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.

M••••• W••••• M•••••••••

Former SEC-registered adviserFormer SEC adviser· Paramus, New Jersey

Former SEC-registered adviser, based in Paramus, New Jersey, reporting $105M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$105M
RAUM change, 1 year
-4.9%
Private clients
96%
of RAUM, $100M
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2019, RAUM $110M to $105M (-4.9%) on the Form ADV filed 27 Mar 2019.

Every filed figure, and the identifiersCRD 107430 · SEC 801-77907 · 8 filingsShow
CRD 107430SEC 801-77907Legal name R•••• S• M••••• • A••••••••• L••First filing on the tape Apr 1, 2013, latest Mar 27, 2019IAPD
RAUM
$105M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$100M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape

RAUM -1.9% a year over three years · the tape starts Apr 1, 2013

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$105M as of Mar 27, 2019
Apr 22, 2014$109M then
HNW client RAUM$78.3M as of Mar 27, 2019
Mar 29, 2018$81.3M then
State-registered IARs (5.B.3)1 as of Mar 27, 2019
Apr 22, 20141 then
Employees (5.A)2 as of Mar 27, 2019
Apr 22, 20141 then
Private funds: no history
RAUM -4.9% over the last fiscal year-1.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2019; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$105MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
69derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
-4.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-6.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

75% high-net-worth individuals, 21% individuals, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow
  • High-net-worth individuals$78.3M75%
  • Individuals$21.9M21%
  • Pension and profit-sharing plans$2.7M2.5%
  • Charitable organizations$1.3M1.2%
  • Corporations and businesses$599,7130.6%
Individual clients
48reported
HNW clients
21reported
Pension plan clients
3reported
Charitable clients
1reported
Accounts
74reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• R••••• S•••• · Member, Chief Compliance Officercontrol
        since 01/1989 · owns 75% or more
      Ownership changes
      Schedule A, between consecutive filings
      No owner or control person joined or left between filings on the tape.
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 79 to 74
        Mar 29, 2018 to Mar 27, 2019
      • HNW clients · 26 to 21
        Mar 29, 2018 to Mar 27, 2019
      • Discretionary RAUM · $110M to $105M
        Mar 29, 2018 to Mar 27, 2019
      • HNW RAUM · $81.3M to $78.3M
        Mar 29, 2018 to Mar 27, 2019
      • Individual RAUM · $24.4M to $21.9M
        Mar 29, 2018 to Mar 27, 2019
      Full history · 41 changes
      • Pension RAUM · $2.3M to $2.7M
        Mar 29, 2018 to Mar 27, 2019
      • RAUM · $110M to $105M
        Mar 29, 2018 to Mar 27, 2019
      • Accounts · 77 to 79
        Jul 17, 2017 to Mar 29, 2018
      • Advisory activities · 3 to 2
        Jul 17, 2017 to Mar 29, 2018
      • Charity clients · unset to 1.0
        Jul 17, 2017 to Mar 29, 2018
      • Corporate clients · unset to 1.0
        Jul 17, 2017 to Mar 29, 2018
      • HNW clients · unset to 26.0
        Jul 17, 2017 to Mar 29, 2018
      • Individual clients · unset to 48.0
        Jul 17, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 3.0
        Jul 17, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 0.0
        Jul 17, 2017 to Mar 29, 2018
      • Employees · 1 to 2
        Jul 17, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Jul 17, 2017 to Mar 29, 2018
      • Discretionary RAUM · $116M to $110M
        Jul 17, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 81304877.0
        Jul 17, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 24390274.0
        Jul 17, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $342,830 to $0
        Jul 17, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 2322769.0
        Jul 17, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Jul 17, 2017 to Mar 29, 2018
      • RAUM · $117M to $110M
        Jul 17, 2017 to Mar 29, 2018
      • Accounts · 79 to 77
        Mar 30, 2016 to Mar 28, 2017
      • Discretionary RAUM · $110M to $116M
        Mar 30, 2016 to Mar 28, 2017
      • Non-discretionary RAUM · $1.1M to $342,830
        Mar 30, 2016 to Mar 28, 2017
      • RAUM · $111M to $117M
        Mar 30, 2016 to Mar 28, 2017
      • Accounts · 75 to 79
        Mar 27, 2015 to Mar 30, 2016
      • Discretionary RAUM · $113M to $110M
        Mar 27, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $1.2M to $1.1M
        Mar 27, 2015 to Mar 30, 2016
      • RAUM · $114M to $111M
        Mar 27, 2015 to Mar 30, 2016
      • Accounts · 74 to 75
        Apr 22, 2014 to Mar 27, 2015
      • Discretionary RAUM · $107M to $113M
        Apr 22, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $1.5M to $1.2M
        Apr 22, 2014 to Mar 27, 2015
      • RAUM · $109M to $114M
        Apr 22, 2014 to Mar 27, 2015
      • Accounts · 75 to 74
        Apr 1, 2013 to Apr 22, 2014
      • Business name · M••••• • A••••••••• to M••••• W••••• M•••••••••
        Apr 1, 2013 to Apr 22, 2014
      • Discretionary RAUM · $98.6M to $107M
        Apr 1, 2013 to Apr 22, 2014
      • Non-discretionary RAUM · $1.4M to $1.5M
        Apr 1, 2013 to Apr 22, 2014
      • RAUM · $100M to $109M
        Apr 1, 2013 to Apr 22, 2014
      Signals
      1 dated events
      • ••• Locked
        Apr 1, 2013 · 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.
      Web presence
      addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before
      2 earlier addresses on Form ADV filings, the earliest seen Apr 1, 2013
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026