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

H••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserShort Hills, New JerseyCRD 106667SEC 801-52286IAPD

Latest filing Mar 22, 2024

First filing on the tape Mar 23, 2012 · 27 filings

RAUM

$352M

reported, Item 5.F

Discretionary

90%

of RAUM

Private clients

98%

$344M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

27 filings and snapshots on the tape

RAUM$352M as of Mar 18, 2024

Mar 23, 2012$94.1M then

HNW client RAUM$261M as of Mar 18, 2024

Mar 29, 2018$148M then

State-registered IARs (5.B.3)8 as of Mar 18, 2024

Mar 27, 20136 then

Employees (5.A)8 as of Mar 18, 2024

Mar 27, 20137 then

Private funds1 as of Mar 19, 2021

Mar 23, 20121 then

RAUM +52% over the last fiscal year+15% a year over threeIARs 6 to 8

Practice profile

derived from the filing of Mar 22, 2024; every figure names its basis

RAUM per advisor: $44.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 47derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.2MderivedHNW RAUM over HNW clients
Average account: $906,707derivedRAUM over accounts (5.F.2.f)
Discretionary: 90%derivedof RAUM
Institutional: 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 4.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +52%derivedbetween the last two annual amendments
Advisor growth, one year: +33%derivedItem 5.B.3 between annual amendments
Client growth, one year: +48%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Ownership: controlled by a public reporting companyderived
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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
controlled by a public reporting company (10.A)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$261M74%
Individuals$82.5M23%
Pension and profit-sharing plans$8.0M2.3%

Individual clients: 317reported
HNW clients: 62reported
Pension plan clients: 2reported
Charitable clients: n/areported
Accounts: 388reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
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

P•••••• P••• A•••••• to B•••••• A••••••• G•••• L••
Jul 17, 2024 · RIA to RIA
P••••• J••• K•••••• to C••••••• L••• A••••••• L••
Jul 17, 2024 · RIA to a newly registered adviser
B•••• C•••••• A••••••••• to C••••••• L••• A••••••• L••
Jul 17, 2024 · RIA to a newly registered adviser
S•••••• J••••• C••••••• to K•••••• O• C••••••• A•••• A••••••• L••
Jul 17, 2024 · Other
R••• B••• M•••••••• to C••••••• L••• A••••••• L••
Jul 17, 2024 · RIA to a newly registered adviser
C••••• L••• H••••• to C••••••• L••• A••••••• L••
Jul 17, 2024 · RIA to a newly registered adviser
R•••••• K•••• M•••••• to C••••••• L••• A••••••• L••
Jul 17, 2024 · RIA to a newly registered adviser
E••••• A•••••••• W•••• to C••••••• L••• A••••••• L••
Jul 17, 2024 · RIA to a newly registered adviser
E•••• D•••••• S•••••• to C••••••• L••• A••••••• L••
Jul 17, 2024 · RIA to a newly registered adviser

Joined, latest

P••••• J••• K•••••• from C••••••• • C••• I•••
Sep 16, 2014 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

7 left for C••••••• L••• A••••••• L••
Jul 17, 2024 · Short Hills, Nj · Firm absorbed

Teams out Teams in

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
H••••••••• B••• H•••••••• L••no longer reported	Hedge Fund	$305,505	8	Mar 23, 2012

Owners and control persons

Schedule A and B, latest filing

B•••••• E••••• S•••••• · Managing Directorcontrol
since 01/2000 · owns less than 5%
W••••• E•••••• A•••••••• · Chief Compliance Officer/Managing Directorcontrol
since 10/2004 · owns less than 5%

Entity owners

M•••••••• F••••• T•••• · Trust
direct · owns 75% or more

Related persons

Schedule D 7.A

C••••••• L••• A••••••• L••
investment adviseryRAUM $403M

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Short Hills, Nj · principal	0	0	0

Offices

Schedule D 1.F, the 25 largest

Melbourne, FL1 employees

What changed

consecutive filings, newest first

Related adviser · false to true
Mar 18, 2024 to Mar 22, 2024
Accounts · 281 to 388
Dec 5, 2023 to Mar 18, 2024
Charity clients · 0.0 to unset
Dec 5, 2023 to Mar 18, 2024
Corporate clients · 1.0 to unset
Dec 5, 2023 to Mar 18, 2024
HNW clients · 45 to 62
Dec 5, 2023 to Mar 18, 2024
Individual clients · 211 to 317
Dec 5, 2023 to Mar 18, 2024
Pension plan clients · 1 to 2
Dec 5, 2023 to Mar 18, 2024
Pooled vehicle clients · 0.0 to unset
Dec 5, 2023 to Mar 18, 2024
Discretionary RAUM · $228M to $318M
Dec 5, 2023 to Mar 18, 2024
HNW RAUM · $163M to $261M
Dec 5, 2023 to Mar 18, 2024
Individual RAUM · $62.7M to $82.5M
Dec 5, 2023 to Mar 18, 2024
Non-discretionary RAUM · $2.7M to $33.5M
Dec 5, 2023 to Mar 18, 2024
Pension RAUM · $2.7M to $8.0M
Dec 5, 2023 to Mar 18, 2024
Pooled vehicle RAUM · 0.0 to unset
Dec 5, 2023 to Mar 18, 2024
RAUM · $231M to $352M
Dec 5, 2023 to Mar 18, 2024
Related broker-dealer · true to false
Nov 30, 2023 to Dec 5, 2023
Advisory employees · 6 to 8
Oct 16, 2023 to Nov 30, 2023
BD registered reps · 6 to 0
Oct 16, 2023 to Nov 30, 2023
Employees · 7 to 8
Oct 16, 2023 to Nov 30, 2023
State-registered IARs · 6 to 8
Oct 16, 2023 to Nov 30, 2023
Accounts · 284 to 281
Mar 24, 2022 to Mar 22, 2023
Advisory activities · 2 to 1
Mar 24, 2022 to Mar 22, 2023
HNW clients · 49 to 45
Mar 24, 2022 to Mar 22, 2023
Individual clients · 200 to 211
Mar 24, 2022 to Mar 22, 2023
Discretionary RAUM · $261M to $228M
Mar 24, 2022 to Mar 22, 2023
HNW RAUM · $198M to $163M
Mar 24, 2022 to Mar 22, 2023
Individual RAUM · $60.1M to $62.7M
Mar 24, 2022 to Mar 22, 2023
Non-discretionary RAUM · $2.9M to $2.7M
Mar 24, 2022 to Mar 22, 2023
Pension RAUM · $3.0M to $2.7M
Mar 24, 2022 to Mar 22, 2023
RAUM · $264M to $231M
Mar 24, 2022 to Mar 22, 2023
Accounts · 278 to 284
Sep 21, 2021 to Mar 24, 2022
HNW clients · 44 to 49
Sep 21, 2021 to Mar 24, 2022
Individual clients · 203 to 200
Sep 21, 2021 to Mar 24, 2022
Pooled vehicle clients · 1 to 0
Sep 21, 2021 to Mar 24, 2022
Private funds · 1 to unset
Sep 21, 2021 to Mar 24, 2022
Discretionary RAUM · $232M to $261M
Sep 21, 2021 to Mar 24, 2022
HNW RAUM · $164M to $198M
Sep 21, 2021 to Mar 24, 2022
Individual RAUM · $62.7M to $60.1M
Sep 21, 2021 to Mar 24, 2022
Non-discretionary RAUM · $2.7M to $2.9M
Sep 21, 2021 to Mar 24, 2022
Pension RAUM · $2.7M to $3.0M
Sep 21, 2021 to Mar 24, 2022

Signals

12 dated events

E•••• D•••••• S•••••• left H••••••••• C•••••• M••••••••• L•• for C••••••• L••• A••••••• L•• (registered 2024-03-25)
Jul 17, 2024 · Advisor changed firm · fact
C••••• L••• H••••• left H••••••••• C•••••• M••••••••• L•• for C••••••• L••• A••••••• L•• (registered 2024-03-25)
Jul 17, 2024 · Advisor changed firm · fact
B•••• C•••••• A••••••••• left H••••••••• C•••••• M••••••••• L•• for C••••••• L••• A••••••• L•• (registered 2024-03-25)
Jul 17, 2024 · Advisor changed firm · fact
P••••• J••• K•••••• left H••••••••• C•••••• M••••••••• L•• for C••••••• L••• A••••••• L•• (registered 2024-04-02)
Jul 17, 2024 · Advisor changed firm · fact
R•••••• K•••• M•••••• left H••••••••• C•••••• M••••••••• L•• for C••••••• L••• A••••••• L•• (registered 2024-03-25)
Jul 17, 2024 · Advisor changed firm · fact
E••••• A•••••••• W•••• left H••••••••• C•••••• M••••••••• L•• for C••••••• L••• A••••••• L•• (registered 2024-03-25)
Jul 17, 2024 · Advisor changed firm · fact
P•••••• P••• A•••••• left H••••••••• C•••••• M••••••••• L•• for B•••••• A••••••• G•••• L•• (registered 2024-04-11)
Jul 17, 2024 · Advisor changed firm · fact
R••• B••• M•••••••• left H••••••••• C•••••• M••••••••• L•• for C••••••• L••• A••••••• L•• (registered 2024-03-25)
Jul 17, 2024 · Advisor changed firm · fact
S•••••• J••••• C••••••• left H••••••••• C•••••• M••••••••• L•• for K•••••• O• C••••••• A•••• A••••••• L•• (registered 2024-01-18)
Jul 17, 2024 · Advisor changed firm · fact
H••••••••• C•••••• M••••••••• L••'s advisors moved to C••••••• L••• A••••••• L•• (Short Hills, NJ): 7 of 9 registered, on the same day
Jul 17, 2024 · Firm absorbed (people side) · derived
H••••••••• C•••••• M••••••••• L•• reported RAUM $351.8M, up 52% from $231.2M (2023-12-05 to 2024-03-18)
Mar 18, 2024 · RAUM change · derived
Alan Douglas Macwright (Senior Managing Director) no longer on Schedule A of H••••••••• C•••••• M••••••••• L•• (listed 2023-03-22, absent 2023-10-16)
Oct 16, 2023 · Control person left · inference

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