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
C••••• F•••••••• • R••••••••• P••••••• A••••••••• I••
Latest filing Mar 31, 2026
First filing on the tape Jan 31, 2012 · 37 filings
SEC status approved since Feb 19, 2014
RAUM
$108M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$107M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$108M
derived; firm RAUM over IAPD count
Employees
6
1 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$108M as of Mar 31, 2026
Jan 31, 2012$77.5M then
HNW client RAUM$62.5M as of Mar 31, 2026
Mar 27, 2018$26.4M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Jan 31, 20120 then
Employees (5.A)6 as of Mar 31, 2026
Feb 17, 20156 then
Private funds: no history
RAUM +2.6% over the last fiscal year+3.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $108MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 146derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $294,935derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$62.5M58%
- Individuals$45.0M42%
- Pension and profit-sharing plans$505,0830.5%
- Individual clients
- 113reported
- HNW clients
- 33reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 366reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••••• A••••• P•••••••••Certified Financial Planner | Fair Haven, Nj | Jan 9, 2007 | 45 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
none on the tape
Joined, latest
- A••••••• A••••• P••••••••• from C•••••• G•••• • C• I••Jan 9, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••••• A•••••••• A••••• · President, Ceo & Chief Compliance Officercontrolsince 06/1992 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Naples, FL1 employees
- New York, NY1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 373 to 366Oct 29, 2025 to Mar 31, 2026
- HNW clients · 32 to 33Oct 29, 2025 to Mar 31, 2026
- Individual clients · 122 to 113Oct 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $105M to $108MOct 29, 2025 to Mar 31, 2026
- HNW RAUM · $62.3M to $62.5MOct 29, 2025 to Mar 31, 2026
- Individual RAUM · $42.9M to $45.0MOct 29, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $177,990 to $0Oct 29, 2025 to Mar 31, 2026
- Pension RAUM · unset to 505083.0Oct 29, 2025 to Mar 31, 2026
- RAUM · $105M to $108MOct 29, 2025 to Mar 31, 2026
- Accounts · 346 to 373Mar 21, 2024 to Apr 1, 2025
- BD registered reps · 2 to 1Mar 21, 2024 to Apr 1, 2025
- HNW clients · 26 to 32Mar 21, 2024 to Apr 1, 2025
- Individual clients · 120 to 122Mar 21, 2024 to Apr 1, 2025
- Employees · 5 to 6Mar 21, 2024 to Apr 1, 2025
- Financial planning clients · 101-250 to 101-250Mar 21, 2024 to Apr 1, 2025
- Discretionary RAUM · $96.6M to $105MMar 21, 2024 to Apr 1, 2025
- HNW RAUM · $52.7M to $62.3MMar 21, 2024 to Apr 1, 2025
- Individual RAUM · $43.9M to $42.9MMar 21, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $0 to $177,990Mar 21, 2024 to Apr 1, 2025
- RAUM · $96.6M to $105MMar 21, 2024 to Apr 1, 2025
- Accounts · 352 to 346Nov 3, 2023 to Mar 20, 2024
- HNW clients · 28 to 26Nov 3, 2023 to Mar 20, 2024
- Discretionary RAUM · $88.0M to $96.6MNov 3, 2023 to Mar 20, 2024
- HNW RAUM · $48.8M to $52.7MNov 3, 2023 to Mar 20, 2024
- Individual RAUM · $39.2M to $43.9MNov 3, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $9.0M to $0Nov 3, 2023 to Mar 20, 2024
- Pension RAUM · 9000000.0 to unsetNov 3, 2023 to Mar 20, 2024
- RAUM · $97.0M to $96.6MNov 3, 2023 to Mar 20, 2024
- Accounts · 385 to 352Mar 12, 2022 to Feb 21, 2023
- HNW clients · 32 to 28Mar 12, 2022 to Feb 21, 2023
- Individual clients · 131 to 120Mar 12, 2022 to Feb 21, 2023
- Pooled vehicle clients · 1.0 to unsetMar 12, 2022 to Feb 21, 2023
- Other offices · 2 to 3Mar 12, 2022 to Feb 21, 2023
- Discretionary RAUM · $109M to $88.0MMar 12, 2022 to Feb 21, 2023
- HNW RAUM · $49.3M to $48.8MMar 12, 2022 to Feb 21, 2023
- Individual RAUM · $34.4M to $39.2MMar 12, 2022 to Feb 21, 2023
- Non-discretionary RAUM · $0 to $9.0MMar 12, 2022 to Feb 21, 2023
- Pension RAUM · unset to 9000000.0Mar 12, 2022 to Feb 21, 2023
- Pooled vehicle RAUM · 25083254.0 to unsetMar 12, 2022 to Feb 21, 2023
- RAUM · $109M to $97.0MMar 12, 2022 to Feb 21, 2023
Signals
1 dated events
- C••••• F•••••••• • R••••••••• P••••••• A••••••••• I•• filed its initial SEC registration (Form ADV)Feb 10, 2014 · 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
- a••@c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 732-888-4994reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- C•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 732-888-4994reportedpublic record, Form ADV, Mar 31, 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
- $108Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026