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

N• F•••••••• P••••

Independent wealth managerHuntington, New YorkCRD 337288SEC 801-133967websiteIAPD
Legal name L••• I••••• F•••••••• L••
Latest filing Jan 20, 2026
First filing on the tape Jul 31, 2025 · 3 filings
SEC status approved since Jul 25, 2025
RAUM
$65.2M
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
70%
$45.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$65.2M
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
3 filings and snapshots on the tape
RAUM$65.2M as of Jan 20, 2026
Jul 31, 2025$0 then
HNW client RAUM$25.8M as of Jan 20, 2026
Oct 9, 2025$20.2M then
State-registered IARs (5.B.3)1 as of Jan 20, 2026
Jul 31, 20251 then
Employees (5.A)1 as of Jan 20, 2026
Jul 31, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 20, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$65.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
84derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$232,927derivedRAUM over accounts (5.F.2.f)
Discretionary
70%derivedof RAUM
Institutional
30%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
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$25.8M40%
  • Individuals$20.0M31%
  • Pension and profit-sharing plans$11.1M17%
  • Insurance companies$8.3M13%
Individual clients
69reported
HNW clients
15reported
Pension plan clients
11reported
Charitable clients
n/areported
Accounts
280reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.7 fund_share=0.0 institutional_share=0.3 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A••• A• N•••Certified Financial PlannerHuntington, NyJul 25, 202518 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 275 to 280
      Oct 9, 2025 to Jan 20, 2026
    • HNW clients · 11 to 15
      Oct 9, 2025 to Jan 20, 2026
    • Individual clients · 71 to 69
      Oct 9, 2025 to Jan 20, 2026
    • Financial planning clients · 0 to 101-250
      Oct 9, 2025 to Jan 20, 2026
    • Discretionary RAUM · $43.0M to $45.8M
      Oct 9, 2025 to Jan 20, 2026
    • HNW RAUM · $20.2M to $25.8M
      Oct 9, 2025 to Jan 20, 2026
    • Individual RAUM · $22.8M to $20.0M
      Oct 9, 2025 to Jan 20, 2026
    • Non-discretionary RAUM · $25.0M to $19.4M
      Oct 9, 2025 to Jan 20, 2026
    • Pension RAUM · $16.8M to $11.1M
      Oct 9, 2025 to Jan 20, 2026
    • RAUM · $67.9M to $65.2M
      Oct 9, 2025 to Jan 20, 2026
    • Accounts · 0 to 275
      Jul 31, 2025 to Oct 9, 2025
    • HNW clients · unset to 11.0
      Jul 31, 2025 to Oct 9, 2025
    • Individual clients · unset to 71.0
      Jul 31, 2025 to Oct 9, 2025
    • Pension plan clients · unset to 11.0
      Jul 31, 2025 to Oct 9, 2025
    • Insurance-licensed employees · 1 to 0
      Jul 31, 2025 to Oct 9, 2025
    • Financial planning clients · 0 to 0
      Jul 31, 2025 to Oct 9, 2025
    • Discretionary RAUM · $0 to $43.0M
      Jul 31, 2025 to Oct 9, 2025
    • HNW RAUM · unset to 20204843.0
      Jul 31, 2025 to Oct 9, 2025
    • Individual RAUM · unset to 22755903.0
      Jul 31, 2025 to Oct 9, 2025
    • Non-discretionary RAUM · $0 to $25.0M
      Jul 31, 2025 to Oct 9, 2025
    • Pension RAUM · unset to 16806904.0
      Jul 31, 2025 to Oct 9, 2025
    • RAUM · $0 to $67.9M
      Jul 31, 2025 to Oct 9, 2025
    Signals
    No event on the tape.
    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
    631-629-1794reportedpublished by the firm, firm site, Sep 16, 2026
    Firm profile
    linkedin.com/company/nfinancialplansreportedpublic record, Form ADV, Sep 19, 2026
    Website
    n•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    631-629-1794reportedpublic record, Form ADV, Jan 20, 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
    $65.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026