DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 100m 1b

C•••••• I••••••••• A••••••• S••••••••• L••

CRD 165763

FAIRFIELD, NJ

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Search this name across graphsid dfx:ria:5ec11593-2898-b7ed-c3f4-5204363ca035

Data as of Mar 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 4
On other graphs: 0
Observed: Mar 18, 2016 to Mar 17, 2026
24 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: other adviserderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $232M••• Locked
Discretionary RAUM: $14.1M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $116Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••• B•••• R••••••••	Chartered Financial Consultant	FAIRFIELD, NJ	12	24	1	no
C•••• R• M•••••••••	n/a	FAIRFIELD, NJ	9	15

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• H••••••• I•••	Shareholder	E	yes	02/2013	Sep 14, 2016	Mar 14, 2024
A••••••• I••••••••• I•••	Shareholder	E	yes	02/2013	Sep 14, 2016	Mar 14, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• A•••• • W••••• M••••••••• L••	n/a	Former SEC adviser	n/a	N	yes	n/a
A••••••• C•••••• M••••••••• L••	n/a	n/a	n/a	Y	yes

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
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

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	$232M	$134M	72.5%	$174M	10.0%	3	3	1	1

Relationships

Affiliated with (1)

→ A••••••• A•••• • W••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Registered with (3)

← C•••• R• M•••••••••Advisorregistration: current employment
Oct 13, 2016 to presentfactForm ADV
← S•••• B•••• R••••••••Advisorregistration: current employment
Sep 8, 2014 to presentfactForm ADV
←

Dated events

Occurred
Oct 11, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 25, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 23, 2020
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 18, 2016
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5ec11593-2898-b7ed-c3f4-5204363ca035
First observed: Mar 18, 2016
Last observed: Mar 17, 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.