DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM over $100B

P••• I••••••••• L••

CRD 105670

NEWARK, NJ

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Data as of May 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 4:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 216
Dated events: 44
On other graphs: 2
Observed: Mar 19, 2012 to May 22, 2026
35 observations

Across DFX

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

Real Estate Fundsidentity

P••• I••••••••• L••

Affiliate · same CRD

Private Creditidentity

P••• I••••••••• L••

Private credit manager · same CRD

Facts

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

Firm class: asset managerderived••• Locked
Regulatory AUM: $345B••• Locked
Discretionary RAUM: $345B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 73
RAUM per advisor: $4.7Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• P•••• D••••••••	n/a	JACKSONVILLE, FL	24	35	n/a	yes
T•••••• J••• T•••	n/a	BRIDGEWATER, NJ	24	33

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• B••••• K•••	SENIOR VICE PRESIDENT	Na	yes	10/2007	Mar 19, 2012	Mar 26, 2024
B•••••••• S••••• E•••••	EXECUTIVE VICE PRESIDENT	Na	yes	09/2009	Mar 19, 2012	Mar 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••• I•••	n/a	Other adviser	$1.13T	N	yes	n/a
J••••••• A••••••••• L••	n/a	Asset manager	$215B	N	yes	n/a

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
12	5	7	6.8%	2	0	0	23	13

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	$345B	$322B	7.1%	$312B	3.4%	458	490	0	0

Relationships

showing 80 of 216

Affiliated with (29)

← P••• L••••••Registered adviserother investment adviser, bank, common control
factForm ADV
← P••• C••••• H•••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← P••• Q••••••••• S••••••••Registered adviserother investment adviser, bank, common control
factForm ADV
→ P•••• I•••Registered adviser

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
22 May 2026
Ria principal change2 events
P••• I••••••••• L••: ria principal change, 2 events, on 22 May 2026
- ••• Locked
- ••• Locked
Occurred
15 Jun 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
21 May 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
23 Apr 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
5 Feb 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 19, 2012
Last observed: May 22, 2026 4 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.

All 25 rows

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• M•••• P••••••	n/a	PARKLAND, FL	18	26	n/a	yes
G•••••• A•••••• R••••	n/a	ALAMO, CA	18	31	1	yes
P••• W•••••• L•• W•••••••	n/a	Gainesville, VA	16	29	2	yes
P••••• M•••••• S•••••	n/a	Rye, NY	16	25	2	yes
A•••••• W••••• M•••••	n/a	COHASSET, MA	16	30	2	yes
H•••• T• R•••••••	n/a	New City, NY	16	19	2	yes
R••••• J•••• F••••••	n/a	Ashuburn, VA	15	23	2	yes
J••••• L•••• T•••••	n/a	San Marcos, CA	15	28	2	yes
E••• J••• S•••••	n/a	Newtown, PA	14	33	3	yes
N••••• P••••••••• S••••	n/a	St. Petersburg, FL	14	16	1	yes
J••••••• T••••• K•••	n/a	Shaker Heights, OH	14	20	3	yes
J••••• F•••••	n/a	NEWARK, NJ	12	14	2	yes
A•••••• M•••••• B••••••	n/a	Newark, NJ	11	13	1	yes
R••••• M•••••• A•••••	n/a	S••••SDALE, AZ	11	22	2	yes
J•••• R••••• R••••••	n/a	WESTCHESTER, PA	11	22	3	yes

All 21 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••• R••• E••••• ••• L••••••	n/a	Asset manager	$1.2B	N	yes	n/a
T•• P••••••••• I•••••••• C•••••• O• A••••••	n/a	Former SEC adviser	$251M	N	yes	n/a
P••• R••• E••••• A••••••• L••	n/a	No RAUM reported	$0	N	yes	n/a
P•••• S••••••••• L••	n/a	No RAUM reported	$0	N	yes	n/a
M•••••• C•••••• P••••••• A•	n/a	n/a	n/a	N	yes	n/a
P••• I••••••••• •••••••• L••••••	n/a	n/a	n/a	N	yes	n/a
P•••• L••• I•••••••• C••••••	n/a	n/a	n/a	N	yes	n/a
P•••• L••• I•••••••• C•••••• O• N•• J•••••	n/a	n/a	n/a	N	yes	n/a
P••••••••• A•••••••• D••••••••• I••	n/a	n/a	n/a	N	yes	n/a
P••••••••• I••••••••• M••••••••• S••••••• L••	n/a	n/a	n/a	N	yes	n/a
P••••••••• T•••• C••••••	n/a	n/a	n/a	N	yes	n/a

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016	$258B	$258B	423	93	n/a	n/a	n/a
2014	Mar 27, 2015	$270B	$270B	361	92	n/a	n/a	n/a
2013	Mar 27, 2014	$261B	$261B	337	94	n/a	n/a	n/a
2012	Mar 28, 2013	$212B	$212B	409	102	n/a	n/a	n/a
2011	Mar 19, 2012	$178B	$178B	n/a	n/a	n/a	n/a	n/a