DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

S•••• P•••• A•••••••• L••

CRD 296848

BRIELLE, NJ

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Data as of Jul 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 10:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 3
On other graphs: 0
Observed: Feb 3, 2021 to Jul 30, 2026
15 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: independent wealth managerderived••• Locked
Regulatory AUM: $328M••• Locked
Discretionary RAUM: $328M
Private client RAUM: $311Mderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor: $32.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• B••••• R••	n/a	BRIELLE, NJ	8	21	2	no
T••••• M• S•••••••••	Personal Financial Specialist	BRIELLE, NJ \| Point Pleasant Boro, NJ	8	24

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••• J••••• C•	MANAGING MEMBER/CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER	E	yes	03/2016	Feb 3, 2021	Nov 6, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J•• F••••••••• L••	n/a	n/a	n/a	N	yes	n/a

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
2025	Mar 11, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	10.0%	0	1	0	3	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	$328M	$257M	27.5%	$163M	26.3%	5	4	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P••• A••••• S••••••••• L••	4	Jun 21, 2018	Jun 7, 2018	BRIELLE, NJ	Team lift out	Ibd to RIA	0.3%

Relationships

Registered with (12)

← N••••••• R••••• L•••••Advisorregistration: current employment
Jun 1, 2026 to presentfactForm ADV
← V••••• A• D•••••Advisorregistration: current employment
Sep 18, 2025 to presentfactForm ADV
← C•••• F••Advisorregistration: current employment
May 6, 2025 to presentfactForm ADV
← N••• J•••••• T••••••

Dated events

Order

Occurred
17 Jul 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
27 Feb 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
3 Feb 2021
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 3, 2021
Last observed: Jul 30, 2026 56 days 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.