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

R••••••• W••••• M••••••••• L••

Independent wealth managerIslip Terrace, New YorkCRD 324004SEC 801-127867website IAPD

Latest filing Sep 4, 2026

First filing on the tape Mar 31, 2023 · 11 filings

SEC status approved since May 1, 2023

RAUM

$750M

reported, Item 5.F

Discretionary

87%

of RAUM

Private clients

86%

$641M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$150M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM$750M as of Feb 20, 2026

Feb 20, 2024$478M then

HNW client RAUM$546M as of Feb 20, 2026

Feb 20, 2024$319M then

State-registered IARs (5.B.3)4 as of Feb 20, 2026

Feb 20, 20244 then

Employees (5.A)4 as of Feb 20, 2026

Feb 20, 20245 then

Private funds: no history

RAUM +19% over the last fiscal yearIARs 5 to 4

Practice profile

derived from the filing of Sep 4, 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
Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients

RAUM per advisor: $150MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 172derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.6MderivedHNW RAUM over HNW clients
Average account: $501,762derivedRAUM over accounts (5.F.2.f)
Discretionary: 87%derivedof RAUM
Institutional: 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 0.8derivedItem 5.A over advisors
Advisors per office: 5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: -20%derivedItem 5.B.3 between annual amendments
Client growth, one year: +14%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody: $49.3M, 36 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)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$546M73%
Individuals$95.0M13%
Pension and profit-sharing plans$88.0M12%
Corporations and businesses$17.7M2.4%
Charitable organizations$3.0M0.4%

Individual clients: 522reported
HNW clients: 339reported
Pension plan clients: 39reported
Charitable clients: 2reported
Accounts: 1,494reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $49.3M for 36 clientsreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.86 fund_share=0.0 institutional_share=0.12 related_bd= related_bank= bd_reps=0.0derived

Advisors registered through the firm

5 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
G•••••• M•••••• G•••••••	Islip Terrace, Ny	May 1, 2023	14 y	2
M••• B•••••• R•••	Islip Terrace, Ny	May 1, 2023	42 y	2
N••••••• A•••••• C••••••	Islip Terrace, Ny	May 28, 2023	13 y	1
S•••••••• L•••••	Islip Terrace, Ny	Jun 20, 2024	10 y	0
C••••• J•••• M••••••	Islip Terrace, Ny	Jun 10, 2026	11 y	0

Advisor movement

1 left, 0 joined in 12 months

net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount3 left over 36 months

Left, latest

A•••••• S•••• to P••••••• C•••••• S•••••••• I•••
Nov 6, 2025 · RIA to RIA
S••••• H•••••• to C•••••• S••••• • C••• I•••
Dec 2, 2024 · RIA to affiliated broker-dealer or bank
J••••• V•••••• to E•• F•••••••• A•••••••
Jan 5, 2024 · RIA to RIA

Joined, latest

N••••••• A•••••• C•••••• from L•• F•••••••• L••
May 28, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
G•••••• M•••••• G••••••• from L•• F•••••••• L••
May 1, 2023 · Other
J••••• V•••••• from L•• F•••••••• L••
May 1, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
M••• B•••••• R••• from L•• F•••••••• L••
May 1, 2023 · Other
A•••••• S•••• from L•• F•••••••• L••
May 1, 2023 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from L•• F•••••••• L••
Jun 18, 2024 · Plainview, Ny
2 joined from L•• F•••••••• L••
Aug 9, 2023 · Plainview, Ny

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

G•••••••• G••••••• M•••••• · Owner, Chief Executive Officer, Chief Compliance Officercontrol
since 03/2023 · 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
Islip Terrace, Ny · principal	5	1	0
Plainview, Ny	0	0	1

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · 0 to 0
Feb 20, 2026 to Sep 4, 2026
Related adviser · false to unset
Feb 20, 2026 to Sep 4, 2026
Related bank · false to unset
Feb 20, 2026 to Sep 4, 2026
Related broker-dealer · false to unset
Feb 20, 2026 to Sep 4, 2026
Related insurance company · false to unset
Feb 20, 2026 to Sep 4, 2026
Succession · false to unset
Feb 20, 2026 to Sep 4, 2026
Accounts · 1,321 to 1,494
Jan 31, 2025 to Feb 20, 2026
Advisory employees · 5 to 4
Jan 31, 2025 to Feb 20, 2026
Corporate clients · 15 to 16
Jan 31, 2025 to Feb 20, 2026
HNW clients · 340 to 339
Jan 31, 2025 to Feb 20, 2026
Individual clients · 412 to 522
Jan 31, 2025 to Feb 20, 2026
Pension plan clients · 56 to 39
Jan 31, 2025 to Feb 20, 2026
Assets in custody · $33.7M to $49.3M
Jan 31, 2025 to Feb 20, 2026
Employees · 5 to 4
Jan 31, 2025 to Feb 20, 2026
State-registered IARs · 5 to 4
Jan 31, 2025 to Feb 20, 2026
Discretionary RAUM · $538M to $656M
Jan 31, 2025 to Feb 20, 2026
HNW RAUM · $451M to $546M
Jan 31, 2025 to Feb 20, 2026
Individual RAUM · $69.6M to $95.0M
Jan 31, 2025 to Feb 20, 2026
Non-discretionary RAUM · $94.1M to $94.0M
Jan 31, 2025 to Feb 20, 2026
Pension RAUM · $93.2M to $88.0M
Jan 31, 2025 to Feb 20, 2026
RAUM · $632M to $750M
Jan 31, 2025 to Feb 20, 2026
Accounts · 1,007 to 1,321
Jun 17, 2024 to Jan 31, 2025
BD registered reps · 4 to 0
Jun 17, 2024 to Jan 31, 2025
Corporate clients · 12 to 15
Jun 17, 2024 to Jan 31, 2025
HNW clients · 285 to 340
Jun 17, 2024 to Jan 31, 2025
Individual clients · 283 to 412
Jun 17, 2024 to Jan 31, 2025
Pension plan clients · 40 to 56
Jun 17, 2024 to Jan 31, 2025
Assets in custody · $24.9M to $33.7M
Jun 17, 2024 to Jan 31, 2025
Financial planning clients · 0 to 0
Jun 17, 2024 to Jan 31, 2025
HQ city · PLAINVIEW to ISLIP TERRACE
Jun 17, 2024 to Jan 31, 2025
State-registered IARs · 4 to 5
Jun 17, 2024 to Jan 31, 2025
Discretionary RAUM · $390M to $538M
Jun 17, 2024 to Jan 31, 2025
HNW RAUM · $319M to $451M
Jun 17, 2024 to Jan 31, 2025
Individual RAUM · $51.7M to $69.6M
Jun 17, 2024 to Jan 31, 2025
Non-discretionary RAUM · $88.0M to $94.1M
Jun 17, 2024 to Jan 31, 2025
Pension RAUM · $91.0M to $93.2M
Jun 17, 2024 to Jan 31, 2025
RAUM · $478M to $632M
Jun 17, 2024 to Jan 31, 2025
Accounts · 843 to 1,007
Oct 25, 2023 to Feb 20, 2024
Advisory employees · 4 to 5
Oct 25, 2023 to Feb 20, 2024
Corporate clients · 6 to 12
Oct 25, 2023 to Feb 20, 2024

Signals

7 dated events

A•••••• S•••• left R••••••• W••••• M••••••••• L•• for P••••••• C•••••• S•••••••• I••• (registered 2025-12-15)
Nov 6, 2025 · Advisor changed firm · fact
R••••••• W••••• M••••••••• L•• reported RAUM $631.7M, up 32% from $477.5M (2024-06-17 to 2025-01-31)
Jan 31, 2025 · RAUM change · derived
S••••• H•••••• left R••••••• W••••• M••••••••• L•• for C•••••• S••••• • C••• I••• (registered 2025-01-21)
Dec 2, 2024 · Advisor changed firm · fact
2 advisors left L•• F•••••••• L•• (Plainview, NY) for R••••••• W••••• M••••••••• L•• on the same day
Jun 18, 2024 · Team lift-out · derived
J••••• V•••••• left R••••••• W••••• M••••••••• L•• for E•• F•••••••• A••••••• (registered 2024-03-27)
Jan 5, 2024 · Advisor changed firm · fact
2 advisors left L•• F•••••••• L•• (Plainview, NY) for R••••••• W••••• M••••••••• L•• on the same day
Aug 9, 2023 · Team lift-out · derived
R••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Mar 31, 2023 · 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 phone: 516-224-9383reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 516-605-1624reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: LINKEDIN.COM/COMPANY/R•••••••-WEALTH-MANAGEMENT-LLCreportedpublic record, Form ADV, Sep 18, 2026
Website: R•••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 516-605-1624reportedpublic record, Form ADV, Sep 4, 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: $150Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026