DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

B•• W••••• S••••••••• L••

CRD 166962

BASKING RIDGE, NJ

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Search this name across graphsid dfx:ria:c11d79c4-47b8-2fd1-ca55-202c49507d6d

Data as of Mar 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 6
On other graphs: 0
Observed: Feb 14, 2013 to Mar 9, 2026
38 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 managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0
Regulatory AUM: $247M••• Locked
Discretionary RAUM: $247M
Private client RAUM: $247Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $82.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• L••• S•••••••	Certified Financial Planner	Boca Raton, FL \| BASKING RIDGE, NJ	13	37	2	yes
K•••• L•••• P•••••	n/a	BASKING RIDGE, NJ	3	11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J••••• A••••••• G•••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2021	Mar 9, 2021	Aug 19, 2024
S•••••••• D••••• L•••	MANAGING MEMBER	E	yes	02/2013	Feb 14, 2013	Aug 19, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•• R••• S••••••••• I•••	n/a	n/a	n/a	N	yes	n/a
L•••• L• F•••••••	n/a	n/a	n/a	N	no	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
0	0	0	0.0%	0	0	0	1	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	$247M	$228M	8.3%	$152M	17.7%	6	5	0	0

Relationships

Registered with (4)

← L•••• R••• K•••••Advisorregistration: current employment
Sep 12, 2025 to presentfactForm ADV
← K•••• L•••• P•••••Advisorregistration: current employment
Mar 20, 2023 to presentfactForm ADV
← D•••• L••• S•••••••Advisorregistration: current employment
Feb 27, 2013 to presentfactForm ADV
← L••• A••• C•••••

Dated events

Occurred
Jun 4, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 9, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 9, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 1, 2020
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c11d79c4-47b8-2fd1-ca55-202c49507d6d
First observed: Feb 14, 2013
Last observed: Mar 9, 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.