DFX Intelligence
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Reading the graph
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N••••••••• W••••• MANAGEMENT, LLC, CRD 146612
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| C•••• F••••• | n/a | NORTH CALDWELL, NJ | 18 | 22 | 10 | no |
| A•••• L••••••• C••••• | n/a | Weston, FL | NORTH CALDWELL, NJ | 8 | 15 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| F•••••• C•••• | MANAGING MEMBER,PRESIDENT, CHIEF INVESTMENT OFFICER, CHIEF COMPLIANCE OFFICER | E | yes | 03/2008 | Jun 29, 2022 | Mar 11, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| N••••••••• W••••• I•••••••• A•••••••• L•• | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Charlotte | Nc | United States | 1 | no |
| Herndon | Va | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 1 | 0 | 16.7% | 0 | 0 | 0 | 1 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $215M | $153M | 40.3% | $131M | 17.9% | 8 | 7 | 5 | 5 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| H••••• R•••• | 2 | Jul 10, 2018 | Sep 12, 2018 | CHARLOTTE, NC | Team lift out | RIA to RIA | 6.1% |
| no |
| K•••• L••••••• | n/a | Charlotte, NC | NORTH CALDWELL, NJ | 7 | 21 | 2 | no |
| S••••• A••• R••••• | n/a | NORTH CALDWELL, NJ | Herndon, VA | 6 | 29 | 5 | no |
| M••••• J• H••••••• | n/a | NORTH CALDWELL, NJ | Monroe Township, NJ | 0 | 32 | n/a | no |
| A••• W••••• | Certified Financial Planner|Chartered Financial Analyst | NORTH CALDWELL, NJ | Pennington, NJ | 0 | 15 | 3 | no |
| $215M |
| $179M |
| 8 |
| 7 |
| 5 |
| n/a |
| n/a |
| 2024 | Mar 25, 2025 | $153M | $112M | 7 | 6 | 5 | n/a | n/a |
| 2023 | Mar 11, 2024 | $160M | $120M | 8 | 6 | 5 | n/a | n/a |
| 2022 | Mar 31, 2023 | $131M | $99.7M | 11 | 10 | 7 | n/a | n/a |