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.

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Former SEC-registered adviser

M••••• C•••••• M••••••••• I••

Former SEC-registered adviserBedminster, New JerseyCRD 105155SEC 801-20376IAPD
Latest filing Mar 23, 2022
First filing on the tape Mar 8, 2012 · 36 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$1.2B as of Mar 23, 2022
Mar 8, 2012$530M then
HNW client RAUM$985M as of Mar 23, 2022
Mar 15, 2018$643M then
State-registered IARs (5.B.3)0 as of Mar 23, 2022
Mar 28, 20131 then
Employees (5.A)6 as of Mar 23, 2022
Mar 28, 20136 then
Private funds: no history
RAUM +18% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$870,682derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+4.3%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$113M, 133 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$985M84%
  • Individuals$156M13%
  • Corporations and businesses$10.4M0.9%
  • Charitable organizations$7.8M0.7%
  • Pooled investment vehicles$4.7M0.4%
  • Pension and profit-sharing plans$2.5M0.2%
Individual clients
239reported
HNW clients
275reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
1,340reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $228M managedreported
Custody of client assets
$113M for 133 clientsreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A•••••••• K••••• J•••••• · Chief Compliance Officer_treasurer (06/2020)control
    since 02/2019 · owns less than 5%
  • K•••• J••• W• · Senior Managing Directorcontrol
    since 08/2017 · owns less than 5%
  • L••••• P••••• J••••••• · Presidentcontrol
    since 02/2019 · owns less than 5%
Entity owners
  • P••••••••• B••• · Shareholder
    direct · owns 75% or more
  • P••••••••• F•••••••• C••••••••• · Shareholder
    indirect · owns 75% or more of P••••••••• B••• · public reporting company
Related persons
Schedule D 7.A
  • P••••••••• B•••
    custodiany
  • P••••••••• M••••••• G••••• I•••
    n
  • P•• T•••• • I••••••••• O• D•••••••
    n
Advisers that list M••••• C•••••• M••••••••• I•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,245 to 1,340
    Mar 15, 2021 to Mar 23, 2022
  • Advisory employees · 4 to 3
    Mar 15, 2021 to Mar 23, 2022
  • Charity clients · 6.0 to unset
    Mar 15, 2021 to Mar 23, 2022
  • HNW clients · 293 to 275
    Mar 15, 2021 to Mar 23, 2022
  • Individual clients · 200 to 239
    Mar 15, 2021 to Mar 23, 2022
  • Pension plan clients · unset to 1.0
    Mar 15, 2021 to Mar 23, 2022
  • Assets in custody · $92.2M to $113M
    Mar 15, 2021 to Mar 23, 2022
  • Employees · 7 to 6
    Mar 15, 2021 to Mar 23, 2022
  • Discretionary RAUM · $986M to $1.2B
    Mar 15, 2021 to Mar 23, 2022
  • HNW RAUM · $891M to $985M
    Mar 15, 2021 to Mar 23, 2022
  • Individual RAUM · $73.0M to $156M
    Mar 15, 2021 to Mar 23, 2022
  • Pension RAUM · $70,636 to $2.5M
    Mar 15, 2021 to Mar 23, 2022
  • Pooled vehicle RAUM · $4.1M to $4.7M
    Mar 15, 2021 to Mar 23, 2022
  • RAUM · $986M to $1.2B
    Mar 15, 2021 to Mar 23, 2022
  • Wrap assets (manager) · $176M to $228M
    Mar 15, 2021 to Mar 23, 2022
  • Accounts · 1,174 to 1,245
    Jan 5, 2021 to Mar 12, 2021
  • Charity clients · unset to 6.0
    Jan 5, 2021 to Mar 12, 2021
  • Corporate clients · unset to 5.0
    Jan 5, 2021 to Mar 12, 2021
  • HNW clients · 212 to 293
    Jan 5, 2021 to Mar 12, 2021
  • Individual clients · 274 to 200
    Jan 5, 2021 to Mar 12, 2021
  • Pooled vehicle clients · 2 to 3
    Jan 5, 2021 to Mar 12, 2021
  • Assets in custody · $80.6M to $92.2M
    Jan 5, 2021 to Mar 12, 2021
  • Employees · 6 to 7
    Jan 5, 2021 to Mar 12, 2021
  • Financial planning clients · unset to 0
    Jan 5, 2021 to Mar 12, 2021
  • Discretionary RAUM · $914M to $986M
    Jan 5, 2021 to Mar 12, 2021
  • HNW RAUM · $764M to $891M
    Jan 5, 2021 to Mar 12, 2021
  • Individual RAUM · $132M to $73.0M
    Jan 5, 2021 to Mar 12, 2021
  • Pension RAUM · unset to 70636.0
    Jan 5, 2021 to Mar 12, 2021
  • Pooled vehicle RAUM · $721,317 to $4.1M
    Jan 5, 2021 to Mar 12, 2021
  • RAUM · $914M to $986M
    Jan 5, 2021 to Mar 12, 2021
  • Related adviser · true to false
    Jan 5, 2021 to Mar 12, 2021
  • Wrap assets (manager) · $164M to $176M
    Jan 5, 2021 to Mar 12, 2021
  • HQ city · GLADSTONE to BEDMINSTER
    Jun 15, 2020 to Oct 23, 2020
  • Advisory employees · 5 to 4
    Mar 18, 2020 to Jun 15, 2020
  • Employees · 7 to 6
    Mar 18, 2020 to Jun 15, 2020
  • Accounts · 1,222 to 1,174
    Sep 18, 2019 to Mar 18, 2020
  • HNW clients · 182 to 212
    Sep 18, 2019 to Mar 18, 2020
  • Individual clients · 330 to 274
    Sep 18, 2019 to Mar 18, 2020
  • Pooled vehicle clients · 1 to 2
    Sep 18, 2019 to Mar 18, 2020
  • Assets in custody · $15.2M to $80.6M
    Sep 18, 2019 to Mar 18, 2020
Signals
4 dated events
  • Gary Todd Pancoast no longer registered at M••••• C•••••• M••••••••• I••; no later IA registration on IAPD
    Jul 13, 2022 · Advisor departure · fact
  • G•••• O• C••••••• left M••••• C•••••• M••••••••• I•• for R•••••• W••••• M••••••••• (registered 2023-05-01)
    Jan 13, 2022 · Advisor changed firm · fact
  • Scott Cameron Murphy (Treasurer (10/2017) / Senior Managing Director) no longer on Schedule A of M••••• C•••••• M••••••••• I•• (listed 2020-03-18, absent 2020-06-15)
    Jun 15, 2020 · Control person left · inference
  • Joseph John Murphy (President) no longer on Schedule A of M••••• C•••••• M••••••••• I•• (listed 2018-12-10, absent 2019-03-25)
    Mar 25, 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