DFX Intelligence

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C••••• W••• L••

No RAUM reportedSEC-registered· Lawrenceville, New Jerseywebsite

No RAUM reported, based in Lawrenceville, New Jersey.

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

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Advisors: 0

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-27 · 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 2026, 1 control person joined and 1 left Schedule A in the last 12 months.

Every filed figure, and the identifiersCRD 109066 · SEC 801-56468 · 16 filingsShow

CRD 109066SEC 801-56468First filing on the tape Mar 30, 2012, latest Mar 27, 2026SEC status approved since May 11, 1999IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

Filed figures over time · the tape starts Mar 30, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$0 as of Mar 27, 2026

Apr 2, 2018$612M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2026

Mar 30, 20120 then

Employees (5.A)30 as of Mar 27, 2026

Mar 21, 201327 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 2026; every figure names its basis

Archetypes

Retirement plan adviser

The rule behind each archetype, and every derived figure1 rulesShow

Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: hourly, fixed feesreportedItem 5.E
Advisory activities: pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 39reported
Charitable clients: 11reported
Accounts: 0reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: fixed, hourlyreported
Class basis: RAUM: 0% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every 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

C•••••• J••••• L••• · Chief Executive Officercontrol
since 01/2022 · owns 50% to 75%
D•••••• B••••• T• · Principalcontrol
since 09/2008 · owns 5% to 10%
K••••••• U•••••• · Principalcontrol
since 01/2022 · owns 5% to 10%
S••••••• G•••• A•••• · Principalcontrol
since 01/2022 · owns 5% to 10%
V•• O••• T•••••••• W•••••• · Chief Compliance Officercontrol
since 01/2023 · owns 5% to 10%

All 7 control persons

P•••••• B••••• J• · Principal
since 01/2023 · owns 5% to 10%
T•• M•••••• · Chief Financial Officer
since 01/2023 · owns 5% to 10%

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

Business name · C••••• W•••• L•• to C••••• W••• L••
Mar 11, 2025 to Mar 27, 2026
Charity clients · 4 to 11
Mar 11, 2025 to Mar 27, 2026
Pension plan clients · 67 to 39
Mar 11, 2025 to Mar 27, 2026
Accounts · unset to 0.0
Nov 4, 2024 to Mar 11, 2025
Charity clients · 8 to 4
Nov 4, 2024 to Mar 11, 2025

Full history · 51 changes

Pension plan clients · 60 to 67
Nov 4, 2024 to Mar 11, 2025
Financial planning clients · unset to
Nov 4, 2024 to Mar 11, 2025
Discretionary RAUM · unset to 0.0
Nov 4, 2024 to Mar 11, 2025
Non-discretionary RAUM · unset to 0.0
Nov 4, 2024 to Mar 11, 2025
RAUM · unset to 0.0
Nov 4, 2024 to Mar 11, 2025
Pension plan clients · 61 to 60
Apr 4, 2023 to Mar 11, 2024
Employees · 25 to 30
Apr 4, 2023 to Mar 11, 2024
Charity clients · 4 to 8
May 31, 2022 to Apr 4, 2023
Corporate clients · unset to 0.0
May 31, 2022 to Apr 4, 2023
Pension plan clients · 46 to 61
May 31, 2022 to Apr 4, 2023
Employees · 26 to 25
May 31, 2022 to Apr 4, 2023
HQ city · PENNINGTON to LAWRENCEVILLE
May 31, 2022 to Apr 4, 2023
Advisory employees · 8 to 7
Jun 14, 2021 to May 31, 2022
Charity clients · 2 to 4
Jun 14, 2021 to May 31, 2022
Pension plan clients · 42 to 46
Jun 14, 2021 to May 31, 2022
Employees · 27 to 26
Jun 14, 2021 to May 31, 2022
Charity clients · unset to 2.0
May 8, 2020 to Jun 14, 2021
Pension plan clients · 41 to 42
May 8, 2020 to Jun 14, 2021
Accounts · 2.0 to unset
Mar 19, 2019 to May 8, 2020
Advisory employees · 7 to 8
Mar 19, 2019 to May 8, 2020
Pension plan clients · unset to 41.0
Mar 19, 2019 to May 8, 2020
Employees · 26 to 27
Mar 19, 2019 to May 8, 2020
Discretionary RAUM · 0.0 to unset
Mar 19, 2019 to May 8, 2020
Non-discretionary RAUM · 578900000.0 to unset
Mar 19, 2019 to May 8, 2020
Pension RAUM · $579M to $0
Mar 19, 2019 to May 8, 2020
RAUM · 578900000.0 to unset
Mar 19, 2019 to May 8, 2020
Pension plan clients · 60.0 to unset
Apr 2, 2018 to Mar 19, 2019
Non-discretionary RAUM · $612M to $579M
Apr 2, 2018 to Mar 19, 2019
Pension RAUM · $612M to $579M
Apr 2, 2018 to Mar 19, 2019
RAUM · $612M to $579M
Apr 2, 2018 to Mar 19, 2019
Accounts · unset to 2.0
Mar 29, 2017 to Apr 2, 2018
Advisory employees · 9 to 7
Mar 29, 2017 to Apr 2, 2018
HNW clients · unset to 0.0
Mar 29, 2017 to Apr 2, 2018
Individual clients · unset to 0.0
Mar 29, 2017 to Apr 2, 2018
Pension plan clients · unset to 60.0
Mar 29, 2017 to Apr 2, 2018
Pooled vehicle clients · unset to 0.0
Mar 29, 2017 to Apr 2, 2018
Other offices · unset to 0.0
Mar 29, 2017 to Apr 2, 2018
Discretionary RAUM · unset to 0.0
Mar 29, 2017 to Apr 2, 2018
Non-discretionary RAUM · unset to 612400000.0
Mar 29, 2017 to Apr 2, 2018
Pension RAUM · unset to 612400000.0
Mar 29, 2017 to Apr 2, 2018
RAUM · unset to 612400000.0
Mar 29, 2017 to Apr 2, 2018
Advisory employees · 10 to 9
Mar 28, 2014 to Mar 30, 2015
Advisory activities · 2 to 3
Mar 28, 2014 to Mar 30, 2015
Employees · 27 to 26
Mar 21, 2013 to Mar 28, 2014
Advisory employees · unset to 10.0
Mar 30, 2012 to Mar 21, 2013
Employees · unset to 27.0
Mar 30, 2012 to Mar 21, 2013

Signals

12 dated events

••• Locked
Mar 27, 2026 · ria principal change · derived
••• Locked
Mar 27, 2026 · Control person left · inference
••• Locked
Mar 27, 2026 · Control person joined · fact
••• Locked
Nov 4, 2024 · Control person joined · fact
••• Locked
Nov 4, 2024 · Control person left · inference

Full timeline · 12 events

••• Locked
Mar 11, 2024 · Control person left · inference
••• Locked
May 31, 2022 · Control person joined · fact
••• Locked
May 31, 2022 · Control person joined · fact
••• Locked
May 31, 2022 · Control person left · inference
••• Locked
May 31, 2022 · Control person joined · fact
••• Locked
May 31, 2022 · Control person joined · fact
••• Locked
May 31, 2022 · Control person joined · 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

Website: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026

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: No RAUM reportedderiveda 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

Not yet on record: regulatory AUM, net advisor flow, 12 months, RAUM change, 1 year, private clients.