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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SEC-registered adviser
B•••••••• C••••••• I••
Latest filing Mar 18, 2026
First filing on the tape Mar 20, 2012 · 16 filings
SEC status approved since May 13, 1988
RAUM
$2.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
65%
$1.3B individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$1.0B
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$2.0B as of Mar 18, 2026
Mar 20, 2012$463M then
HNW client RAUM$1.3B as of Mar 18, 2026
Mar 23, 2018$372M then
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Mar 20, 20120 then
Employees (5.A)4 as of Mar 18, 2026
Mar 18, 20134 then
Private funds: no history
RAUM +0.1% over the last fiscal year+30% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $1.0BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $26.9MderivedHNW RAUM over HNW clients
- Average account
- $24.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $1.3B, 13 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B64%
- Charitable organizations$447M22%
- Corporations and businesses$258M13%
- Individuals$8.0M0.4%
- Individual clients
- 28reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 83reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 13 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.65 fund_share=0.0 institutional_share=0.22 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• O•••••• F••••• | Morristown, Nj | Jan 28, 2021 | 23 y | 0 |
| C••• M•••••• S••••••• | Morristown, Nj | Jan 1, 2026 | 38 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• C•••• M•••••• · President & Ceocontrolsince 02/1988 · owns 75% or more
- M•••••••• G•••• P••••••• · Chief Compliance Officersince 06/2004 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Morristown, Nj · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 18, 2026RAUM per account of $24,110,515 against a peer median of $813,262 (1333 comparable advisers, 98.0th percentile, 15.7 robust deviations)peers: independent wealth managers, $1B to $5B (1,333) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 82 to 83Mar 27, 2025 to Mar 18, 2026
- Charity clients · 6 to 5Mar 27, 2025 to Mar 18, 2026
- HNW clients · 46 to 48Mar 27, 2025 to Mar 18, 2026
- Assets in custody · $1.2B to $1.3BMar 27, 2025 to Mar 18, 2026
- Discretionary RAUM · $2.0B to $2.0BMar 27, 2025 to Mar 18, 2026
- HNW RAUM · $1.2B to $1.3BMar 27, 2025 to Mar 18, 2026
- Individual RAUM · $8.1M to $8.0MMar 27, 2025 to Mar 18, 2026
- RAUM · $2.0B to $2.0BMar 27, 2025 to Mar 18, 2026
- Accounts · 80 to 82Mar 20, 2024 to Mar 27, 2025
- Charity clients · 5 to 6Mar 20, 2024 to Mar 27, 2025
- HNW clients · 44 to 46Mar 20, 2024 to Mar 27, 2025
- Individual clients · 29 to 28Mar 20, 2024 to Mar 27, 2025
- Assets in custody · $732M to $1.2BMar 20, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 20, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.3B to $2.0BMar 20, 2024 to Mar 27, 2025
- HNW RAUM · $822M to $1.2BMar 20, 2024 to Mar 27, 2025
- Individual RAUM · $7.4M to $8.1MMar 20, 2024 to Mar 27, 2025
- RAUM · $1.3B to $2.0BMar 20, 2024 to Mar 27, 2025
- Accounts · 84 to 80Mar 21, 2023 to Mar 20, 2024
- HNW clients · 43 to 44Mar 21, 2023 to Mar 20, 2024
- Individual clients · 34 to 29Mar 21, 2023 to Mar 20, 2024
- Assets in custody · $499M to $732MMar 21, 2023 to Mar 20, 2024
- Discretionary RAUM · $904M to $1.3BMar 21, 2023 to Mar 20, 2024
- HNW RAUM · $577M to $822MMar 21, 2023 to Mar 20, 2024
- Individual RAUM · $8.8M to $7.4MMar 21, 2023 to Mar 20, 2024
- RAUM · $904M to $1.3BMar 21, 2023 to Mar 20, 2024
- HNW clients · 45 to 43Mar 23, 2022 to Mar 21, 2023
- Individual clients · 32 to 34Mar 23, 2022 to Mar 21, 2023
- Assets in custody · $632M to $499MMar 23, 2022 to Mar 21, 2023
- Discretionary RAUM · $1.2B to $904MMar 23, 2022 to Mar 21, 2023
- HNW RAUM · $748M to $577MMar 23, 2022 to Mar 21, 2023
- Individual RAUM · $10.9M to $8.8MMar 23, 2022 to Mar 21, 2023
- RAUM · $1.2B to $904MMar 23, 2022 to Mar 21, 2023
- Advisory employees · 1 to 2Mar 10, 2021 to Mar 23, 2022
- Assets in custody · $443M to $632MMar 10, 2021 to Mar 23, 2022
- Discretionary RAUM · $853M to $1.2BMar 10, 2021 to Mar 23, 2022
- HNW RAUM · $532M to $748MMar 10, 2021 to Mar 23, 2022
- Individual RAUM · $8.4M to $10.9MMar 10, 2021 to Mar 23, 2022
- RAUM · $853M to $1.2BMar 10, 2021 to Mar 23, 2022
- Accounts · 86 to 84Jun 23, 2020 to Mar 10, 2021
Signals
4 dated events
- B•••••••• C••••••• I•• reported RAUM $2.0B, up 55% from $1.3B (2024-03-20 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- B•••••••• C••••••• I•• reported RAUM $1.3B, up 42% from $904.5M (2023-03-21 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- B•••••••• C••••••• I•• reported RAUM $1.2B, up 40% from $852.8M (2021-03-10 to 2022-03-23)Mar 23, 2022 · RAUM change · derived
- B•••••••• C••••••• I•• reported RAUM $706.7M, up 28% from $553.9M (2019-03-22 to 2020-03-12)Mar 12, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 973-984-7014reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 973-984-9617reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- B••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 973-984-7014reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.0Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026