3 D Wealth Ria, LLC (Locust Valley)

3 D Wealth Ria, LLC is an adviser based in Locust Valley. It manages $12.46 million of regulatory assets for 25 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of New York and South Dakota.

3 D Wealth Ria provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

3 D Wealth Ria: assets under management

The assets under management (AUM) of 3 D Wealth Ria, LLC is $12.46 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $12.46 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $498.33 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 70% of the total AUM. The second-largest asset type is government bonds, which make up 15% of the firm’s portfolio. Investments in non-exchange traded securities form 10% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay 3 D Wealth Ria, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Monroe M Diefendorf serves?

The firm provides services to individuals and corporations or other businesses. The largest group of clients of Monroe M Diefendorf is individuals with 23 clients and $12.45 million of assets under management. Among the 0 most similar advisory firms, 3 D Wealth Ria has the 0th lowest percentage of individuals out of all clients.

The amount of regulatory assets under management is $12.46 million for 25 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

3 D Wealth Ria doesn't advise any private funds.

Careers at 3 D Wealth Ria, LLC

The company employs 5 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Monroe M Diefendorf has been acting as President since 1 Feb 2012. Llc 3 Dimensional Wealth Advisory joined the executive team most recently as the Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Monroe M Diefendorf	President/chief compliance officer	1 Feb 2012	Other	805205
Llc 3 Dimensional Wealth Advisory	Shareholder	1 Feb 2012	75% - 100%	11-3715440

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Llc South Dakota Trust Company	Trustee	1 Feb 2012	Other	80-0003725
The Diefendorf Family 2011 Dynasty Trust	Shareholder	1 Feb 2012	75% - 100%	45-6386900

Based in Locust Valley

The principal office where 3 D Wealth Ria, LLC performs its advisory services is located at 152 Forest Ave., Locust Valley, NY 11560, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 516-759-3900 or by fax 516-759-3928. The normal business hours are 9am to 5pm on Monday - Friday.