DFX Intelligence

RIA Intelligence

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SEC-registered adviser

N•••••• I••••••••• A••••••• I•••••••••

Independent wealth managerCommack, New YorkCRD 290927SEC 801-112346website IAPD

Latest filing Apr 1, 2025

First filing on the tape Dec 21, 2017 · 10 filings

SEC status approved since Jan 19, 2018

RAUM

$57.4M

reported, Item 5.F

Discretionary

72%

of RAUM

Private clients

100%

$57.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$57.4M as of Apr 1, 2025

Mar 29, 2019$30.9M then

HNW client RAUM$20.7M as of Apr 1, 2025

Mar 29, 2019$5.1M then

State-registered IARs (5.B.3)1 as of Apr 1, 2025

Mar 29, 20191 then

Employees (5.A)5 as of Apr 1, 2025

Mar 29, 20191 then

Private funds: no history

RAUM +7.0% over the last fiscal year+2.4% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Apr 1, 2025; every figure names its basis

Archetypes, each a printed rule

Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $57.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 118derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.1MderivedHNW RAUM over HNW clients
Average account: $329,822derivedRAUM over accounts (5.F.2.f)
Discretionary: 72%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 5.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +7.0%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -8.5%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program: $18.3MreportedItem 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

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

Individuals$36.7M64%
High-net-worth individuals$20.7M36%

Individual clients: 100reported
HNW clients: 18reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 174reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived

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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

K••••••• M•••• J••••• · Managing Member & Chief Compliance Officercontrol
since 10/2017 · 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.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

discretionary share shiftChange between filings · filing Apr 1, 2025
discretionary share of RAUM moved from 30.0% to 72.0% between the annual amendments of 2024-03-29 and 2025-04-01
peers: independent wealth managers, under $100M (707)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 168 to 174
Mar 29, 2024 to Apr 1, 2025
Individual clients · 111 to 100
Mar 29, 2024 to Apr 1, 2025
Financial planning clients · 0 to 0
Mar 29, 2024 to Apr 1, 2025
Discretionary RAUM · $15.8M to $41.4M
Mar 29, 2024 to Apr 1, 2025
HNW RAUM · $18.8M to $20.7M
Mar 29, 2024 to Apr 1, 2025
Individual RAUM · $34.8M to $36.7M
Mar 29, 2024 to Apr 1, 2025
Non-discretionary RAUM · $37.8M to $16.0M
Mar 29, 2024 to Apr 1, 2025
RAUM · $53.6M to $57.4M
Mar 29, 2024 to Apr 1, 2025
Accounts · 174 to 168
Oct 5, 2023 to Mar 29, 2024
HNW clients · 108 to 18
Oct 5, 2023 to Mar 29, 2024
Individual clients · 21 to 111
Oct 5, 2023 to Mar 29, 2024
Discretionary RAUM · $35.9M to $15.8M
Oct 5, 2023 to Mar 29, 2024
HNW RAUM · $28.6M to $18.8M
Oct 5, 2023 to Mar 29, 2024
Individual RAUM · $20.9M to $34.8M
Oct 5, 2023 to Mar 29, 2024
Non-discretionary RAUM · $13.6M to $37.8M
Oct 5, 2023 to Mar 29, 2024
RAUM · $49.5M to $53.6M
Oct 5, 2023 to Mar 29, 2024
Accounts · 165 to 174
Apr 5, 2022 to Mar 30, 2023
HNW clients · 5 to 108
Apr 5, 2022 to Mar 30, 2023
Individual clients · 122 to 21
Apr 5, 2022 to Mar 30, 2023
Commission compensation · true to false
Apr 5, 2022 to Mar 30, 2023
Employees · 4 to 5
Apr 5, 2022 to Mar 30, 2023
Discretionary RAUM · $37.4M to $35.9M
Apr 5, 2022 to Mar 30, 2023
HNW RAUM · $3.3M to $28.6M
Apr 5, 2022 to Mar 30, 2023
Individual RAUM · $50.2M to $20.9M
Apr 5, 2022 to Mar 30, 2023
Non-discretionary RAUM · $16.0M to $13.6M
Apr 5, 2022 to Mar 30, 2023
RAUM · $53.5M to $49.5M
Apr 5, 2022 to Mar 30, 2023
Employees · 1 to 4
Jan 13, 2022 to Mar 31, 2022
Insurance-licensed employees · 1 to 0
Jan 13, 2022 to Mar 31, 2022
Financial planning clients · 101-250 to 0
Jan 13, 2022 to Mar 31, 2022
Accounts · 114 to 165
Mar 29, 2019 to Jan 13, 2022
Individual clients · 110 to 122
Mar 29, 2019 to Jan 13, 2022
Commission compensation · false to true
Mar 29, 2019 to Jan 13, 2022
Other offices · 1 to 0
Mar 29, 2019 to Jan 13, 2022
Discretionary RAUM · $16.7M to $37.4M
Mar 29, 2019 to Jan 13, 2022
HNW RAUM · $5.1M to $3.3M
Mar 29, 2019 to Jan 13, 2022
Individual RAUM · $25.8M to $50.2M
Mar 29, 2019 to Jan 13, 2022
Non-discretionary RAUM · $14.2M to $16.0M
Mar 29, 2019 to Jan 13, 2022
RAUM · $30.9M to $53.5M
Mar 29, 2019 to Jan 13, 2022
Accounts · 104 to 114
Nov 9, 2018 to Mar 29, 2019
HNW clients · 0 to 5
Nov 9, 2018 to Mar 29, 2019

Signals

1 dated events

N•••••• I••••••••• A••••••• I••••••••• filed its initial SEC registration (Form ADV)
Dec 21, 2017 · 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: n•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: (631) 366-1999reportedpublic record, Form ADV, Apr 1, 2025

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: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026