DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••• • S••••• A••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jul 1, 2022 · 9 filings
SEC status approved since Jul 29, 2022
RAUM
$41.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$41.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$41.3M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$41.3M as of Mar 27, 2026
May 4, 2023$46.7M then
HNW client RAUM$12.9M as of Mar 27, 2026
May 4, 2023$23.1M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
May 4, 20231 then
Employees (5.A)1 as of Mar 27, 2026
May 4, 20231 then
Private funds: no history
RAUM +25% over the last fiscal year-4.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $41.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $220,941derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $4.9M, 7 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Individuals$28.4M69%
- High-net-worth individuals$12.9M31%
- Individual clients
- 91reported
- HNW clients
- 7reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 187reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.9M for 7 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•• E• S•••••••••Certified Financial Planner | Rockville Centre, Ny | Jul 29, 2022 | 41 y | 1 |
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
- E•• E• S••••••••• from E•• S••••••••• C•••Jul 29, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• E••• E• · Managing Member/President/Chief Compliance Officercontrolsince 05/2022 · owns 75% or more
Related persons
Schedule D 7.A
- E•• E• S••••••••• C•••insurancey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 151 to 187Mar 27, 2025 to Mar 27, 2026
- HNW clients · 0 to 7Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $33.2M to $41.3MMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $5.9M to $12.9MMar 27, 2025 to Mar 27, 2026
- Individual RAUM · $27.3M to $28.4MMar 27, 2025 to Mar 27, 2026
- RAUM · $33.2M to $41.3MMar 27, 2025 to Mar 27, 2026
- Accounts · 173 to 151Sep 9, 2024 to Mar 27, 2025
- HNW clients · 6 to 0Sep 9, 2024 to Mar 27, 2025
- Individual clients · 83 to 91Sep 9, 2024 to Mar 27, 2025
- Assets in custody · $4.9M to $4.9MSep 9, 2024 to Mar 27, 2025
- Financial planning clients · 11-25 to 11-25Sep 9, 2024 to Mar 27, 2025
- HQ city · unset to Sep 9, 2024 to Mar 27, 2025
- HQ state · unset to Sep 9, 2024 to Mar 27, 2025
- Discretionary RAUM · $30.0M to $33.2MSep 9, 2024 to Mar 27, 2025
- HNW RAUM · $8.0M to $5.9MSep 9, 2024 to Mar 27, 2025
- Individual RAUM · $22.0M to $27.3MSep 9, 2024 to Mar 27, 2025
- RAUM · $30.0M to $33.2MSep 9, 2024 to Mar 27, 2025
- Accounts · 175 to 173Dec 26, 2023 to Jun 13, 2024
- Individual clients · 91 to 83Dec 26, 2023 to Jun 13, 2024
- Assets in custody · $4.0M to $4.9MDec 26, 2023 to Jun 13, 2024
- Discretionary RAUM · $46.7M to $30.0MDec 26, 2023 to Jun 13, 2024
- HNW RAUM · $23.1M to $8.0MDec 26, 2023 to Jun 13, 2024
- Individual RAUM · $23.6M to $22.0MDec 26, 2023 to Jun 13, 2024
- RAUM · $46.7M to $30.0MDec 26, 2023 to Jun 13, 2024
- Financial planning clients · unset to 11-25May 4, 2023 to Dec 26, 2023
- Related adviser · true to falseMay 4, 2023 to Dec 26, 2023
- Accounts · 163 to 175Apr 25, 2023 to May 4, 2023
- BD registered reps · 1 to 0Apr 25, 2023 to May 4, 2023
- HNW clients · 7 to 6Apr 25, 2023 to May 4, 2023
- Individual clients · 87 to 91Apr 25, 2023 to May 4, 2023
- Assets in custody · unset to 3982702.0Apr 25, 2023 to May 4, 2023
- Custody of client assets · false to trueApr 25, 2023 to May 4, 2023
- Discretionary RAUM · $43.2M to $46.7MApr 25, 2023 to May 4, 2023
- HNW RAUM · $24.3M to $23.1MApr 25, 2023 to May 4, 2023
- Individual RAUM · $18.9M to $23.6MApr 25, 2023 to May 4, 2023
- RAUM · $43.2M to $46.7MApr 25, 2023 to May 4, 2023
- Accounts · 0 to 163Jul 1, 2022 to Nov 29, 2022
- BD registered reps · 0 to 1Jul 1, 2022 to Nov 29, 2022
- HNW clients · 0 to 7Jul 1, 2022 to Nov 29, 2022
- Individual clients · 0 to 87Jul 1, 2022 to Nov 29, 2022
Signals
1 dated events
- S•••• • S••••• A••••••• L•• filed its initial SEC registration (Form ADV)Jul 1, 2022 · 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
- Principal office phone
- (516) 536-1438reportedpublic record, Form ADV, Mar 27, 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
- $41.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026