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
P••••••• T••••••••• P•••••••
Legal name P••••••• T••••••••• P••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Sep 5, 2019 · 22 filings
SEC status approved since Oct 7, 2019
RAUM
$1.2B
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
97%
$1.2B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$123M
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.2B as of Mar 31, 2026
Mar 23, 2020$472M then
HNW client RAUM$1.1B as of Mar 31, 2026
Mar 23, 2020$432M then
State-registered IARs (5.B.3)8 as of Mar 31, 2026
Mar 23, 20200 then
Employees (5.A)12 as of Mar 31, 2026
Mar 23, 20207 then
Private funds6 as of Mar 31, 2026
Mar 22, 20222 then
RAUM +13% over the last fiscal year+24% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 31, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $123MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $544,459derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $521M, 518 clientsreportedItem 9.A
- 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 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B86%
- Individuals$137M11%
- Corporations and businesses$32.4M2.6%
- Pension and profit-sharing plans$3.5M0.3%
- Charitable organizations$250,1580.0%
- Individual clients
- 535reported
- HNW clients
- 336reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 2,257reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $521M for 518 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• F••••• | Locust Valley, Ny | Apr 24, 2020 | 31 y | 3 |
| M•••••• S• S•••••• | Locust Valley, Ny | Apr 24, 2020 | 18 y | 2 |
| P•••••• M•••••• V•• R•••• | Locust Valley, Ny | Apr 30, 2020 | 28 y | 2 |
| M•••••• R••• S•••• | Locust Valley, Ny | Aug 30, 2021 | 23 y | 3 |
| P•••••• K••••• M•••• | Locust Valley, Ny | Jan 13, 2022 | 29 y | 0 |
| S•••••• J•••• N••••••• | Locust Valley, Ny | Aug 9, 2022 | 10 y | 1 |
| J••••• D••• S•••• | Locust Valley, Ny | Sep 6, 2022 | 10 y | 0 |
| N•••••••• T••••• S•••••• | Locust Valley, Ny | Sep 12, 2022 | 19 y | 0 |
| R••••• J• T•••••• | Woodbury, Ny | Apr 24, 2025 | 10 y | 1 |
| J••• J•••• L•••• | Locust Valley, Ny | Dec 9, 2025 | 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
- M•••••• V•••••• G••••• to R••••••••• A•• W••••• A• A••••••• L••Jan 3, 2023 · Other
Joined, latest
- J••• J•••• L•••• from M•• I•••••••• S•••••••• L••Dec 9, 2025 · Affiliated broker-dealer or bank to independent RIA
- R••••• J• T•••••• from M••••• S••••••Apr 24, 2025 · Wirehouse to independent RIA
- S•••••• J•••• N••••••• from J••• M••••• S••••••••• L••Aug 9, 2022 · Wirehouse to independent RIA
- M•••••• R••• S•••• from M••••• S••••••Aug 30, 2021 · Wirehouse to independent RIA
- P•••••• M•••••• V•• R•••• from M••••• S••••••Apr 30, 2020 · Wirehouse to independent RIA
- M•••••• S• S•••••• from S•••••• C• B•••••••• • C••• L••Apr 24, 2020 · Other
- J•••••• F••••• from M••••• S••••••Apr 24, 2020 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M••••• S••••••Nov 13, 2019 · Garden City, Ny
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••••••••• S•• F••• I•• L• | Other Private Fund | $16.9M | 217 | Mar 28, 2024 |
| N••••••••• S•• F••• I• L• | Other Private Fund | $11.6M | 47 | Mar 22, 2022 |
| N••••••••• S•• F••• I• •••••••• L• | $11.1M | 100 | Mar 31, 2026 | |
| N••••••••• S•• F••• V• L• | $7.5M | 100 | Mar 31, 2026 | |
| N••••••••• S•• F••• V•• L• | $2.3M | 43 | Mar 31, 2026 | |
| N••••••••• S•• F••• I• L• | Other Private Fund | $2.0M | 29 | Mar 22, 2022 |
Owners and control persons
Schedule A and B, latest filing
- P•••••• M•••• H•••••• · Membercontrolsince 08/2019 · owns 75% or more of U••••• A••••••• C••••••• L••
- K•••••• T•••••• D••••• · Chief Compliance Officersince 03/2025 · owns less than 5%
- S••••••••• M••••••• A••••• · Chief Compliance Officersince 08/2019 · owns less than 5%
Entity owners
- U••••• A••••••• C••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- N••••••••• S•• F••• I• G•• L••pooled vehicle sponsorn
- N••••••••• S•• F••• I• G•• L••pooled vehicle sponsorn
- N••••••••• S•• F••• I• G•• L••pooled vehicle sponsorn
- U••••• A••••••• I••••••••• M••••••••• L••investment advisern
Advisers that list P••••••• T••••••••• P••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Locust Valley, Ny · principal | 10 | 1 | 0 | ||
| Woodbury, Ny | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Woodbury, NY3 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 31, 2026P•••••• M•••• H•••••• (MEMBER) left Schedule A between the filings of 2019-11-08 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- private fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 4.0 to 6.0 (+50.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (126 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $1B to $5B (126) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 1,939 to 2,257Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 8 to 9Mar 31, 2025 to Mar 31, 2026
- Charity clients · 0 to 1Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 11 to 14Mar 31, 2025 to Mar 31, 2026
- HNW clients · 264 to 336Mar 31, 2025 to Mar 31, 2026
- Individual clients · 491 to 535Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 4.0 to unsetMar 31, 2025 to Mar 31, 2026
- Assets in custody · $516M to $521MMar 31, 2025 to Mar 31, 2026
- Employees · 11 to 12Mar 31, 2025 to Mar 31, 2026
- HQ city · NEW YORK to LOCUST VALLEYMar 31, 2025 to Mar 31, 2026
- Private funds · 4 to 6Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.0B to $1.1BMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $813M to $1.1BMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $143M to $137MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $69.0M to $123MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $2.8M to $3.5MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · 122735744.0 to unsetMar 31, 2025 to Mar 31, 2026
- RAUM · $1.1B to $1.2BMar 31, 2025 to Mar 31, 2026
- Accounts · 1,724 to 1,939Jun 5, 2024 to Mar 31, 2025
- Advisory employees · 7 to 8Jun 5, 2024 to Mar 31, 2025
- BD registered reps · 9 to 8Jun 5, 2024 to Mar 31, 2025
- Corporate clients · 6 to 11Jun 5, 2024 to Mar 31, 2025
- HNW clients · 155 to 264Jun 5, 2024 to Mar 31, 2025
- Individual clients · 450 to 491Jun 5, 2024 to Mar 31, 2025
- Pooled vehicle clients · 3 to 4Jun 5, 2024 to Mar 31, 2025
- Assets in custody · $483M to $516MJun 5, 2024 to Mar 31, 2025
- Employees · 12 to 11Jun 5, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 1-10Jun 5, 2024 to Mar 31, 2025
- Private funds · 3 to 4Jun 5, 2024 to Mar 31, 2025
- Discretionary RAUM · $915M to $1.0BJun 5, 2024 to Mar 31, 2025
- HNW RAUM · $691M to $813MJun 5, 2024 to Mar 31, 2025
- Individual RAUM · $112M to $143MJun 5, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $21.6M to $69.0MJun 5, 2024 to Mar 31, 2025
- Pension RAUM · $2.2M to $2.8MJun 5, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $83.9M to $123MJun 5, 2024 to Mar 31, 2025
- RAUM · $937M to $1.1BJun 5, 2024 to Mar 31, 2025
- Accounts · 1,398 to 1,724Mar 24, 2023 to Mar 28, 2024
- Advisory employees · 8 to 7Mar 24, 2023 to Mar 28, 2024
- Advisory activities · 3 to 4Mar 24, 2023 to Mar 28, 2024
- BD registered reps · 6 to 9Mar 24, 2023 to Mar 28, 2024
Signals
4 dated events
- P••••••• T••••••••• P••••••• reported RAUM $936.7M, up 44% from $648.3M (2023-03-24 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- M•••••• V•••••• G••••• left P••••••• T••••••••• P••••••• for R••••••••• A•• W••••• A• A••••••• L•• (registered 2023-06-12)Jan 3, 2023 · Advisor changed firm · fact
- Hulbert Mark Penske (Member) appeared on Schedule A of P••••••• T••••••••• P•••••••Nov 8, 2019 · Control person joined · fact
- P••••••• T••••••••• P••••••• filed its initial SEC registration (Form ADV)Sep 5, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••• T••••••••• P••••••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business email
- i•••@n•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/northeast-private-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- n•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-444-2362reportedpublic record, Form ADV, Mar 31, 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
- $123Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026