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

C•••••••• C••••••••• U•• L••

Former SEC-registered adviserMontclair, New JerseyCRD 106500SEC 801-46022IAPD
Latest filing Mar 22, 2022
First filing on the tape Mar 13, 2012 · 12 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$2.0B as of Mar 9, 2017
Mar 13, 2012$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2022
Mar 13, 20120 then
Employees (5.A)4 as of Mar 22, 2022
Mar 6, 20133 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 22, 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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-100%derived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
pension consulting, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
0reported
HNW clients
0reported
Pension plan clients
6reported
Charitable clients
2reported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• N••••••• O••••• · President/Chief Compliance Officercontrol
        since 01/1994 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HNW clients · 2 to 0
        Mar 25, 2021 to Mar 22, 2022
      • Pension plan clients · 8 to 6
        Mar 25, 2021 to Mar 22, 2022
      • Employees · 3 to 4
        Mar 25, 2021 to Mar 22, 2022
      • Charity clients · 3 to 2
        Mar 9, 2018 to Mar 15, 2019
      • Accounts · 15.0 to unset
        Mar 9, 2017 to Mar 9, 2018
      • Advisory employees · 2 to 3
        Mar 9, 2017 to Mar 9, 2018
      • Charity clients · unset to 3.0
        Mar 9, 2017 to Mar 9, 2018
      • Corporate clients · unset to 0.0
        Mar 9, 2017 to Mar 9, 2018
      • HNW clients · unset to 2.0
        Mar 9, 2017 to Mar 9, 2018
      • Individual clients · unset to 0.0
        Mar 9, 2017 to Mar 9, 2018
      • Pension plan clients · unset to 8.0
        Mar 9, 2017 to Mar 9, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 9, 2017 to Mar 9, 2018
      • Other offices · unset to 0.0
        Mar 9, 2017 to Mar 9, 2018
      • Discretionary RAUM · 0.0 to unset
        Mar 9, 2017 to Mar 9, 2018
      • Non-discretionary RAUM · 2000000000.0 to unset
        Mar 9, 2017 to Mar 9, 2018
      • RAUM · 2000000000.0 to unset
        Mar 9, 2017 to Mar 9, 2018
      • Advisory employees · unset to 2.0
        Mar 13, 2012 to Mar 6, 2013
      • BD registered reps · unset to 0.0
        Mar 13, 2012 to Mar 6, 2013
      • Employees · unset to 3.0
        Mar 13, 2012 to Mar 6, 2013
      Signals
      1 dated events
      • D. Richard Shaffer (Principal) no longer on Schedule A of C•••••••• C••••••••• U•• L•• (listed 2021-03-25, absent 2022-03-22)
        Mar 22, 2022 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      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