DFX Intelligence

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

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

Q••••••• C•••••• M••••••••• L••

CRD 109952

FAIRFIELD, NJ

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Data as of Feb 10, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 1
Observed: Mar 7, 2012 to Feb 10, 2020
23 observations

Across DFX

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

Private Equityidentity

Q••••••• C•••••• M••••••••• L••

Intermediary · key_crd, shared_crd

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: $599M••• Locked
Discretionary RAUM: $597M
Private client RAUM: $597Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••• J••••••	CHAIRMAN & CHIEF INVESTMENT OFFICER	Na	yes	01/2001	Mar 7, 2012	Feb 10, 2020
K••••••• J••••• E•••••	President	Na	yes	02/2019	Mar 7, 2012	Feb 10, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• C•••••• M••••••••• I••	n/a	Former SEC adviser	$1.2B	N	yes	n/a
L••••• W•••••• • A••••••••• I•••	n/a	Former SEC adviser	$617M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$599M	$479M	25.1%	$414M	13.1%	11	10	0	0

Relationships

Affiliated with (3)

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

Controls (4)

← F•••••• J••••••Owner

Dated events

Order

Occurred
10 Feb 2020
Regulatory AUM changed
••• Locked
Form ADV
$120M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 7, 2012
Last observed: Feb 10, 2020 80 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.