21, 2026
- Discretionary RAUM · $28.3M to $40.4MMar 31, 2026 to Apr 21, 2026
- HNW RAUM · $32.0M to $31.0MMar 31, 2026 to Apr 21, 2026
- Individual RAUM · $43.0M to $35.0MMar 31, 2026 to Apr 21, 2026
- Non-discretionary RAUM · $52.1M to $31.0MMar 31, 2026 to Apr 21, 2026
- RAUM · $80.4M to $71.4MMar 31, 2026 to Apr 21, 2026
- Financial planning clients · 101-250 to 101-250Apr 1, 2025 to Jul 29, 2025
- Accounts · 163 to 178Mar 29, 2024 to Apr 1, 2025
- HNW clients · 39 to 51Mar 29, 2024 to Apr 1, 2025
- Individual clients · 124 to 123Mar 29, 2024 to Apr 1, 2025
- Discretionary RAUM · $12.0M to $28.3MMar 29, 2024 to Apr 1, 2025
- HNW RAUM · $35.0M to $32.0MMar 29, 2024 to Apr 1, 2025
- Individual RAUM · $15.0M to $43.0MMar 29, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $43.4M to $52.1MMar 29, 2024 to Apr 1, 2025
- RAUM · $55.4M to $80.4MMar 29, 2024 to Apr 1, 2025
- Advisory employees · 4 to 5Aug 18, 2023 to Mar 29, 2024
- BD registered reps · 4 to 5Aug 18, 2023 to Mar 29, 2024
- Insurance-licensed employees · 0 to 1Aug 18, 2023 to Mar 29, 2024
- State-registered IARs · 4 to 5Aug 18, 2023 to Mar 29, 2024
- Discretionary RAUM · $5.0M to $12.0MAug 18, 2023 to Mar 29, 2024
- HNW RAUM · $30.3M to $35.0MAug 18, 2023 to Mar 29, 2024
- Individual RAUM · $11.3M to $15.0MAug 18, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $42.0M to $43.4MAug 18, 2023 to Mar 29, 2024
- RAUM · $47.0M to $55.4MAug 18, 2023 to Mar 29, 2024
- Accounts · 136 to 163Mar 17, 2023 to Apr 11, 2023
- HNW clients · 9 to 39Mar 17, 2023 to Apr 11, 2023
- Individual clients · 125 to 124Mar 17, 2023 to Apr 11, 2023
- Pension plan clients · 2 to 0Mar 17, 2023 to Apr 11, 2023
- Pooled vehicle clients · 0 to 4Mar 17, 2023 to Apr 11, 2023
- Discretionary RAUM · $6.0M to $5.0MMar 17, 2023 to Apr 11, 2023
- HNW RAUM · $15.0M to $30.3MMar 17, 2023 to Apr 11, 2023
- Individual RAUM · $27.0M to $11.3MMar 17, 2023 to Apr 11, 2023
- Non-discretionary RAUM · $37.0M to $42.0MMar 17, 2023 to Apr 11, 2023
Signals
1 dated events
- M•••••• G••••• A••••••• L•• filed its initial SEC registration (Form ADV)May 27, 2022 · 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
- 631-240-4155reportedpublic record, Form ADV, Apr 21, 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
- $8.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026