DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

B•••••••••

No RAUM reportedSEC-registeredwebsite

No RAUM reported.

Composed from this adviser's Form ADV classification, location and filed figures.

Advisors
0
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 298140 · SEC 801-113929 · 13 filingsShow
CRD 298140SEC 801-113929Legal name B••••••••• I••First filing on the tape Aug 2, 2018, latest Jun 30, 2026SEC status approved since Sep 3, 2018IAPD
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape

Filed figures over time · the tape starts Aug 2, 2018

Peer group: Other advisers, under $100M, 660 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$0 as of Jun 30, 2026
Jun 24, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 30, 2026
Jul 2, 20190 then
Employees (5.A)1 as of Jun 30, 2026
Jul 2, 20191 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed fees, subscriptionreportedItem 5.E
Advisory activities
financial planning, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
RAUM: 0% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bank; 100% of advisors also broker-dealer representativesderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • T••••• F•••••••• L•• · Cfocontrol
        since 09/2005 · owns 75% or more
      Ownership changes
      Schedule A, between consecutive filings
      No owner or control person joined or left between filings on the tape.
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Old Westbury, NY
      What changed
      consecutive filings, newest first
      • Accounts · unset to 0.0
        Mar 2, 2024 to Jun 24, 2025
      • Financial planning clients · 1-10 to 1-10
        Mar 2, 2024 to Jun 24, 2025
      • HQ city · unset to
        Mar 2, 2024 to Jun 24, 2025
      • HQ state · unset to
        Mar 2, 2024 to Jun 24, 2025
      • Discretionary RAUM · unset to 0.0
        Mar 2, 2024 to Jun 24, 2025
      Full history · 15 changes
      • Non-discretionary RAUM · unset to 0.0
        Mar 2, 2024 to Jun 24, 2025
      • RAUM · unset to 0.0
        Mar 2, 2024 to Jun 24, 2025
      • Advisory activities · 1 to 2
        Jul 15, 2023 to Mar 2, 2024
      • Advisory employees · 0 to 1
        Jul 2, 2019 to Aug 7, 2021
      • Advisory activities · 5 to 1
        Jul 2, 2019 to Aug 7, 2021
      • BD registered reps · 0 to 1
        Jul 2, 2019 to Aug 7, 2021
      • Insurance-licensed employees · 0 to 1
        Jul 2, 2019 to Aug 7, 2021
      • HQ city · OLD WESTBURY to unset
        Jul 2, 2019 to Aug 7, 2021
      • HQ state · NY to unset
        Jul 2, 2019 to Aug 7, 2021
      • State-registered IARs · 0 to 1
        Jul 2, 2019 to Aug 7, 2021
      Signals
      1 dated events
      • ••• Locked
        Aug 2, 2018 · 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.
      Web presence
      addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

      Website (2), LinkedIn profile (1) · the addresses open with an account

      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Jun 30, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jun 30, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      No RAUM reportedderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: regulatory AUM, net advisor flow, 12 months, RAUM change, 1 year, private clients.