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.

Former SEC-registered adviser

Dominick & Dominick LLC

Former SEC-registered adviserNew York, New YorkCRD 7344SEC 801-63247IAPD
Latest filing Dec 16, 2014
First filing on the tape Mar 29, 2012 · 19 filings
RAUM
$372M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
100
65 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$372M as of Mar 25, 2014
Mar 29, 2012$322M then
HNW client RAUM: no history
State-registered IARs (5.B.3)41 as of Mar 25, 2014
Feb 27, 201338 then
Employees (5.A)100 as of Mar 25, 2014
Feb 27, 2013125 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 38 to 41
Practice profile
derived from the filing of Dec 16, 2014; every figure names its basis
RAUM per advisor
$9.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$644,159derivedRAUM over accounts (5.F.2.f)
Discretionary
78%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.4derivedItem 5.A over advisors
Advisors per office
10.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+7.9%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, commissionsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
577reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, commissionsreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Michael John Campbell · Non Executive Chairman, Membercontrol
      since 10/2012 · owns 25% to 50%
    • Kevin John Mckay · Chief Executive Officer, Managing Membercontrol
      since 08/2013 · owns 10% to 25%
    • Robert Xavier Reilly · Chief Operating Officer, Managing Membercontrol
      since 08/2003 · owns 5% to 10%
    • Todd Matthews Dematteo · Sr, Managing Director
      since 09/2007 · owns less than 5%
    • Robert Michael Hladek · Sr. Vice President, Chief Compliance Officer
      since 11/1995 · owns less than 5%
    Entity owners
    • Derby West LLC · Trustee Of Dm Trust
      direct · owns less than 5%
    • Dm Trust · Owner
      direct · owns 50% to 75%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Atlanta, GA
    • Miami, FL
    • ,
    What changed
    consecutive filings, newest first
    • Accounts · 434 to 577
      Dec 6, 2013 to Mar 25, 2014
    • Advisory employees · 49 to 65
      Dec 6, 2013 to Mar 25, 2014
    • BD registered reps · 75 to 84
      Dec 6, 2013 to Mar 25, 2014
    • Employees · 125 to 100
      Dec 6, 2013 to Mar 25, 2014
    • State-registered IARs · 38 to 41
      Dec 6, 2013 to Mar 25, 2014
    • Discretionary RAUM · $264M to $288M
      Dec 6, 2013 to Mar 25, 2014
    • Non-discretionary RAUM · $34.6M to $83.5M
      Dec 6, 2013 to Mar 25, 2014
    • RAUM · $299M to $372M
      Dec 6, 2013 to Mar 25, 2014
    • Related broker-dealer · false to true
      Dec 6, 2013 to Mar 25, 2014
    • Accounts · 433 to 434
      Jan 24, 2013 to Feb 27, 2013
    • Advisory employees · 45 to 49
      Jan 24, 2013 to Feb 27, 2013
    • BD registered reps · 37 to 75
      Jan 24, 2013 to Feb 27, 2013
    • Employees · 45 to 125
      Jan 24, 2013 to Feb 27, 2013
    • State-registered IARs · 40 to 38
      Jan 24, 2013 to Feb 27, 2013
    • Discretionary RAUM · $283M to $264M
      Jan 24, 2013 to Feb 27, 2013
    • Non-discretionary RAUM · $38.9M to $34.6M
      Jan 24, 2013 to Feb 27, 2013
    • RAUM · $322M to $299M
      Jan 24, 2013 to Feb 27, 2013
    • Advisory employees · unset to 45.0
      Oct 4, 2012 to Jan 24, 2013
    • BD registered reps · unset to 37.0
      Oct 4, 2012 to Jan 24, 2013
    • Employees · unset to 45.0
      Oct 4, 2012 to Jan 24, 2013
    • State-registered IARs · unset to 40.0
      Oct 4, 2012 to Jan 24, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026