DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

S•••••• A•••• M••••••••• L••

CRD 149582

CHATHAM, NJ

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Search this name across graphsid dfx:ria:6de43b04-28c5-1051-5bb1-54bac15c291b

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 53
Dated events: 18
On other graphs: 1
Observed: Feb 7, 2013 to Mar 31, 2026
44 observations

Across DFX

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

Private Creditidentity

S•••••• A•••• M••••••••• L••

Private credit manager · shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.15 fund_share=0.25 institutional_share=0.0 related_bd=true related_bank=false bd_reps=12.0
Regulatory AUM: $1.7B••• Locked
Discretionary RAUM: $1.7B
Private client RAUM: $250Mderived••• Locked
Private client share: 15%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 20
RAUM per advisor: $85.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P••• R•••••• S••••••••	Certified Financial Planner	WESTFIELD, NJ \| CHATHAM, NJ	13	33	n/a	yes
M••• M•••••• P•••••	n/a	CHATHAM, NJ \| summit, NJ	13	32

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••• C••••• O••••••••• F••• L•	Hedge Fund	$55.9M	Aug 22, 2024	15	Mar 27, 2020	reported	021-361415
G•••••• S•••••• T•••• R••••• M••••• F•••• L••	Hedge Fund	$33.7M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• J••••• B••••••••	MANAGING MEMBER	F	yes	01/2021	Mar 31, 2022	Aug 22, 2024
F••••••••• T•••• M•••••	CHIEF OPERATING OFFICER/ELECTED MANAGER	Na	yes	02/2021	Mar 31, 2021	Aug 22, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R• S•••••• • C••• L••	n/a	Former SEC adviser	$35.6M	N	yes	n/a
R•• F•••••••• P••••••• L••	n/a	n/a	n/a	N	yes	n/a
S•••••• C••••• O••••••••• F••• G• L•

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
RED BANK	Nj	United States	2	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	1	-1	5.0%	0	0	0	0	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	$1.7B	$1.6B	9.7%	$1.1B	16.7%	29	30	1	1

Relationships

Registered with (27)

← A••••• M•••••• L•••••Advisorregistration: current employment
Apr 13, 2026 to presentfactForm ADV
← A••••• K•••••••• W••••Advisorregistration: current employment
Feb 11, 2026 to presentfactForm ADV
← A••••• M•••• K•••••Advisorregistration: current employment
Aug 9, 2024 to presentfactForm ADV
← R•••••• R•••••••••

Dated events

Occurred
Mar 31, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Aug 21, 2024
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 22, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$363M
Occurred
Jun 15, 2023
Advisor changed firm
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6de43b04-28c5-1051-5bb1-54bac15c291b
First observed: Feb 7, 2013
Last observed: Mar 31, 2026 5 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.

Controls (13)

← M••••• I••• A•••••• Q••••••OwnerMANAGING MEMBER, ownership code F, individual
Aug 30, 2017 to Aug 22, 2024factForm ADV
← B•••••• J••••• B••••••••OwnerMANAGING MEMBER, ownership code F, individual
Mar 31, 2022 to Aug 22, 2024factForm ADV
← G•••••• L•••••• A••OwnerMANAGING MEMBER, ownership code F, individual
Mar 31, 2022 to Aug 22, 2024factForm ADV
← K••••• K••••••• H•••••OwnerCHIEF EXECUTIVE OFFICER/ ELECTED MANAGER, ownership code NA, individual
Nov 21, 2016 to Aug 22, 2024factForm ADV
← F••••••••• T•••• M•••••OwnerCHIEF OPERATING OFFICER/ELECTED MANAGER, ownership code NA, individual
Mar 31, 2021 to Aug 22, 2024factForm ADV
← P•••••• K•••••••• N••OwnerMANAGING MEMBER, ownership code F, individual
Feb 7, 2013 to Aug 22, 2024factForm ADV
← K•••••• A•••••• M••••OwnerCHIEF INVESTMENT OFFICER/ELECTED MANAGER, ownership code NA, individual
Aug 21, 2024 to Aug 22, 2024factForm ADV
← S••••••• B•••••••• P••••••OwnerMANAGING MEMBER, ownership code F, individual
Mar 30, 2016 to Aug 22, 2024factForm ADV
← M••••••• A••••••••• N••OwnerMANAGING MEMBER, ownership code F, individual
Feb 7, 2013 to Aug 22, 2024factForm ADV
← S••••••• R••••••• P•••OwnerMANAGING MEMBER, ownership code F, individual
Feb 7, 2013 to Aug 22, 2024factForm ADV
← M••••••• M••••• N••OwnerCHIEF FINANCIAL OFFICER/ELECTED MANAGER, ownership code NA, individual
Mar 17, 2023 to Aug 22, 2024factForm ADV
← S••••••• J•••••• K•••OwnerOWNER, ownership code C, individual
Mar 30, 2016 to Aug 22, 2024factForm ADV
← S•••••• H••••••• L••OwnerOWNER/ MEMBER, ownership code E, domestic entity
Mar 31, 2022 to Aug 22, 2024factForm ADV