DFX Intelligence

P•••••• P•••••••• P•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

P•••••• P•••••••• P•••••••• L••

CRD 165616

PARAMUS, NJ

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Search this name across graphsid dfx:ria:256fee75-f573-0a9c-a976-35a39c011a38

Data as of Mar 28, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 55
Dated events: 40
On other graphs: 1
Observed: Oct 4, 2012 to Mar 28, 2025
114 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Family Officesidentity

P•••••• P•••••••• P••••••• L••

Office · shared cik

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.1B••• Locked
Discretionary RAUM: $1.0B
P•••••• client RAUM: $918Mderived••• Locked
P•••••• client share: 87%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 28

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••••• R••••••• G••••••	MANAGING DIRECTOR	E	yes	09/2012	Oct 4, 2012	Aug 13, 2024
W•••••• E•••• D•••••	CHIEF COMPLIANCE OFFICER	Na	no	07/2024	Jul 12, 2024	Aug 13, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Holmdel	Nj	United States	6	yes
FLORHAM PARK	Nj	United States	3	yes
Livingston	Nj	United States	2	yes
Hawthorne	NY	United States	2	yes
EAST LONG MEADOW	Ma	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	P•••••• funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$1.1B	$900M	17.0%	$871M	6.5%	28	28	15	15

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N•••••• A•••••••	3	Apr 8, 2025	Mar 17, 2025	PARAMUS, NJ	Team lift out	RIA to ibd	15.8%
L•• F•••••••• L••	12	Apr 8, 2025	Mar 27, 2025

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B•••••• A••••••• G•••• L••	2	Dec 2, 2021	Dec 10, 2021	LITTLE SILVER, NJ	Team lift out	RIA to RIA	18.2%
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	2	Feb 25, 2021

Relationships

Moved with (9)

→ T••••••• W••••• A•••••••• L••Registered adviser2 advisors, team lift out, same day
May 12, 2021 to Jan 1, 2026factForm ADV
→ L•• F•••••••• L••Registered adviser12 advisors, firm absorbed, same day
Apr 8, 2025 to Mar 27, 2025factForm ADV
→ N•••••• A•••••••Registered adviser3 advisors, team lift out, same day
Apr 8, 2025 to Mar 17, 2025factForm ADV
← B•••••• A••••••• G•••• L••

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 1, 2025
Left the SEC roster
••• Locked
Form ADVobserved 7 days ago
$1.1B
Occurred
Apr 8, 2025
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
12 advisors
Occurred
Apr 8, 2025
Team lift-out
••• Locked
Form ADVobserved 7 days ago
3 advisors
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:256fee75-f573-0a9c-a976-35a39c011a38
First observed: Oct 4, 2012
Last observed: Mar 28, 2025 18 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.