DFX Intelligence

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SEC-registered adviser

R•• C•••••• A••••••••• I••

Independent wealth managerRed Bank, New JerseyCRD 106941SEC 801-129856website IAPD

Latest filing Mar 30, 2026

First filing on the tape Mar 29, 2012 · 7 filings

SEC status approved since Apr 9, 2024

RAUM

$164M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

94%

$155M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$54.8M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

7 filings and snapshots on the tape

RAUM$164M as of Mar 30, 2026

Mar 29, 2012$32.9M then

HNW client RAUM$135M as of Mar 30, 2026

Feb 10, 2025$99.4M then

State-registered IARs (5.B.3)3 as of Mar 30, 2026

Mar 29, 20120 then

Employees (5.A)4 as of Mar 30, 2026

Feb 10, 20254 then

Private funds: no history

RAUM +29% over the last fiscal yearIARs 3 to 3

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $54.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 42derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.7MderivedHNW RAUM over HNW clients
Average account: $642,418derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 5.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +29%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +16%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
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$135M82%
Individuals$20.2M12%
Charitable organizations$9.6M5.9%

Individual clients: 77reported
HNW clients: 49reported
Pension plan clients: 0reported
Charitable clients: 1reported
Accounts: 256reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M•••••• L•••••• L••••••Certified Financial Planner	Red Bank, Nj	Feb 10, 2011	15 y	0
B•••• L••••••	Red Bank, Nj	Aug 27, 2021	28 y	0
A•••••••• J• S••••••	Red Bank, Nj	May 3, 2022	12 y	1

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

D•••• H••••• L•••••• to C••••••• P•••••••
Aug 30, 2018 · Other

Joined, latest

A•••••••• J• S•••••• from U•• F•••••••• S••••••• I•••
May 3, 2022 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

L••••••• B•••• · President, Dircontrol
since 12/1988 · owns 75% or more
L••••••• M••••••• L•••••• · Managing Director, Treasurer, Chief Compliance Officercontrol
since 08/2014 · owns 10% to 25%

Related persons

Schedule D 7.A

S••••• A••••••••• C••• F••• G• L••
pooled vehicle sponsorn
S••••• A••••••••• M•••••• P••••••••• F••• G• L••
pooled vehicle sponsorn
S••••• A••••••••• M•••••• P••••••••• F••• I• G• L••
pooled vehicle sponsorn

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Red Bank, Nj · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 247 to 256
Feb 10, 2025 to Mar 30, 2026
HNW clients · 39 to 49
Feb 10, 2025 to Mar 30, 2026
Individual clients · 70 to 77
Feb 10, 2025 to Mar 30, 2026
Discretionary RAUM · $128M to $164M
Feb 10, 2025 to Mar 30, 2026
HNW RAUM · $99.4M to $135M
Feb 10, 2025 to Mar 30, 2026
Individual RAUM · $19.8M to $20.2M
Feb 10, 2025 to Mar 30, 2026
RAUM · $128M to $164M
Feb 10, 2025 to Mar 30, 2026
Accounts · 226 to 247
May 7, 2024 to Feb 10, 2025
HNW clients · 29 to 39
May 7, 2024 to Feb 10, 2025
Individual clients · 69 to 70
May 7, 2024 to Feb 10, 2025
Financial planning clients · 1-10 to 1-10
May 7, 2024 to Feb 10, 2025
Discretionary RAUM · $107M to $128M
May 7, 2024 to Feb 10, 2025
HNW RAUM · $77.1M to $99.4M
May 7, 2024 to Feb 10, 2025
Individual RAUM · $22.1M to $19.8M
May 7, 2024 to Feb 10, 2025
RAUM · $107M to $128M
May 7, 2024 to Feb 10, 2025
Accounts · 94 to 226
Jul 16, 2012 to Mar 8, 2024
Advisory employees · unset to 3.0
Jul 16, 2012 to Mar 8, 2024
Charity clients · unset to 1.0
Jul 16, 2012 to Mar 8, 2024
Corporate clients · unset to 0.0
Jul 16, 2012 to Mar 8, 2024
HNW clients · unset to 29.0
Jul 16, 2012 to Mar 8, 2024
Individual clients · unset to 69.0
Jul 16, 2012 to Mar 8, 2024
Pension plan clients · unset to 0.0
Jul 16, 2012 to Mar 8, 2024
Pooled vehicle clients · unset to 0.0
Jul 16, 2012 to Mar 8, 2024
Employees · unset to 4.0
Jul 16, 2012 to Mar 8, 2024
HQ city · SHREWSBURY to RED BANK
Jul 16, 2012 to Mar 8, 2024
State-registered IARs · 0 to 3
Jul 16, 2012 to Mar 8, 2024
Other offices · unset to 0.0
Jul 16, 2012 to Mar 8, 2024
Discretionary RAUM · $32.9M to $107M
Jul 16, 2012 to Mar 8, 2024
HNW RAUM · unset to 77131282.0
Jul 16, 2012 to Mar 8, 2024
Individual RAUM · unset to 22109671.0
Jul 16, 2012 to Mar 8, 2024
Pension RAUM · unset to 0.0
Jul 16, 2012 to Mar 8, 2024
Pooled vehicle RAUM · unset to 0.0
Jul 16, 2012 to Mar 8, 2024
RAUM · $32.9M to $107M
Jul 16, 2012 to Mar 8, 2024

Signals

2 dated events

••• Locked
Mar 8, 2024 · Control person left · inference
••• Locked
Mar 8, 2024 · First SEC registration · fact

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: b••@r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 732-358-2573reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 732-576-1671reportedpublished by the firm, firm site, Sep 16, 2026
Firm profile: LINKEDIN.COM/COMPANY/2647658reportedpublic record, Form ADV, Mar 30, 2026
Website: w••.r•••••••••.comreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: 732-576-1671reportedpublic record, Form ADV, Mar 30, 2026
Team page: r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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: $54.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026