DFX Intelligence

Data Factory

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

POINT VIEW WEALTH MANAGEMENT, INC.

CRD 106119

SUMMIT, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c3495aff-0d38-d757-203e-0f3724a549e2

Data as of Jan 27, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 2
On other graphs: 0
Observed: Nov 8, 2011 to Jan 27, 2021
16 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $393MItem 5.F on the latest filing (2021-01-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $392M
Private client RAUM: $389MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 745
Individual clients: 94
High net worth clients: 65
Custody, client assets: $30.7M
SEC number: 801-43340
CRD: 106119
Filings on the tape: 16
First filed: Nov 8, 2011
Latest filed: Jan 27, 2021
Organised: Corporation, New Jersey

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ALVARADO, KAREN, JOHANNA	CHIEF COMPLIANCE OFFICER	Na	yes	09/2019	Sep 27, 2019	Jan 27, 2021
DIETZE, DAVID, GODDEN	PRESIDENT AND CHIEF INVESTMENT STRATEGIST	Na	yes	01/1993	Nov 8, 2011	Jan 27, 2021
PEAPACK-GLADSTONE BANK	Shareholder	E	yes	09/2019	Sep 27, 2019	Jan 27, 2021
PEPACK-GLADSTONE FINANCIAL CORPORATION	Shareholder	E	yes	08/1997	Sep 27, 2019	Jan 27, 2021
POLAND, TODD, MARTIN	GENERAL COUNSEL/SECRETARY	Na	yes	09/2019	Sep 27, 2019	Jan 27, 2021
TOTH, CLAIRE, ELLEN	VP AND TREASURER	Na	yes	09/2019	Nov 8, 2011	Jan 27, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MURPHY CAPITAL MANAGEMENT INC	n/a	Former SEC adviser	$1.2B	N	yes	n/a
LASSUS WHERLEY & ASSOCIATES, INC.	n/a	Former SEC adviser	$617M	N	yes	n/a
CLAIRE E. TOTH	n/a	n/a	n/a	Y	no	n/a
PEAPACK-GLADSTONE BANK	n/a	n/a	n/a	Y	yes	n/a
PEAPACK-GLADSTONE MORTGAGE GROUP, INC.	n/a	n/a	n/a	N	yes	n/a
PGB TRUST & INVESTMENTS OF DELAWARE	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Jan 27, 2021	$393M	$392M	5	4	0	n/a	n/a
2019	Mar 26, 2020	$380M	$377M	5	4	0	n/a	n/a
2018	Mar 29, 2019	$307M	$305M	5	4	0	n/a	n/a
2017	Feb 8, 2018	$332M	$332M	5	4	0	n/a	n/a
2016	Feb 8, 2017	$282M	$282M	5	4	n/a	n/a	n/a
2015	Feb 4, 2016	$242M	$242M	5	4	n/a	n/a	n/a
2014	Mar 17, 2015	$211M	$211M	5	4	n/a	n/a	n/a
2013	Feb 4, 2014	$179M	$179M	4	3	n/a	n/a	n/a
2012	Feb 26, 2013	$136M	$136M	2	1	n/a	n/a	n/a
2011	Mar 21, 2012	$116M	$116M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$393M	$380M	3.6%	$332M	5.8%	5	5	0	0

Relationships

Affiliated with (4)

← LASSUS WHERLEYRegistered adviserother investment adviser, common control
factForm ADV
→ MURPHY CAPITAL MANAGEMENT INCRegistered adviserother investment adviser, common control
factForm ADV
→ LASSUS WHERLEYRegistered adviserother investment adviser, common control
factForm ADV
← QUADRANT CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (6)

← DIETZE, DAVID, GODDENOwnerPRESIDENT AND CHIEF INVESTMENT STRATEGIST, ownership code NA, individual
Nov 8, 2011 to presentfactForm ADV
← ALVARADO, KAREN, JOHANNAOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 27, 2019 to presentfactForm ADV
← TOTH, CLAIRE, ELLENOwnerVP AND TREASURER, ownership code NA, individual
Nov 8, 2011 to presentfactForm ADV
← POLAND, TODD, MARTINOwnerGENERAL COUNSEL/SECRETARY, ownership code NA, individual
Sep 27, 2019 to presentfactForm ADV
← PEAPACK-GLADSTONE BANKOwnerSHAREHOLDER, ownership code E, domestic entity
Sep 27, 2019 to presentfactForm ADV
← PEPACK-GLADSTONE FINANCIAL CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Sep 27, 2019 to presentfactForm ADV

Registered with (1)

← Frederick W. SchoenhutAdvisorregistration: previous registration
Sep 30, 2019 to Jan 28, 2021factForm ADV

Dated events

Occurred
Sep 27, 2019
Control person joined
Johanna Karen Alvarado (Chief Compliance Officer) appeared on Schedule A of Point View Wealth Management, Inc.
Form ADVobserved 6 days ago
Occurred
Sep 27, 2019
Control person joined
Martin Todd Poland (General Counsel/Secretary) appeared on Schedule A of Point View Wealth Management, Inc.
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c3495aff-0d38-d757-203e-0f3724a549e2
First observed: Nov 8, 2011
Last observed: Jan 27, 2021 68 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.

POINT VIEW WEALTH MANAGEMENT, INC.

CRD 106119

SUMMIT, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c3495aff-0d38-d757-203e-0f3724a549e2

Data as of Jan 27, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:06 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALVARADO, KAREN, JOHANNA

CHIEF COMPLIANCE OFFICER

yes

09/2019

Sep 27, 2019

Jan 27, 2021

DIETZE, DAVID, GODDEN

PRESIDENT AND CHIEF INVESTMENT STRATEGIST

yes

01/1993

Nov 8, 2011

Jan 27, 2021

PEAPACK-GLADSTONE BANK

Shareholder

yes

09/2019

Sep 27, 2019

Jan 27, 2021

PEPACK-GLADSTONE FINANCIAL CORPORATION

Shareholder

yes

08/1997

Sep 27, 2019

Jan 27, 2021

POLAND, TODD, MARTIN

GENERAL COUNSEL/SECRETARY

yes

09/2019

Sep 27, 2019

Jan 27, 2021

TOTH, CLAIRE, ELLEN

VP AND TREASURER

yes

09/2019

Nov 8, 2011

Jan 27, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MURPHY CAPITAL MANAGEMENT INC

n/a

Former SEC adviser

$1.2B

yes

n/a

LASSUS WHERLEY & ASSOCIATES, INC.

n/a

Former SEC adviser

$617M

yes

n/a

CLAIRE E. TOTH

n/a

PEAPACK-GLADSTONE BANK

n/a

yes

n/a

PEAPACK-GLADSTONE MORTGAGE GROUP, INC.

n/a

yes

n/a

PGB TRUST & INVESTMENTS OF DELAWARE

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Jan 27, 2021

$393M

$392M

n/a

2019

Mar 26, 2020

$380M

$377M

n/a

2018

Mar 29, 2019

$307M

$305M

n/a

2017

Feb 8, 2018

$332M

n/a

2016

Feb 8, 2017

$282M

n/a

2015

Feb 4, 2016

$242M

n/a

2014

Mar 17, 2015

$211M

n/a

2013

Feb 4, 2014

$179M

n/a

2012

Feb 26, 2013

$136M

n/a

2011

Mar 21, 2012

$116M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$393M

$380M

3.6%

$332M

5.8%