DFX Intelligence

R•• F•••••••• S•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

R•• F•••••••• S•••••••• I•••

CRD 298683

STROUDSBURG, PA

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Search this name across graphsid dfx:ria:45df408b-34fb-284e-d6d0-e4e6fa35be78

Data as of Mar 26, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Aug 29, 2018 to Mar 26, 2019
2 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $151M••• Locked
Discretionary RAUM: $151M
Private client RAUM: $151Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• R•••••• P•••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	11/1990	Aug 29, 2018	Mar 26, 2019

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Morristown	Nj	United States	2	no
Somerville	Nj	United States	2	no
Hackettstown	Nj	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 26, 2019	$151M	$151M	4	2	5	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$151M	n/a	n/a	n/a	n/a	4	n/a	5	n/a

Relationships

Controls (1)

← H•••••• R•••••• P•••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Aug 29, 2018 to presentfactForm ADV

Registered with (1)

← JENNIFER Ann O'HARAAdvisorregistration: previous registration
Oct 16, 2018 to Oct 30, 2019factForm ADV

Dated events

Occurred
Aug 29, 2018
First Form ADV filing
R•• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:45df408b-34fb-284e-d6d0-e4e6fa35be78
First observed: Aug 29, 2018
Last observed: Mar 26, 2019 91 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.