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.
SEC-registered adviser
Dumont & Blake Investment Advisors LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 20, 2012 · 21 filings
SEC status approved since Sep 3, 1999
RAUM
$562M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
98%
$549M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$141M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$562M as of Mar 31, 2026
Mar 20, 2012$253M then
HNW client RAUM$463M as of Mar 31, 2026
Mar 21, 2018$262M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 22, 20133 then
Employees (5.A)8 as of Mar 31, 2026
Mar 22, 20139 then
Private funds: no history
RAUM +4.0% over the last fiscal year+7.8% a year over threeIARs 3 to 3
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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $141MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 107derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $655,322derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $1.9MreportedItem 5.I
- Custody
- $8,901, 1 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$463M82%
- Individuals$85.3M15%
- Charitable organizations$9.2M1.6%
- Corporations and businesses$4.4M0.8%
- Individual clients
- 223reported
- HNW clients
- 205reported
- Pension plan clients
- 0reported
- Charitable clients
- 7reported
- Accounts
- 858reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $8,901 for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Morley Goldberg | Princeton, Nj | Oct 2, 2002 | 34 y | 0 |
| Adam Goldberg | Princeton, Nj | Jun 23, 2014 | 33 y | 0 |
| Marc Andrew Luciani | Newtown, Pa | Mar 16, 2022 | 14 y | 7 |
| Jason N Rapp | Princeton, Nj | Mar 30, 2026 | 23 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Amos Warren to M&R Capital Management IncDec 13, 2022 · RIA to RIA
- Kathy Anne Lobue to Glen Eagle Advisors, LLCDec 2, 2013 · Other
- Chester Angus Schaal to Tandem Wealth AdvisorsJul 1, 2011 · Other
Joined, latest
- Jason N Rapp from Byrne Asset Management, LLCMar 30, 2026 · RIA to RIA
- Marc Andrew Luciani from Covered Bridge Advisors, LLCMar 16, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Morley Goldberg · President/ Chief Compliance Officercontrolsince 08/1999 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Princeton, Nj · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 868 to 858Apr 1, 2025 to Mar 31, 2026
- Charity clients · 8 to 7Apr 1, 2025 to Mar 31, 2026
- Corporate clients · 5 to 4Apr 1, 2025 to Mar 31, 2026
- HNW clients · 212 to 205Apr 1, 2025 to Mar 31, 2026
- Individual clients · 225 to 223Apr 1, 2025 to Mar 31, 2026
- Assets in custody · $15,492 to $8,901Apr 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $526M to $544MApr 1, 2025 to Mar 31, 2026
- HNW RAUM · $452M to $463MApr 1, 2025 to Mar 31, 2026
- Individual RAUM · $74.2M to $85.3MApr 1, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $15.1M to $18.1MApr 1, 2025 to Mar 31, 2026
- RAUM · $541M to $562MApr 1, 2025 to Mar 31, 2026
- Accounts · 896 to 868Jun 21, 2024 to Apr 1, 2025
- HNW clients · 189 to 212Jun 21, 2024 to Apr 1, 2025
- Individual clients · 234 to 225Jun 21, 2024 to Apr 1, 2025
- Assets in custody · $107,837 to $15,492Jun 21, 2024 to Apr 1, 2025
- Financial planning clients · 0 to 0Jun 21, 2024 to Apr 1, 2025
- Discretionary RAUM · $475M to $526MJun 21, 2024 to Apr 1, 2025
- HNW RAUM · $401M to $452MJun 21, 2024 to Apr 1, 2025
- Individual RAUM · $74.6M to $74.2MJun 21, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $15.0M to $15.1MJun 21, 2024 to Apr 1, 2025
- RAUM · $490M to $541MJun 21, 2024 to Apr 1, 2025
- Accounts · 937 to 896Mar 7, 2023 to Mar 27, 2024
- Corporate clients · 4 to 5Mar 7, 2023 to Mar 27, 2024
- HNW clients · 166 to 189Mar 7, 2023 to Mar 27, 2024
- Individual clients · 261 to 234Mar 7, 2023 to Mar 27, 2024
- Assets in custody · unset to 107837.0Mar 7, 2023 to Mar 27, 2024
- Custody of client assets · false to trueMar 7, 2023 to Mar 27, 2024
- Discretionary RAUM · $439M to $475MMar 7, 2023 to Mar 27, 2024
- HNW RAUM · $357M to $401MMar 7, 2023 to Mar 27, 2024
- Individual RAUM · $79.3M to $74.6MMar 7, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $10.3M to $15.0MMar 7, 2023 to Mar 27, 2024
- RAUM · $449M to $490MMar 7, 2023 to Mar 27, 2024
- Accounts · 868 to 937Nov 21, 2022 to Mar 3, 2023
- HNW clients · 193 to 166Nov 21, 2022 to Mar 3, 2023
- Individual clients · 176 to 261Nov 21, 2022 to Mar 3, 2023
- Discretionary RAUM · $494M to $439MNov 21, 2022 to Mar 3, 2023
- HNW RAUM · $427M to $357MNov 21, 2022 to Mar 3, 2023
- Individual RAUM · $62.8M to $79.3MNov 21, 2022 to Mar 3, 2023
- Non-discretionary RAUM · $9.7M to $10.3MNov 21, 2022 to Mar 3, 2023
- RAUM · $504M to $449MNov 21, 2022 to Mar 3, 2023
Signals
1 dated events
- Amos Warren left Dumont & Blake Investment Advisors Llc for M&R Capital Management Inc (registered 2022-12-02)Dec 13, 2022 · Advisor changed firm · 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
- info@dumontandblake.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-345-3200reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 609-514-4222reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 609-514-1899reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- DUMONTANDBLAKE.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 609-514-1899reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- dumontandblake.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- dumontandblake.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $141Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026