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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C•• I••••••••• A••••••• S••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Mar 27, 2012 · 29 filings
SEC status approved since Dec 28, 1993
RAUM
$2.7B
reported, Item 5.F
Discretionary
68%
of RAUM
Private clients
64%
$1.8B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$273M
derived; firm RAUM over IAPD count
Employees
13
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$2.7B as of Mar 5, 2026
Mar 27, 2012$681M then
HNW client RAUM$1.6B as of Mar 5, 2026
Mar 27, 2018$307M then
State-registered IARs (5.B.3)10 as of Mar 5, 2026
Mar 27, 20133 then
Employees (5.A)13 as of Mar 5, 2026
Mar 27, 20137 then
Private funds: no history
RAUM +15% over the last fiscal year+15% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Mar 5, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $273MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 114derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $794,332derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 68%derivedof RAUM
- Institutional
- 35%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.6B59%
- Pension and profit-sharing plans$942M35%
- Individuals$145M5.3%
- Charitable organizations$21.1M0.8%
- Corporations and businesses$7.5M0.3%
- Individual clients
- 607reported
- HNW clients
- 532reported
- Pension plan clients
- 87reported
- Charitable clients
- 5reported
- Accounts
- 3,437reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $685,887 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.64 fund_share=0.0 institutional_share=0.35 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• M•••••• J•••• | Totowa, Nj | Jun 10, 2004 | 27 y | 0 |
| H••••• S•••• N•••••Certified Financial Planner | Totowa, Nj | Oct 11, 2004 | 41 y | 0 |
| G•••••• M••• M•••••••Certified Financial Planner | Totowa, Nj | Oct 13, 2004 | 37 y | 0 |
| P••••• S••••• N••••• | Totowa, Nj | May 31, 2018 | 11 y | 0 |
| E••••• S••••••Certified Financial Planner | Totowa, Nj | Sep 10, 2018 | 44 y | 3 |
| A•••••• E• G••••••Certified Financial Planner | Totowa, Nj | Feb 25, 2020 | 15 y | 2 |
| A•••••••• C••••••••• P••••••••• | Totowa, Nj | Sep 15, 2020 | 24 y | 0 |
| A•••••••• M•••• M•••••••Certified Financial Planner | Totowa, Nj | Sep 15, 2021 | 14 y | 0 |
| J••• J••••• B•••••••Certified Financial Planner | Totowa, Nj | Sep 15, 2021 | 14 y | 0 |
| J••• R••• S••••••Certified Financial Planner | Totowa, Nj | Jun 13, 2022 | 10 y | 2 |
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
- A••••• E••• H••••• to E••••••••• W••••• M••••••••• • C•••••••• B•••••••• L••Dec 7, 2017 · Other
Joined, latest
- J••• R••• S•••••• from W••••••••• A•••••••Jun 13, 2022 · RIA to RIA
- A•••••• E• G•••••• from E•••••• F•••••••• E••••••Feb 25, 2020 · RIA to RIA
- E••••• S•••••• from E•••••• F•••••••• S•••••••• L••Jul 8, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• G••••••• M••• · Managing Member/Chief Compliance Officercontrolsince 01/1998 · owns 50% to 75%
- N•••••• H•••••• S•••• · Managing Membercontrolsince 01/1998 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Totowa, Nj · principal | 10 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Holmdel, NJ2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 3,383 to 3,437Mar 28, 2025 to Mar 5, 2026
- Charity clients · unset to 5.0Mar 28, 2025 to Mar 5, 2026
- Corporate clients · unset to 7.0Mar 28, 2025 to Mar 5, 2026
- HNW clients · 523 to 532Mar 28, 2025 to Mar 5, 2026
- Individual clients · 575 to 607Mar 28, 2025 to Mar 5, 2026
- Pension plan clients · 84 to 87Mar 28, 2025 to Mar 5, 2026
- Employees · 16 to 13Mar 28, 2025 to Mar 5, 2026
- Discretionary RAUM · $1.6B to $1.9BMar 28, 2025 to Mar 5, 2026
- HNW RAUM · $1.4B to $1.6BMar 28, 2025 to Mar 5, 2026
- Individual RAUM · $116M to $145MMar 28, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $778M to $875MMar 28, 2025 to Mar 5, 2026
- Pension RAUM · $846M to $942MMar 28, 2025 to Mar 5, 2026
- RAUM · $2.4B to $2.7BMar 28, 2025 to Mar 5, 2026
- Wrap assets (manager) · $1.1M to $685,887Mar 28, 2025 to Mar 5, 2026
- Accounts · 3,323 to 3,383Aug 9, 2024 to Mar 28, 2025
- Advisory employees · 8 to 10Aug 9, 2024 to Mar 28, 2025
- Corporate clients · 6.0 to unsetAug 9, 2024 to Mar 28, 2025
- HNW clients · 349 to 523Aug 9, 2024 to Mar 28, 2025
- Individual clients · 746 to 575Aug 9, 2024 to Mar 28, 2025
- Pension plan clients · 82 to 84Aug 9, 2024 to Mar 28, 2025
- Pooled vehicle clients · 0.0 to unsetAug 9, 2024 to Mar 28, 2025
- Assets in custody · 106312679.0 to unsetAug 9, 2024 to Mar 28, 2025
- Custody of client assets · true to falseAug 9, 2024 to Mar 28, 2025
- Employees · 10 to 16Aug 9, 2024 to Mar 28, 2025
- Financial planning clients · 251-500 to 251-500Aug 9, 2024 to Mar 28, 2025
- State-registered IARs · 8 to 10Aug 9, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.3B to $1.6BAug 9, 2024 to Mar 28, 2025
- HNW RAUM · $1.1B to $1.4BAug 9, 2024 to Mar 28, 2025
- Individual RAUM · $220M to $116MAug 9, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $763M to $778MAug 9, 2024 to Mar 28, 2025
- Pension RAUM · $763M to $846MAug 9, 2024 to Mar 28, 2025
- RAUM · $2.1B to $2.4BAug 9, 2024 to Mar 28, 2025
- Wrap assets (manager) · $88.2M to $1.1MAug 9, 2024 to Mar 28, 2025
- Accounts · 3,068 to 3,323Mar 15, 2023 to Mar 13, 2024
- Advisory activities · 6 to 5Mar 15, 2023 to Mar 13, 2024
- Corporate clients · 8 to 6Mar 15, 2023 to Mar 13, 2024
- HNW clients · 266 to 349Mar 15, 2023 to Mar 13, 2024
- Individual clients · 676 to 746Mar 15, 2023 to Mar 13, 2024
- Pension plan clients · 84 to 82Mar 15, 2023 to Mar 13, 2024
- Assets in custody · unset to 106312679.0Mar 15, 2023 to Mar 13, 2024
Signals
1 dated events
- C•• I••••••••• A••••••• S••••••• L•• reported RAUM $1.5B, up 38% from $1.1B (2019-06-28 to 2020-03-05)Mar 5, 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 email
- info@cfsias.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 973-826-8800reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/5181038reportedpublic record, Form ADV, Sep 18, 2026
- Website
- C•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 973-826-8800reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- cfsias.com/contactreportedpublished 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
- $273Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026