DFX Intelligence
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P••••••• A•• A••••••••• L••
Independent wealth manager, based in Melville, New York, reporting $293M of regulatory assets across 3 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $293M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +16%
- Private clients
- 100% of RAUM, $293M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $253MRAUM now $293M
- Contact points 9
Every filed figure, and the identifiersCRD 305933 · SEC 801-118271 · 17 filingsShowHide
CRD 305933SEC 801-118271First filing on the tape Feb 20, 2020, latest Mar 13, 2026SEC status approved since Mar 23, 2020IAPD
RAUM
$293M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$293M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$97.8M
derived; firm RAUM over IAPD count
Employees
4
3 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$293M as of Mar 13, 2026
Mar 3, 2021$176M then
HNW client RAUM$281M as of Mar 13, 2026
Mar 3, 2021$136M then
State-registered IARs (5.B.3)3 as of Mar 13, 2026
Mar 3, 20212 then
Employees (5.A)4 as of Mar 13, 2026
Mar 3, 20213 then
Private funds: no history
RAUM +16% over the last fiscal year+20% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $97.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 106derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $323,730derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $118M, 266 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$281M96%
- Individuals$12.8M4.3%
- Individual clients
- 186reported
- HNW clients
- 131reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 906reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $118M for 266 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• M•••••• P•••••••Certified Financial Planner, Chartered Financial Consultant | Melville, Ny | Sep 25, 2020 | 36 y | 1 |
| J••••• J••• R••••••••• | Melville, Ny | Mar 29, 2021 | 11 y | 1 |
| A•••••• S•••••• P•••••• | Melville, Ny | Feb 13, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
- J••••• J••• R••••••••• from A••••••••• F•••••••• S•••••••• L••Mar 29, 2021 · Affiliated broker-dealer or bank to independent RIA
- A•••• M•••••• P••••••• from A••••••••• F•••••••• S•••••••• L••Sep 25, 2020 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from A••••••••• F•••••••• S•••••••• L••Apr 6, 2020 · Melville, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• A••••• M•••••• · Managing Member, Principal; And Chief Compliance Officercontrolsince 02/2020 · 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 |
|---|---|---|---|---|---|
| Melville, Ny · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 889 to 906Feb 18, 2025 to Mar 13, 2026
- Advisory employees · 2 to 3Feb 18, 2025 to Mar 13, 2026
- HNW clients · 98 to 131Feb 18, 2025 to Mar 13, 2026
- Individual clients · 169 to 186Feb 18, 2025 to Mar 13, 2026
- Assets in custody · $12.1M to $118MFeb 18, 2025 to Mar 13, 2026
- Employees · 3 to 4Feb 18, 2025 to Mar 13, 2026
- State-registered IARs · 2 to 3Feb 18, 2025 to Mar 13, 2026
- Discretionary RAUM · $244M to $279MFeb 18, 2025 to Mar 13, 2026
- HNW RAUM · $233M to $281MFeb 18, 2025 to Mar 13, 2026
- Individual RAUM · $20.3M to $12.8MFeb 18, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $9.5M to $14.6MFeb 18, 2025 to Mar 13, 2026
- RAUM · $253M to $293MFeb 18, 2025 to Mar 13, 2026
- Accounts · 851 to 889Mar 13, 2024 to Feb 18, 2025
- HNW clients · 123 to 98Mar 13, 2024 to Feb 18, 2025
- Individual clients · 181 to 169Mar 13, 2024 to Feb 18, 2025
- Assets in custody · $6.9M to $12.1MMar 13, 2024 to Feb 18, 2025
- Financial planning clients · 26-50 to 51-100Mar 13, 2024 to Feb 18, 2025
- Discretionary RAUM · $195M to $244MMar 13, 2024 to Feb 18, 2025
- HNW RAUM · $167M to $233MMar 13, 2024 to Feb 18, 2025
- Individual RAUM · $44.9M to $20.3MMar 13, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $18.0M to $9.5MMar 13, 2024 to Feb 18, 2025
- Pension RAUM · 515106.0 to unsetMar 13, 2024 to Feb 18, 2025
- RAUM · $213M to $253MMar 13, 2024 to Feb 18, 2025
- Accounts · 787 to 851Mar 1, 2023 to Mar 13, 2024
- HNW clients · 78 to 123Mar 1, 2023 to Mar 13, 2024
- Individual clients · 149 to 181Mar 1, 2023 to Mar 13, 2024
- Assets in custody · $75.5M to $6.9MMar 1, 2023 to Mar 13, 2024
- Discretionary RAUM · $161M to $195MMar 1, 2023 to Mar 13, 2024
- HNW RAUM · $130M to $167MMar 1, 2023 to Mar 13, 2024
- Individual RAUM · $39.1M to $44.9MMar 1, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $8.3M to $18.0MMar 1, 2023 to Mar 13, 2024
- Pension RAUM · unset to 515106.0Mar 1, 2023 to Mar 13, 2024
- RAUM · $169M to $213MMar 1, 2023 to Mar 13, 2024
- Accounts · 842 to 787Jan 31, 2022 to Mar 1, 2023
- HNW clients · 75 to 78Jan 31, 2022 to Mar 1, 2023
- Individual clients · 125 to 149Jan 31, 2022 to Mar 1, 2023
- Assets in custody · $143M to $75.5MJan 31, 2022 to Mar 1, 2023
- Discretionary RAUM · $185M to $161MJan 31, 2022 to Mar 1, 2023
- HNW RAUM · $156M to $130MJan 31, 2022 to Mar 1, 2023
- Individual RAUM · $37.6M to $39.1MJan 31, 2022 to Mar 1, 2023
Signals
3 dated events
- ••• LockedMar 17, 2020 · Control person left · inference
- ••• LockedMar 17, 2020 · Control person joined · fact
- ••• LockedFeb 20, 2020 · 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
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 13, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 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
- $97.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026