DFX Intelligence

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

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 10b 100b

P••••••• A••••••••• L•••

CRD 110631

NEW YORK, NY

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Search this name across graphsid dfx:ria:55a0240d-ad05-190b-699b-a15541f61e18

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 75
Dated events: 5
On other graphs: 2
Observed: Mar 30, 2012 to Mar 26, 2026
40 observations

Across DFX

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

Private Equityidentity

P••••••• A••••••••• L•••

Intermediary · shared crd

Independent Sponsorsidentity

P••••••• A••••••••• L•••

Capital provider to sponsors · shared crd

Facts

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

Firm class: mixed wealth managerderivedprivate_client_share=0.38 fund_share=0.24 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $10B••• Locked
Discretionary RAUM: $10B
Private client RAUM: $3.9Bderived••• Locked
Private client share: 38%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 33
RAUM per advisor: $315Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••••• N•• D••••••	Certified Financial Planner	RED BANK, NJ \| NEW YORK, NY \| TYSONS, VA \| PRINCETON, NJ \| REDBANK, NJ	24	26	n/a	no
J•••• F• F••••••	Chartered Financial Analyst	NEW YORK, NY \| RED BANK, NJ	24	27

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••••••• E••••• F•••• L•••	Other Private Fund	$139M	Mar 26, 2026	99	Mar 30, 2012	reported	021-198264
P••••••• O••••••••• F•••• L•••	Other Private Fund	$21.9M	Mar 26, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• S••••• M••••••	President	Na	yes	02/2015	Mar 26, 2026	Mar 26, 2026
F••••••• J••••• F•	EXECUTIVE VICE PRESIDENT	A	yes	02/1999	Mar 26, 2026	Mar 26, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••••• W••••• M••••••••• A••••••• G••••• L••	n/a	Independent wealth	$2.3B	N	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Richmond	Va	United States	4	no
Westport	Ct	United States	3	no
Redbank	Nj	United States	3	no
WOODCLIFF LAKE	Nj	United States	3	no
Holmdel	Nj	United States

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
1	0	1	0.0%	0	0	0	3	1

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	$10B	$9.9B	5.3%	$6.6B	16.3%	69	70	8	8

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I••••••••• M••••••••• O• V•••••••• L••	4	Dec 11, 2023	May 18, 2023	RICHMOND, VA	Firm absorbed	RIA to RIA	66.7%
D•••••• A•••••••• L••	2	May 17, 2016	May 18, 2023

Relationships

Affiliated with (3)

→ W••••• W••••• M•••••••••Registered adviserother investment adviser
factForm ADV
← W••••• W••••• M•••••••••Registered adviserother investment adviser
factForm ADV
← I••••••••• M••••••••• O• V•••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Registered with (38)

← E•••• N•• P••••

Dated events

Occurred
Aug 4, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 11, 2023
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
4 advisors
Occurred
Mar 31, 2021
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 31, 2020
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:55a0240d-ad05-190b-699b-a15541f61e18
First observed: Mar 30, 2012
Last observed: Mar 26, 2026 6 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.

Owns (13)

← H•••••• J•••• M••••••OwnerSENIOR VICE PRESIDENT/DIRECTOR OF OPERATIONS, ownership code NA, individual
Mar 30, 2012 to Mar 28, 2024factForm ADV
← D•••• D•••••• M•••••OwnerVICE PRESIDENT, ownership code NA, individual
Mar 30, 2015 to Mar 28, 2024factForm ADV
← P••••••••• T••••••• J•••••OwnerSENIOR PORTFOLIO MANAGER, ownership code NA, individual
Mar 30, 2012 to Mar 28, 2024factForm ADV
← S••••• H•••••• W•••OwnerSENIOR PORTFOLIO MANAGER, ownership code NA, individual
Mar 30, 2012 to Mar 28, 2024factForm ADV
← D••••••• M••••••• F••••••OwnerDIRECTOR OF TAFT HARTLEY SERVICES, ownership code NA, individual
Mar 30, 2012 to Mar 28, 2024factForm ADV
← R•••• S••••• L••••••OwnerTRUSTEE, ownership code F, individual
Mar 30, 2012 to Mar 28, 2024factForm ADV
← F••••••••• E•••• N•••OwnerVICE PRESIDENT, ownership code NA, individual
Mar 30, 2012 to Mar 28, 2024factForm ADV
← B••••••• P••••••OwnerTRUSTEE, ownership code F, individual
Mar 31, 2023 to Mar 28, 2024factForm ADV
← P••••••• A••••••••OwnerTRUSTEE, ownership code F, individual
Mar 31, 2020 to Mar 28, 2024factForm ADV
← H•••••• K•••• H••••••OwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 30, 2012 to Mar 28, 2024factForm ADV
← A•••••••• L• P•••••• 2••• T••••OwnerOWNER, ownership code NA, domestic entity
Mar 31, 2023 to Mar 28, 2024factForm ADV
← T•• A•••••• I• G•• E••••• M•••••• T•••• U• T••••• P•••••• R•• T• D•• 1•••••••OwnerOWNER, ownership code A, domestic entity
Jul 16, 2021 to Mar 28, 2024factForm ADV
← T•• A•••••• I• N•• E••••• M•••••• T•••• U• T••••• P•••••• R•• T• D•• 1•••••••OwnerOWNER, ownership code A, domestic entity
Jul 16, 2021 to Mar 28, 2024factForm ADV