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

P•••••••• C•••••• M••••••••• I••

Former SEC-registered adviserP••••••••, New JerseyCRD 105263SEC 801-33000IAPD
Latest filing Mar 6, 2017
First filing on the tape Mar 16, 2012 · 17 filings
RAUM
$165M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.0%
$0 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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$165M as of Mar 6, 2017
Mar 16, 2012$198M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 6, 2017
Feb 21, 20130 then
Employees (5.A)6 as of Mar 6, 2017
Feb 21, 20137 then
Private funds1 as of Mar 29, 2016
Mar 16, 20121 then
RAUM +8.8% over the last fiscal year+6.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 6, 2017; 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
unknownderivedHNW RAUM over HNW clients
Average account
$501,981derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+8.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
328reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Y•••• E••••••••• S••••••••• L••Hedge Fund$3.5M10Mar 16, 2012
Owners and control persons
Schedule A and B, latest filing
  • B•••••••• A•••••• R•••• · Chairman, Directorcontrol
    since 01/2013 · owns 25% to 50%
  • F••••••••• R•••••••• H••• A• · President,Directorcontrol
    since 12/2006 · owns 10% to 25%
  • K•••••• K••••• F• · Secretary,Director,Chief Compliance Officercontrol
    since 05/2005 · owns 5% to 10%
  • R•••••••• S•••••• H••• · Directorcontrol
    since 10/2013 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Baltimore, MD
What changed
consecutive filings, newest first
  • Accounts · 342 to 328
    Jun 15, 2016 to Mar 6, 2017
  • Advisory employees · 5 to 3
    Jun 15, 2016 to Mar 6, 2017
  • Advisory activities · 4 to 3
    Jun 15, 2016 to Mar 6, 2017
  • Employees · 7 to 6
    Jun 15, 2016 to Mar 6, 2017
  • Private funds · 1 to unset
    Jun 15, 2016 to Mar 6, 2017
  • Discretionary RAUM · $151M to $162M
    Jun 15, 2016 to Mar 6, 2017
  • Non-discretionary RAUM · $0 to $3.0M
    Jun 15, 2016 to Mar 6, 2017
  • RAUM · $151M to $165M
    Jun 15, 2016 to Mar 6, 2017
  • Accounts · 381 to 342
    Mar 25, 2015 to Mar 29, 2016
  • Advisory employees · 4 to 5
    Mar 25, 2015 to Mar 29, 2016
  • Employees · 6 to 7
    Mar 25, 2015 to Mar 29, 2016
  • Discretionary RAUM · $188M to $151M
    Mar 25, 2015 to Mar 29, 2016
  • RAUM · $188M to $151M
    Mar 25, 2015 to Mar 29, 2016
  • Accounts · 290 to 381
    Feb 18, 2015 to Mar 25, 2015
  • Advisory activities · 3 to 4
    Feb 18, 2015 to Mar 25, 2015
  • Employees · 7 to 6
    Feb 18, 2015 to Mar 25, 2015
  • Discretionary RAUM · $138M to $188M
    Feb 18, 2015 to Mar 25, 2015
  • RAUM · $138M to $188M
    Feb 18, 2015 to Mar 25, 2015
  • Advisory employees · 5 to 4
    Mar 26, 2014 to Jun 12, 2014
  • Employees · 9 to 7
    Mar 26, 2014 to Jun 12, 2014
  • Accounts · 282 to 290
    Nov 12, 2013 to Mar 26, 2014
  • Advisory employees · 4 to 5
    Nov 12, 2013 to Mar 26, 2014
  • Employees · 7 to 9
    Nov 12, 2013 to Mar 26, 2014
  • Discretionary RAUM · $97.3M to $138M
    Nov 12, 2013 to Mar 26, 2014
  • RAUM · $97.3M to $138M
    Nov 12, 2013 to Mar 26, 2014
  • Accounts · 407 to 282
    Jan 18, 2013 to Feb 21, 2013
  • Discretionary RAUM · $198M to $97.3M
    Jan 18, 2013 to Feb 21, 2013
  • RAUM · $198M to $97.3M
    Jan 18, 2013 to Feb 21, 2013
  • Advisory employees · unset to 4.0
    May 29, 2012 to Jan 18, 2013
  • Employees · unset to 7.0
    May 29, 2012 to Jan 18, 2013
  • State-registered IARs · unset to 0.0
    May 29, 2012 to Jan 18, 2013
Signals
No event on the tape.
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