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•••••••• S••••••••• I•• N•
Latest filing Apr 6, 2026
First filing on the tape Mar 29, 2012 · 30 filings
SEC status approved since Jan 1, 1994
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$852M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$339M
derived; firm RAUM over IAPD count
Employees
11
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.0B as of Apr 6, 2026
Mar 29, 2012$311M then
HNW client RAUM$501M as of Apr 6, 2026
Mar 28, 2018$73.9M then
State-registered IARs (5.B.3)3 as of Apr 6, 2026
Mar 29, 20120 then
Employees (5.A)11 as of Apr 6, 2026
Mar 22, 201311 then
Private funds2 as of Mar 14, 2019
Mar 29, 20122 then
RAUM +18% over the last fiscal year+20% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 6, 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
- RAUM per advisor
- $339MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1,085derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $297,700derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $97.0M, 514 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$501M49%
- Individuals$350M34%
- Corporations and businesses$152M15%
- Charitable organizations$11.6M1.1%
- Individual clients
- 3,070reported
- HNW clients
- 186reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 3,412reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $97.0M for 514 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| I••••• C• S•••••• | Montvale, Nj | Apr 19, 2021 | 18 y | 0 |
| Z•• K••• | Montvale, Nj | Mar 5, 2024 | 16 y | 0 |
| A••• S••••• | Montvale, Nj | Feb 10, 2025 | 12 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•• B•••••• C••••••••• L••no longer reported | Real Estate Fund | $16.9M | 83 | Mar 18, 2015 |
| P•• M•••• R••••• L••no longer reported | Real Estate Fund | $6.6M | 60 | Nov 12, 2013 |
| P•• H•••••• R•••• C•••••••• L••no longer reported | Real Estate Fund | $5.8M | 69 | Mar 22, 2013 |
| P•• B••••••••• L••no longer reported | Real Estate Fund | $3.2M | 34 | Mar 18, 2015 |
| P•• S••••••• H•••••••• L••no longer reported | Real Estate Fund | $1.6M | 21 | Mar 29, 2012 |
| P•• T•••••• H•••••••• L••no longer reported | Real Estate Fund | $0 | 0 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K••••••••• P•••• S• · Presidentcontrolsince 09/1993 · owns 10% to 25%
- H•••••• M•••••••• E••••• · Chief Compliance Officersince 10/2018 · owns less than 5%
- K•••• Y••••••• · Shareholdersince 07/1999 · owns 5% to 10%
- K••••••••• A••••• · Vice Presidentsince 01/1996 · owns 5% to 10%
- K••••••••• C••••• Z•• · Shareholdersince 12/1993 · owns 10% to 25%
- K••••••••• D••••• P•••••• · Shareholdersince 12/1999 · owns 5% to 10%
- K••••••••• M•••••• G• · Secretarysince 09/1993 · owns 5% to 10%
- K••••••••• M•••• · Shareholdersince 07/1999 · owns 5% to 10%
- K••••••••• Y•••••• · Shareholdersince 12/1993 · owns 5% to 10%
- L•••••••• C•••••• A••• · Shareholdersince 01/2016 · owns 5% to 10%
- M•••• C••••• M•••••••• · Shareholdersince 09/1993 · owns 5% to 10%
- N•••••• D••••• N••••• · Shareholdersince 07/1999 · owns 5% to 10%
- O••••• E••••••• · Shareholdersince 12/2020 · owns 5% to 10%
Related persons
Schedule D 7.A
- B••••••••• R••• E••••• P•••••••• L••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Montvale, Nj · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Apr 6, 2026private clients per advisor of 1,085.3 against a peer median of 64.5 (1151 comparable advisers, 100.0th percentile, 24.9 robust deviations)peers: independent wealth managers, $1B to $5B (1,151) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 3,114 to 3,412Apr 10, 2025 to Mar 6, 2026
- Corporate clients · 123 to 153Apr 10, 2025 to Mar 6, 2026
- HNW clients · 157 to 186Apr 10, 2025 to Mar 6, 2026
- Individual clients · 2,831 to 3,070Apr 10, 2025 to Mar 6, 2026
- Assets in custody · $53.3M to $97.0MApr 10, 2025 to Mar 6, 2026
- Employees · 8 to 11Apr 10, 2025 to Mar 6, 2026
- Discretionary RAUM · $861M to $1.0BApr 10, 2025 to Mar 6, 2026
- HNW RAUM · $409M to $501MApr 10, 2025 to Mar 6, 2026
- Individual RAUM · $317M to $350MApr 10, 2025 to Mar 6, 2026
- RAUM · $861M to $1.0BApr 10, 2025 to Mar 6, 2026
- Accounts · 3,039 to 3,114Aug 29, 2024 to Apr 10, 2025
- Advisory employees · 3 to 4Aug 29, 2024 to Apr 10, 2025
- Corporate clients · 121 to 123Aug 29, 2024 to Apr 10, 2025
- HNW clients · 137 to 157Aug 29, 2024 to Apr 10, 2025
- Individual clients · 2,778 to 2,831Aug 29, 2024 to Apr 10, 2025
- Assets in custody · $54.5M to $53.3MAug 29, 2024 to Apr 10, 2025
- Financial planning clients · unset to Aug 29, 2024 to Apr 10, 2025
- State-registered IARs · 2 to 3Aug 29, 2024 to Apr 10, 2025
- Other offices · 1 to 2Aug 29, 2024 to Apr 10, 2025
- Discretionary RAUM · $724M to $861MAug 29, 2024 to Apr 10, 2025
- HNW RAUM · $323M to $409MAug 29, 2024 to Apr 10, 2025
- Individual RAUM · $289M to $317MAug 29, 2024 to Apr 10, 2025
- RAUM · $724M to $861MAug 29, 2024 to Apr 10, 2025
- Accounts · 3,030 to 3,039Jan 16, 2024 to Mar 26, 2024
- Corporate clients · 124 to 121Jan 16, 2024 to Mar 26, 2024
- HNW clients · 110 to 137Jan 16, 2024 to Mar 26, 2024
- Individual clients · 2,793 to 2,778Jan 16, 2024 to Mar 26, 2024
- Assets in custody · $37.1M to $54.5MJan 16, 2024 to Mar 26, 2024
- State-registered IARs · 1 to 2Jan 16, 2024 to Mar 26, 2024
- Discretionary RAUM · $595M to $724MJan 16, 2024 to Mar 26, 2024
- HNW RAUM · $242M to $323MJan 16, 2024 to Mar 26, 2024
- Individual RAUM · $274M to $289MJan 16, 2024 to Mar 26, 2024
- RAUM · $595M to $724MJan 16, 2024 to Mar 26, 2024
- Accounts · 2,963 to 3,030Apr 28, 2022 to Mar 10, 2023
- Corporate clients · 130 to 124Apr 28, 2022 to Mar 10, 2023
- HNW clients · 146 to 110Apr 28, 2022 to Mar 10, 2023
- Individual clients · 2,684 to 2,793Apr 28, 2022 to Mar 10, 2023
- Assets in custody · $35.0M to $37.1MApr 28, 2022 to Mar 10, 2023
- Discretionary RAUM · $745M to $595MApr 28, 2022 to Mar 10, 2023
- HNW RAUM · $348M to $242MApr 28, 2022 to Mar 10, 2023
Signals
1 dated events
- P•••••••• S••••••••• I•• N• reported RAUM $673.3M, up 36% from $494.1M (2020-06-23 to 2021-03-08)Mar 8, 2021 · 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
- Principal office phone
- 201-571-4100reportedpublic record, Form ADV, Apr 6, 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
- $339Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
P•••••••• S••••••••• I•• N• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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