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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Former SEC-registered adviser

M••••• C•••••• A•••••••• I•••

Former SEC-registered adviserLittle Silver, New JerseyCRD 108279SEC 801-56303IAPD
Latest filing Feb 23, 2021
First filing on the tape Feb 6, 2012 · 13 filings
RAUM
$293M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
88%
$257M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$293M as of Feb 22, 2021
Feb 6, 2012$126M then
HNW client RAUM$226M as of Feb 22, 2021
Feb 7, 2018$195M then
State-registered IARs (5.B.3)3 as of Feb 22, 2021
Feb 25, 20133 then
Employees (5.A)4 as of Feb 22, 2021
Feb 25, 20133 then
Private funds: no history
RAUM +9.0% over the last fiscal year+9.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 23, 2021; every figure names its basis
RAUM per advisor
$97.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
120derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$698,925derivedHNW RAUM over HNW clients
Average account
$807,314derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
12%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
+9.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$226M77%
  • Individuals$31.5M11%
  • Pension and profit-sharing plans$23.0M7.8%
  • Charitable organizations$12.8M4.4%
Individual clients
37reported
HNW clients
323reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
363reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• H••••• D• · President; Chief Compliance Officercontrol
      since 12/1998 · owns 75% or more
    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 · 361 to 363
      May 15, 2020 to Feb 22, 2021
    • HNW clients · 318 to 323
      May 15, 2020 to Feb 22, 2021
    • Individual clients · 36 to 37
      May 15, 2020 to Feb 22, 2021
    • Employees · 3 to 4
      May 15, 2020 to Feb 22, 2021
    • Discretionary RAUM · $264M to $288M
      May 15, 2020 to Feb 22, 2021
    • HNW RAUM · $226M to $226M
      May 15, 2020 to Feb 22, 2021
    • Individual RAUM · $6.9M to $31.5M
      May 15, 2020 to Feb 22, 2021
    • Non-discretionary RAUM · $4.7M to $5.1M
      May 15, 2020 to Feb 22, 2021
    • Pension RAUM · $24.7M to $23.0M
      May 15, 2020 to Feb 22, 2021
    • RAUM · $269M to $293M
      May 15, 2020 to Feb 22, 2021
    • Accounts · 356 to 361
      Feb 17, 2019 to Mar 7, 2020
    • Individual clients · 32 to 36
      Feb 17, 2019 to Mar 7, 2020
    • Financial planning clients · 0 to unset
      Feb 17, 2019 to Mar 7, 2020
    • Discretionary RAUM · $217M to $264M
      Feb 17, 2019 to Mar 7, 2020
    • HNW RAUM · $190M to $226M
      Feb 17, 2019 to Mar 7, 2020
    • Individual RAUM · $4.8M to $6.9M
      Feb 17, 2019 to Mar 7, 2020
    • Non-discretionary RAUM · $4.0M to $4.7M
      Feb 17, 2019 to Mar 7, 2020
    • Pension RAUM · $20.2M to $24.7M
      Feb 17, 2019 to Mar 7, 2020
    • RAUM · $221M to $269M
      Feb 17, 2019 to Mar 7, 2020
    • Accounts · 352 to 356
      Jul 31, 2018 to Feb 17, 2019
    • HNW clients · 313 to 318
      Jul 31, 2018 to Feb 17, 2019
    • Individual clients · 33 to 32
      Jul 31, 2018 to Feb 17, 2019
    • Discretionary RAUM · $222M to $217M
      Jul 31, 2018 to Feb 17, 2019
    • HNW RAUM · $195M to $190M
      Jul 31, 2018 to Feb 17, 2019
    • Individual RAUM · $4.9M to $4.8M
      Jul 31, 2018 to Feb 17, 2019
    • Non-discretionary RAUM · $4.5M to $4.0M
      Jul 31, 2018 to Feb 17, 2019
    • Pension RAUM · $20.4M to $20.2M
      Jul 31, 2018 to Feb 17, 2019
    • RAUM · $227M to $221M
      Jul 31, 2018 to Feb 17, 2019
    • Accounts · 350 to 352
      Feb 23, 2017 to Feb 7, 2018
    • HNW clients · unset to 313.0
      Feb 23, 2017 to Feb 7, 2018
    • Individual clients · unset to 33.0
      Feb 23, 2017 to Feb 7, 2018
    • Other offices · unset to 0.0
      Feb 23, 2017 to Feb 7, 2018
    • Discretionary RAUM · $198M to $222M
      Feb 23, 2017 to Feb 7, 2018
    • HNW RAUM · unset to 195038918.0
      Feb 23, 2017 to Feb 7, 2018
    • Individual RAUM · unset to 4929888.0
      Feb 23, 2017 to Feb 7, 2018
    • Non-discretionary RAUM · $4.0M to $4.5M
      Feb 23, 2017 to Feb 7, 2018
    • Pension RAUM · unset to 20440812.0
      Feb 23, 2017 to Feb 7, 2018
    • RAUM · $202M to $227M
      Feb 23, 2017 to Feb 7, 2018
    • Accounts · 351 to 350
      Feb 1, 2016 to Feb 23, 2017
    • Insurance-licensed employees · 0 to 1
      Feb 1, 2016 to Feb 23, 2017
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026