DFX Intelligence
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SEC-registered adviser
C••••••• A•••••••
Legal name C••••••• A••••••• P••• L••
Latest filing Mar 25, 2026
First filing on the tape Feb 10, 2020 · 11 filings
SEC status approved since Mar 13, 2020
RAUM
$84.2M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
79%
$66.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$42.1M
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
11 filings and snapshots on the tape
RAUM$84.2M as of Mar 25, 2026
Feb 27, 2021$56.0M then
HNW client RAUM$66.8M as of Mar 25, 2026
Mar 10, 2022$50.1M then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Feb 27, 20210 then
Employees (5.A)5 as of Mar 25, 2026
Feb 27, 20212 then
Private funds: no history
RAUM +25% over the last fiscal year+8.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $42.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $3.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 21%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
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$66.8M79%
- Pension and profit-sharing plans$17.4M21%
- Individual clients
- n/areported
- HNW clients
- 16reported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 25reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.79 fund_share=0.0 institutional_share=0.21 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• M••• L•••••Chartered Financial Consultant | Valley Stream, Ny | Mar 26, 2021 | 35 y | 0 |
| N•••••• A• S•••Chartered Financial Analyst | Valley Stream, Ny | Mar 29, 2021 | 32 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• E•••• M••• · Co-Owner And Ccocontrolsince 02/2019 · owns 50% to 75%
- S•••• N••••••• A• · Co-Ownercontrolsince 02/2019 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Valley Stream, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW clients · 15 to 16Mar 19, 2025 to Mar 25, 2026
- Pension plan clients · 10 to 9Mar 19, 2025 to Mar 25, 2026
- Discretionary RAUM · $58.1M to $66.8MMar 19, 2025 to Mar 25, 2026
- HNW RAUM · $58.1M to $66.8MMar 19, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $9.1M to $17.4MMar 19, 2025 to Mar 25, 2026
- Pension RAUM · $9.1M to $17.4MMar 19, 2025 to Mar 25, 2026
- RAUM · $67.3M to $84.2MMar 19, 2025 to Mar 25, 2026
- Accounts · 26 to 25Mar 15, 2024 to Mar 19, 2025
- Pension plan clients · 11 to 10Mar 15, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Mar 15, 2024 to Mar 19, 2025
- Discretionary RAUM · $54.5M to $58.1MMar 15, 2024 to Mar 19, 2025
- HNW RAUM · $54.5M to $58.1MMar 15, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $21.0M to $9.1MMar 15, 2024 to Mar 19, 2025
- Pension RAUM · $21.0M to $9.1MMar 15, 2024 to Mar 19, 2025
- RAUM · $75.5M to $67.3MMar 15, 2024 to Mar 19, 2025
- Accounts · 42 to 26Mar 24, 2023 to Mar 15, 2024
- HNW clients · 16 to 15Mar 24, 2023 to Mar 15, 2024
- Discretionary RAUM · $66.8M to $54.5MMar 24, 2023 to Mar 15, 2024
- HNW RAUM · $50.0M to $54.5MMar 24, 2023 to Mar 15, 2024
- Individual RAUM · 617000.0 to unsetMar 24, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $0 to $21.0MMar 24, 2023 to Mar 15, 2024
- Pension RAUM · $16.2M to $21.0MMar 24, 2023 to Mar 15, 2024
- RAUM · $66.8M to $75.5MMar 24, 2023 to Mar 15, 2024
- Accounts · 28 to 42Mar 10, 2022 to Mar 24, 2023
- Pension plan clients · 9 to 11Mar 10, 2022 to Mar 24, 2023
- Discretionary RAUM · $51.5M to $66.8MMar 10, 2022 to Mar 24, 2023
- HNW RAUM · $50.1M to $50.0MMar 10, 2022 to Mar 24, 2023
- Individual RAUM · $1.5M to $617,000Mar 10, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $13.0M to $0Mar 10, 2022 to Mar 24, 2023
- Pension RAUM · $13.0M to $16.2MMar 10, 2022 to Mar 24, 2023
- RAUM · $64.5M to $66.8MMar 10, 2022 to Mar 24, 2023
- Accounts · 43 to 28Feb 28, 2021 to Mar 10, 2022
- HNW clients · unset to 16.0Feb 28, 2021 to Mar 10, 2022
- Individual clients · 21.0 to unsetFeb 28, 2021 to Mar 10, 2022
- Pension plan clients · 8 to 9Feb 28, 2021 to Mar 10, 2022
- Employees · 2 to 5Feb 28, 2021 to Mar 10, 2022
- Discretionary RAUM · $56.0M to $51.5MFeb 28, 2021 to Mar 10, 2022
- HNW RAUM · unset to 50065000.0Feb 28, 2021 to Mar 10, 2022
- Individual RAUM · $45.8M to $1.5MFeb 28, 2021 to Mar 10, 2022
- Non-discretionary RAUM · $0 to $13.0MFeb 28, 2021 to Mar 10, 2022
Signals
1 dated events
- C••••••• A••••••• P••• filed its initial SEC registration (Form ADV)Feb 10, 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
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Mar 25, 2026
- Principal office phone
- 516-240-6161reportedpublic record, Form ADV, Mar 25, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $42.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026