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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Former SEC-registered adviser

T•••••• B•••••••• I•••

Former SEC-registered adviserCold Spring Harbor, New YorkCRD 29102SEC 801-68376websiteIAPD
Latest filing Mar 25, 2026
First filing on the tape Mar 29, 2012 · 25 filings
SEC status approved since Nov 6, 2007
RAUM
$37.7M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
43%
$16.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$37.7M as of Mar 25, 2026
Mar 29, 2012$64.5M then
HNW client RAUM$16.3M as of Mar 25, 2026
Mar 30, 2018$84.3M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 29, 20120 then
Employees (5.A)5 as of Mar 25, 2026
Apr 2, 201320 then
Private funds: no history
RAUM -16% over the last fiscal year-8.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
RAUM per advisor
$18.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$146,796derivedHNW RAUM over HNW clients
Average account
$202,735derivedRAUM 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
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-16%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$45.1MreportedItem 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
  • Corporations and businesses$21.4M57%
  • High-net-worth individuals$16.3M43%
Individual clients
n/areported
HNW clients
111reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
186reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • T••••••• M•••••• N••••••• · President, Ceo, Finop, Ropcontrol
      since 09/1991 · owns 50% to 75%
    • T••••••• R••••• F•••••• · Vice Presidentcontrol
      since 01/1992 · owns 50% to 75%
    • O•• R•••••• C• · Chief Compliance Officer
      since 11/2004 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Cold Spring Harbor, Ny · principal001
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 190 to 186
      Jun 25, 2025 to Mar 25, 2026
    • BD registered reps · 8 to 5
      Jun 25, 2025 to Mar 25, 2026
    • Corporate clients · 74 to 75
      Jun 25, 2025 to Mar 25, 2026
    • HNW clients · 116 to 111
      Jun 25, 2025 to Mar 25, 2026
    • Employees · 9 to 5
      Jun 25, 2025 to Mar 25, 2026
    • HNW RAUM · $20.1M to $16.3M
      Jun 25, 2025 to Mar 25, 2026
    • Non-discretionary RAUM · $45.1M to $37.7M
      Jun 25, 2025 to Mar 25, 2026
    • RAUM · $45.1M to $37.7M
      Jun 25, 2025 to Mar 25, 2026
    • Financial planning clients · 101-250 to 101-250
      Apr 15, 2025 to Jun 25, 2025
    • Accounts · 195 to 190
      Nov 6, 2024 to Mar 5, 2025
    • HNW clients · 121 to 116
      Nov 6, 2024 to Mar 5, 2025
    • HNW RAUM · $25.4M to $20.1M
      Nov 6, 2024 to Mar 5, 2025
    • Non-discretionary RAUM · $57.5M to $45.1M
      Nov 6, 2024 to Mar 5, 2025
    • RAUM · $57.5M to $45.1M
      Nov 6, 2024 to Mar 5, 2025
    • Related broker-dealer · false to true
      Nov 6, 2024 to Mar 5, 2025
    • Wrap assets (manager) · unset to 0.0
      Nov 6, 2024 to Mar 5, 2025
    • Wrap assets (sponsor) · unset to 0.0
      Nov 6, 2024 to Mar 5, 2025
    • BD registered reps · 3 to 8
      Feb 6, 2024 to Feb 7, 2024
    • Employees · 3 to 9
      Feb 6, 2024 to Feb 7, 2024
    • Accounts · 207 to 195
      Oct 10, 2023 to Feb 6, 2024
    • Corporate clients · 21 to 74
      Oct 10, 2023 to Feb 6, 2024
    • HNW clients · 186 to 121
      Oct 10, 2023 to Feb 6, 2024
    • HNW RAUM · $41.4M to $25.4M
      Oct 10, 2023 to Feb 6, 2024
    • Non-discretionary RAUM · $49.2M to $57.5M
      Oct 10, 2023 to Feb 6, 2024
    • RAUM · $49.2M to $57.5M
      Oct 10, 2023 to Feb 6, 2024
    • Accounts · 214 to 207
      Jan 31, 2022 to Mar 1, 2023
    • Corporate clients · 71 to 21
      Jan 31, 2022 to Mar 1, 2023
    • HNW clients · 143 to 186
      Jan 31, 2022 to Mar 1, 2023
    • Insurance-licensed employees · 0 to 2
      Jan 31, 2022 to Mar 1, 2023
    • HNW RAUM · $32.8M to $41.4M
      Jan 31, 2022 to Mar 1, 2023
    • Non-discretionary RAUM · $71.6M to $49.2M
      Jan 31, 2022 to Mar 1, 2023
    • RAUM · $71.6M to $49.2M
      Jan 31, 2022 to Mar 1, 2023
    • Accounts · 206 to 214
      Jan 27, 2022 to Jan 31, 2022
    • BD registered reps · 4 to 3
      Jan 27, 2022 to Jan 31, 2022
    • Corporate clients · 70 to 71
      Jan 27, 2022 to Jan 31, 2022
    • HNW clients · 136 to 143
      Jan 27, 2022 to Jan 31, 2022
    • Individual clients · 0.0 to unset
      Jan 27, 2022 to Jan 31, 2022
    • Employees · 4 to 3
      Jan 27, 2022 to Jan 31, 2022
    • HNW RAUM · $31.1M to $32.8M
      Jan 27, 2022 to Jan 31, 2022
    • Individual RAUM · 0.0 to unset
      Jan 27, 2022 to Jan 31, 2022
    Signals
    2 dated events
    • T•••••• B•••••••• I••• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $37.7M)
      Jun 1, 2026 · Left the SEC roster · derived
    • M•••••• N••••••• T•••••• left T•••••• B•••••••• I••• for A•••• C•••••• C•••• (registered 2026-04-28)
      May 14, 2026 · Advisor changed firm · fact
    Across DFX
    shared identifiers only, never a name match
    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
    Former SEC-registered adviserderiveda 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