DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

U•••••• F•••••••• C•••

Wealth manager with institutional or fund businessCRD 107303SEC 801-38340IAPD

Latest filing Mar 30, 2026

First filing on the tape Jan 9, 2012 · 21 filings

SEC status approved since Mar 1, 1991

RAUM

$98.0M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

47%

$45.8M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$98.0M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM$98.0M as of Mar 30, 2026

Jan 9, 2012$20.0M then

HNW client RAUM$38.1M as of Mar 30, 2026

Apr 22, 2022$28.4M then

State-registered IARs (5.B.3)1 as of Mar 30, 2026

Feb 3, 20141 then

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

Feb 3, 20141 then

Private funds1 as of Mar 30, 2026

May 1, 20181 then

RAUM +18% over the last fiscal year+22% a year over threeIARs 1 to 1

Practice profile

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

Archetypes, each a printed rule

Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $98.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 31derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.2MderivedHNW RAUM over HNW clients
Average account: $2.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 4.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 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: -16%derived
Compensation: percentage of assets, performance-based, commissions, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, educational seminarsreportedItem 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$38.1M39%
Investment companies$31.9M33%
Pooled investment vehicles$19.0M19%
Individuals$7.7M7.8%
Charitable organizations$1.2M1.3%

Individual clients: 19reported
HNW clients: 12reported
Pension plan clients: n/areported
Charitable clients: 1reported
Accounts: 36reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performance, commissionsreported
Class basis: private_client_share=0.47 fund_share=0.52 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
L•••• C••• W•	East Hanover, Nj	May 21, 2025	10 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

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
U•••••• C•••••• U•• L••	Hedge Fund	$7.2M	7	May 1, 2018

Owners and control persons

Schedule A and B, latest filing

C•••••• Y•••••••• D•••• · Chief Compliance Officercontrol
since 10/2013 · owns less than 5%

Related persons

Schedule D 7.A

A••••
real estaten
D•••• Y•••••••• C•••••
real estaten
M••••••••• F•••••••• G••••
real estaten
T••••••••• A•••••
real estaten
U•••••• I••••••••• T••••
y
W• S• V•••• A•••••• I••
real estaten
Y••••• P••••••
LP sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 42 to 36
May 29, 2025 to Mar 30, 2026
HNW clients · 11 to 12
May 29, 2025 to Mar 30, 2026
Individual clients · 26 to 19
May 29, 2025 to Mar 30, 2026
Discretionary RAUM · $83.1M to $98.0M
May 29, 2025 to Mar 30, 2026
HNW RAUM · $28.7M to $38.1M
May 29, 2025 to Mar 30, 2026
Individual RAUM · $11.7M to $7.7M
May 29, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $12.5M to $19.0M
May 29, 2025 to Mar 30, 2026
RAUM · $83.1M to $98.0M
May 29, 2025 to Mar 30, 2026
Advisory employees · 1 to 2
Apr 10, 2025 to May 29, 2025
Employees · 3 to 4
Apr 10, 2025 to May 29, 2025
Financial planning clients · 26-50 to 26-50
Apr 10, 2025 to May 29, 2025
HNW clients · 6 to 11
Jul 1, 2024 to Apr 10, 2025
Individual clients · 31 to 26
Jul 1, 2024 to Apr 10, 2025
HQ city · unset to
Jul 1, 2024 to Apr 10, 2025
HQ state · unset to
Jul 1, 2024 to Apr 10, 2025
Discretionary RAUM · $62.6M to $83.1M
Jul 1, 2024 to Apr 10, 2025
HNW RAUM · $18.4M to $28.7M
Jul 1, 2024 to Apr 10, 2025
Individual RAUM · $13.0M to $11.7M
Jul 1, 2024 to Apr 10, 2025
Pooled vehicle RAUM · $7.2M to $12.5M
Jul 1, 2024 to Apr 10, 2025
RAUM · $62.6M to $83.1M
Jul 1, 2024 to Apr 10, 2025
Accounts · 46 to 42
Jul 20, 2023 to Jul 1, 2024
HNW clients · 4 to 6
Jul 20, 2023 to Jul 1, 2024
Individual clients · 37 to 31
Jul 20, 2023 to Jul 1, 2024
Discretionary RAUM · $53.6M to $62.6M
Jul 20, 2023 to Jul 1, 2024
HNW RAUM · $12.9M to $18.4M
Jul 20, 2023 to Jul 1, 2024
Individual RAUM · $13.8M to $13.0M
Jul 20, 2023 to Jul 1, 2024
Pooled vehicle RAUM · $5.7M to $7.2M
Jul 20, 2023 to Jul 1, 2024
RAUM · $53.6M to $62.6M
Jul 20, 2023 to Jul 1, 2024
Accounts · 48 to 46
Apr 22, 2022 to Mar 30, 2023
HNW clients · 10 to 4
Apr 22, 2022 to Mar 30, 2023
Individual clients · 33 to 37
Apr 22, 2022 to Mar 30, 2023
Discretionary RAUM · $94.8M to $53.6M
Apr 22, 2022 to Mar 30, 2023
HNW RAUM · $28.4M to $12.9M
Apr 22, 2022 to Mar 30, 2023
Individual RAUM · $15.3M to $13.8M
Apr 22, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $13.0M to $5.7M
Apr 22, 2022 to Mar 30, 2023
RAUM · $94.8M to $53.6M
Apr 22, 2022 to Mar 30, 2023
HNW clients · unset to 10.0
Jan 15, 2021 to Apr 22, 2022
Individual clients · 43 to 33
Jan 15, 2021 to Apr 22, 2022
Employees · 4 to 3
Jan 15, 2021 to Apr 22, 2022
Financial planning clients · 51-100 to 26-50
Jan 15, 2021 to Apr 22, 2022

Signals

No event on the tape.

Across DFX

shared identifiers only, never a name match

U•••••• F•••••••• C••• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Principal office phone: 973-533-1818reportedpublic record, Form ADV, Mar 30, 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: Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor: $98.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026