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
P•••••••• I••••••••• M••••••••• C••••••
Legal name P•••• • C• I••
Latest filing Jan 20, 2026
First filing on the tape Mar 8, 2012 · 16 filings
SEC status approved since May 11, 1987
RAUM
$112M
reported, Item 5.F
Discretionary
24%
of RAUM
Private clients
100%
$112M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$112M as of Jan 20, 2026
Mar 8, 2012$124M then
HNW client RAUM$111M as of Jan 20, 2026
Mar 8, 2018$98.8M then
State-registered IARs (5.B.3)1 as of Jan 20, 2026
Mar 8, 20120 then
Employees (5.A)2 as of Jan 20, 2026
Mar 5, 20132 then
Private funds: no history
RAUM +5.1% over the last fiscal year-4.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.5MderivedHNW RAUM over HNW clients
- Average account
- $5.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 24%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- High-net-worth individuals$111M99%
- Individuals$771,3400.7%
- Individual clients
- n/areported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 20reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• F•••••• P•••• | Cream Ridge, Nj | Nov 3, 2025 | 45 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
- P••••• M••••• · Vice Presidentcontrolsince 05/1988 · owns less than 5%
- P••••• W••••••• F•••••• · President & Chief Compliance Officercontrolsince 05/1981 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Jan 20, 2026discretionary share of RAUM moved from 54.0% to 24.0% between the annual amendments of 2025-01-06 and 2026-01-20peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- HNW clients · 16 to 13Jan 6, 2025 to Jan 20, 2026
- Discretionary RAUM · $57.1M to $26.5MJan 6, 2025 to Jan 20, 2026
- HNW RAUM · $106M to $111MJan 6, 2025 to Jan 20, 2026
- Individual RAUM · $653,202 to $771,340Jan 6, 2025 to Jan 20, 2026
- Non-discretionary RAUM · $49.3M to $85.3MJan 6, 2025 to Jan 20, 2026
- RAUM · $106M to $112MJan 6, 2025 to Jan 20, 2026
- Accounts · 21 to 20Jan 19, 2024 to Jan 6, 2025
- HNW clients · 17 to 16Jan 19, 2024 to Jan 6, 2025
- Financial planning clients · unset to Jan 19, 2024 to Jan 6, 2025
- HQ city · unset to Jan 19, 2024 to Jan 6, 2025
- HQ state · unset to Jan 19, 2024 to Jan 6, 2025
- Discretionary RAUM · $26.4M to $57.1MJan 19, 2024 to Jan 6, 2025
- HNW RAUM · $109M to $106MJan 19, 2024 to Jan 6, 2025
- Individual RAUM · $566,572 to $653,202Jan 19, 2024 to Jan 6, 2025
- Non-discretionary RAUM · $82.7M to $49.3MJan 19, 2024 to Jan 6, 2025
- RAUM · $109M to $106MJan 19, 2024 to Jan 6, 2025
- Accounts · 40 to 21Jan 4, 2023 to Jan 19, 2024
- HNW clients · 21 to 17Jan 4, 2023 to Jan 19, 2024
- Discretionary RAUM · $37.2M to $26.4MJan 4, 2023 to Jan 19, 2024
- HNW RAUM · $129M to $109MJan 4, 2023 to Jan 19, 2024
- Individual RAUM · $518,490 to $566,572Jan 4, 2023 to Jan 19, 2024
- Non-discretionary RAUM · $92.6M to $82.7MJan 4, 2023 to Jan 19, 2024
- RAUM · $130M to $109MJan 4, 2023 to Jan 19, 2024
- HNW clients · 19 to 21Feb 1, 2022 to Jan 4, 2023
- Discretionary RAUM · $45.2M to $37.2MFeb 1, 2022 to Jan 4, 2023
- HNW RAUM · $136M to $129MFeb 1, 2022 to Jan 4, 2023
- Individual RAUM · $561,579 to $518,490Feb 1, 2022 to Jan 4, 2023
- Non-discretionary RAUM · $91.2M to $92.6MFeb 1, 2022 to Jan 4, 2023
- RAUM · $136M to $130MFeb 1, 2022 to Jan 4, 2023
- Accounts · 23 to 40Feb 8, 2021 to Feb 1, 2022
- Individual clients · 4.0 to unsetFeb 8, 2021 to Feb 1, 2022
- Discretionary RAUM · $40.2M to $45.2MFeb 8, 2021 to Feb 1, 2022
- HNW RAUM · $124M to $136MFeb 8, 2021 to Feb 1, 2022
- Individual RAUM · $487,563 to $561,579Feb 8, 2021 to Feb 1, 2022
- Non-discretionary RAUM · $84.2M to $91.2MFeb 8, 2021 to Feb 1, 2022
- RAUM · $124M to $136MFeb 8, 2021 to Feb 1, 2022
- Accounts · 26 to 23May 20, 2020 to Feb 8, 2021
- HNW clients · 22 to 19May 20, 2020 to Feb 8, 2021
- Discretionary RAUM · $39.2M to $40.2MMay 20, 2020 to Feb 8, 2021
- HNW RAUM · $112M to $124MMay 20, 2020 to Feb 8, 2021
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 609-758-6502reportedpublic record, Form ADV, Jan 20, 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
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026