DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

D••••••• W••••• M••••••••• L••

CRD 153227

FORKED RIVER, NJ

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Search this name across graphsid dfx:ria:4b73af3d-3ab5-f893-0c67-90b6fd529ab7

Data as of Jun 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 27, 2012 to Jun 15, 2026
31 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: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0
Regulatory AUM: $172M••• Locked
Discretionary RAUM: $60.7M
Private client RAUM: $170Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $57.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••••• E••••• P•••••	n/a	FORKED RIVER, NJ	16	36	1	yes
K••••••••• M•••••• S•••••••	Certified Financial Planner	FORKED RIVER, NJ	13	21

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••••• R••••••• E•••••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	E	yes	02/2010	Mar 27, 2012	Feb 29, 2024
S•••••••• K••••••••• M••••••	FINANCIAL PLANNER AND MINORITY OWNER	B	no	01/2020	Mar 11, 2021	Feb 29, 2024

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$172M	$148M	16.7%	$119M	13.3%	5	5	0	0

Relationships

Registered with (4)

← R•••••• J••••• P•••••Advisorregistration: current employment
Apr 16, 2024 to presentfactForm ADV
← K••••••••• M•••••• S•••••••Advisorregistration: current employment
Apr 2, 2013 to presentfactForm ADV
← R•••••• E••••• P•••••Advisorregistration: current employment
Apr 7, 2010 to presentfactForm ADV
← P••• A• L•••••••

Dated events

Occurred
Nov 17, 2025
Ria hq relocated
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4b73af3d-3ab5-f893-0c67-90b6fd529ab7
First observed: Mar 27, 2012
Last observed: Jun 15, 2026 3 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.