DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

N•• C•••••• F•••••••• G••••• L••

Former SEC-registered adviserPrinceton, New JerseyCRD 104553SEC 801-51232websiteIAPD
Latest filing Nov 24, 2025
First filing on the tape Dec 9, 2011 · 74 filings
SEC status approved since Feb 9, 1996
RAUM
$193M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$192M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
74 filings and snapshots on the tape
RAUM$193M as of Nov 24, 2025
Mar 1, 2012$157M then
HNW client RAUM$50.2M as of Nov 24, 2025
Mar 7, 2018$53.8M then
State-registered IARs (5.B.3)12 as of Nov 24, 2025
Mar 26, 201319 then
Employees (5.A)14 as of Nov 24, 2025
Mar 26, 201332 then
Private funds: no history
RAUM -4.4% over the last fiscal year-7.3% a year over threeIARs 16 to 12offices 4 to 0
Practice profile
derived from the filing of Nov 24, 2025; every figure names its basis
RAUM per advisor
$16.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
74derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$215,717derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
12.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.4%derivedbetween the last two annual amendments
Advisor growth, one year
-19%derivedItem 5.B.3 between annual amendments
Client growth, one year
-9.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$142M74%
  • High-net-worth individuals$50.2M26%
  • Charitable organizations$584,8830.3%
  • Corporations and businesses$11,1580.0%
Individual clients
861reported
HNW clients
31reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
894reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
11 left, 0 joined in 12 months
net -11 in 12 months0 left in 90 days0 joined in 90 days11 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • O••••• R••••••• K••• · Managing Member And Chief Compliance Officercontrol
      since 01/2014 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Amarillo, Tx001
    Matawan, Nj001
    Wake Forrest, Nc001
    Princeton, Nj · principal007
    New Orleans, La001
    Offices
    Schedule D 1.F, the 25 largest
    • New Orleans, LA2 employees
    • Amarillo, TX1 employees
    • Matawan, NJ1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Advisory employees · 15 to 14
      Aug 15, 2025 to Nov 24, 2025
    • Employees · 15 to 14
      Aug 15, 2025 to Nov 24, 2025
    • State-registered IARs · 13 to 12
      Aug 15, 2025 to Nov 24, 2025
    • Accounts · 986 to 894
      Jan 15, 2025 to Mar 14, 2025
    • Advisory employees · 16 to 15
      Jan 15, 2025 to Mar 14, 2025
    • BD registered reps · 15 to 13
      Jan 15, 2025 to Mar 14, 2025
    • HNW clients · 23 to 31
      Jan 15, 2025 to Mar 14, 2025
    • Individual clients · 961 to 861
      Jan 15, 2025 to Mar 14, 2025
    • Employees · 18 to 15
      Jan 15, 2025 to Mar 14, 2025
    • Financial planning clients · 51-100 to 51-100
      Jan 15, 2025 to Mar 14, 2025
    • State-registered IARs · 14 to 13
      Jan 15, 2025 to Mar 14, 2025
    • Discretionary RAUM · $202M to $193M
      Jan 15, 2025 to Mar 14, 2025
    • HNW RAUM · $43.7M to $50.2M
      Jan 15, 2025 to Mar 14, 2025
    • Individual RAUM · $158M to $142M
      Jan 15, 2025 to Mar 14, 2025
    • RAUM · $202M to $193M
      Jan 15, 2025 to Mar 14, 2025
    • Advisory employees · 18 to 16
      Sep 17, 2024 to Jan 15, 2025
    • Employees · 20 to 18
      Sep 17, 2024 to Jan 15, 2025
    • State-registered IARs · 16 to 14
      Sep 17, 2024 to Jan 15, 2025
    • Other offices · 5 to 0
      Sep 17, 2024 to Jan 15, 2025
    • Other offices · 4 to 5
      Aug 21, 2024 to Sep 17, 2024
    • Advisory activities · 6 to 5
      Mar 14, 2024 to Aug 7, 2024
    • Accounts · 1,018 to 986
      Jul 17, 2023 to Mar 14, 2024
    • Charity clients · 2 to 1
      Jul 17, 2023 to Mar 14, 2024
    • Corporate clients · 0 to 1
      Jul 17, 2023 to Mar 14, 2024
    • HNW clients · 20 to 23
      Jul 17, 2023 to Mar 14, 2024
    • Individual clients · 595 to 961
      Jul 17, 2023 to Mar 14, 2024
    • Discretionary RAUM · $190M to $202M
      Jul 17, 2023 to Mar 14, 2024
    • HNW RAUM · $24.4M to $43.7M
      Jul 17, 2023 to Mar 14, 2024
    • Individual RAUM · $164M to $158M
      Jul 17, 2023 to Mar 14, 2024
    • RAUM · $190M to $202M
      Jul 17, 2023 to Mar 14, 2024
    • Advisory employees · 17 to 18
      Jul 6, 2023 to Jul 17, 2023
    • Employees · 19 to 20
      Jul 6, 2023 to Jul 17, 2023
    • State-registered IARs · 15 to 16
      Jul 6, 2023 to Jul 17, 2023
    • Advisory employees · 16 to 17
      Apr 6, 2023 to Jul 6, 2023
    • Employees · 18 to 19
      Apr 6, 2023 to Jul 6, 2023
    • State-registered IARs · 14 to 15
      Apr 6, 2023 to Jul 6, 2023
    • Advisory employees · 15 to 16
      Feb 8, 2023 to Apr 6, 2023
    • Employees · 19 to 18
      Feb 8, 2023 to Apr 6, 2023
    • State-registered IARs · 16 to 14
      Feb 8, 2023 to Apr 6, 2023
    • Accounts · 1,011 to 1,018
      Feb 7, 2023 to Feb 8, 2023
    Signals
    16 dated events
    • N•• C•••••• F•••••••• G••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $192.9M)
      Jan 2, 2026 · Left the SEC roster · derived
    • X••••• J• A•••• left N•• C•••••• F•••••••• G••••• L•• for O•••• W•••••• I••• (registered 2025-04-14)
      Dec 31, 2025 · a•••••• firm change · fact
    • R•••••• K••• O•••• left N•• C•••••• F•••••••• G••••• L•• for O•••• W•••••• I••• (registered 2018-07-30)
      Dec 31, 2025 · a•••••• firm change · fact
    • J••••••••• P• B•••••• left N•• C•••••• F•••••••• G••••• L•• for O•••• W•••••• I••• (registered 2025-04-08)
      Dec 31, 2025 · a•••••• firm change · fact
    • A•••••• J••••• C••••••••• left N•• C•••••• F•••••••• G••••• L•• for O•••• W•••••• I••• (registered 2025-06-02)
      Dec 31, 2025 · a•••••• firm change · fact
    • A•••••• G••••• M••••••• left N•• C•••••• F•••••••• G••••• L•• for A•• F•••••••• S•••••••• I••• (registered 2016-02-02)
      Dec 31, 2025 · a•••••• firm change · fact
    • E••• P••• G••••• left N•• C•••••• F•••••••• G••••• L•• for O•••• W•••••• I••• (registered 2025-04-14)
      Dec 31, 2025 · a•••••• firm change · fact
    • N•• C•••••• F•••••••• G••••• L••'s advisors moved to O•••• W•••••• I••• (Princeton, NJ): 8 of 11 registered, on the same day
      Dec 31, 2025 · Firm absorbed (people side) · derived
    • S••••• S••••• P••••••• left N•• C•••••• F•••••••• G••••• L•• for O•••• W•••••• I••• (registered 2025-11-05)
      Dec 31, 2025 · a•••••• firm change · fact
    • J••••• W•••••• L•••••• left N•• C•••••• F•••••••• G••••• L•• for O•••• W•••••• I••• (registered 2024-09-30)
      Dec 31, 2025 · a•••••• firm change · fact
    • V•••••• J• N•••• left N•• C•••••• F•••••••• G••••• L•• for O•••• W•••••• I••• (registered 2025-05-29)
      Dec 31, 2025 · a•••••• firm change · fact
    • W••••• J••• P•••••••• left N•• C•••••• F•••••••• G••••• L•• for O•••• W•••••• I••• (registered 2025-09-26)
      Dec 31, 2025 · a•••••• firm change · fact
    • D••• A•••••••• left N•• C•••••• F•••••••• G••••• L•• for O•••• W•••••• I••• (registered 2015-11-16)
      Dec 31, 2025 · a•••••• firm change · fact
    • N•• C•••••• F•••••••• G••••• L•• reported 0 offices beyond its principal office, down from 5 (2024-09-17 to 2025-01-15)
      Jan 15, 2025 · Office count change · derived
    • Matthew Brock Podgurski no longer registered at N•• C•••••• F•••••••• G••••• L••; no later IA registration on IAPD
      Mar 2, 2022 · a•••••• departure · fact
    • Allen Jeffrey Hamburger (Managing Member) no longer on Schedule A of N•• C•••••• F•••••••• G••••• L•• (listed 2018-12-05, absent 2019-01-07)
      Jan 7, 2019 · Control person left · inference
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026