DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

W••• P•••••• C••••• A•••••••• L••

CRD 286319

FLORHAM PARK, NJ

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Search this name across graphsid dfx:ria:9a23a1a8-0909-4ec9-f536-4ba82e1ae71f

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 9
On other graphs: 1
Observed: Aug 2, 2019 to Mar 23, 2026
16 observations

Across DFX

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

Private Equityidentity

W••• P•••••• C••••• A•••••••• L••

Intermediary · key crd, shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.2B••• Locked
Discretionary RAUM: $1.2B
P•••••• client RAUM: $1.2Bderived••• Locked
P•••••• client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $174Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••••••• F••••••• L••• H•••••	n/a	FLORHAM PARK, NJ	8	12	2	no
T••••• J• B•••••••••	Certified Financial Planner	FLORHAM PARK, NJ	4	20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• S••••••••• F••••••• L•••	MEMBER/CHIEF EXECUTIVE OFFICER	C	yes	06/2018	Mar 23, 2026	Mar 23, 2026
W••• • C••••••• L••	MANAGING MEMBER	D	yes	08/2016	Mar 23, 2026	Mar 23, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••• • C••••••• L••	n/a	n/a	n/a	N	yes	n/a
W••• • C••••••• L••	n/a	n/a	n/a	Y	no	n/a
W••• P•••••• C••••• G••••• L••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	P•••••• funds	Fund GAV
2025

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	2	-2	28.6%	0	0	0	0	2

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	$1.2B	$810M	50.1%	$247M	70.1%	12	12	1	1

Relationships

Controls (2)

← W••• • C••••••• L••OwnerMANAGING MEMBER, ownership code D, domestic entity
Mar 23, 2026 to presentfactForm ADV
← H•••••• S••••••••• F••••••• L•••OwnerMEMBER/CHIEF EXECUTIVE OFFICER, ownership code C, individual
Mar 23, 2026 to presentfactForm ADV

Owns (1)

← K••••••• A••• F••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 23, 2026 to presentfactForm ADV

Registered with (13)

Dated events

Occurred
May 3, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 23, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$406M
Occurred
Mar 23, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Dec 24, 2025
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9a23a1a8-0909-4ec9-f536-4ba82e1ae71f
First observed: Aug 2, 2019
Last observed: Mar 23, 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.