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
M••••• I••••••••• A••••••••• I••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 22 filings
SEC status approved since Nov 6, 1986
RAUM
$894M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
95%
$854M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$224M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$894M as of Mar 31, 2026
Mar 29, 2012$395M then
HNW client RAUM$827M as of Mar 31, 2026
Mar 30, 2018$489M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)4 as of Mar 31, 2026
Mar 28, 20135 then
Private funds: no history
RAUM +11% over the last fiscal year+8.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $224MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 142derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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)
- 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
- High-net-worth individuals$827M93%
- Charitable organizations$27.4M3.1%
- Individuals$26.1M2.9%
- Pension and profit-sharing plans$13.5M1.5%
- Individual clients
- 153reported
- HNW clients
- 415reported
- Pension plan clients
- 1reported
- Charitable clients
- 7reported
- Accounts
- 576reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| E••••• J••• V••••••• | Verona, Nj | May 14, 2024 | 11 y | 0 |
| J••• T••••• O•••••••• | Verona, Nj | Jan 1, 2026 | 52 y | 0 |
| B••••••• A••••••• S•••••••• | Verona, Nj | Jan 1, 2026 | 15 y | 0 |
| K•••••• R••• O•••••••• | Verona, Nj | Jan 1, 2026 | 26 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••••• K••••••• R••• · President, Chief Compliance Officercontrolsince 09/2004 · 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 |
|---|---|---|---|---|---|
| Verona, Nj · principal | 4 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 31, 2026discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 557 to 576Mar 31, 2025 to Mar 31, 2026
- HNW clients · 366 to 415Mar 31, 2025 to Mar 31, 2026
- Individual clients · 183 to 153Mar 31, 2025 to Mar 31, 2026
- HNW RAUM · $729M to $827MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $38.2M to $26.1MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $804M to $894MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $12.5M to $13.5MMar 31, 2025 to Mar 31, 2026
- RAUM · $804M to $894MMar 31, 2025 to Mar 31, 2026
- Accounts · 565 to 557Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 3 to 2Mar 29, 2024 to Mar 31, 2025
- Charity clients · 8 to 7Mar 29, 2024 to Mar 31, 2025
- HNW clients · 355 to 366Mar 29, 2024 to Mar 31, 2025
- Individual clients · 201 to 183Mar 29, 2024 to Mar 31, 2025
- Employees · 5 to 4Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 31, 2025
- HNW RAUM · $698M to $729MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $38.5M to $38.2MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $780M to $804MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $12.6M to $12.5MMar 29, 2024 to Mar 31, 2025
- RAUM · $780M to $804MMar 29, 2024 to Mar 31, 2025
- Accounts · 544 to 565Mar 31, 2023 to Mar 29, 2024
- HNW clients · 322 to 355Mar 31, 2023 to Mar 29, 2024
- Individual clients · 213 to 201Mar 31, 2023 to Mar 29, 2024
- HNW RAUM · $625M to $698MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $39.4M to $38.5MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $703M to $780MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $11.1M to $12.6MMar 31, 2023 to Mar 29, 2024
- RAUM · $703M to $780MMar 31, 2023 to Mar 29, 2024
- Accounts · 538 to 544Mar 30, 2022 to Mar 31, 2023
- HNW clients · 340 to 322Mar 30, 2022 to Mar 31, 2023
- Individual clients · 189 to 213Mar 30, 2022 to Mar 31, 2023
- HNW RAUM · $649M to $625MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · $38.9M to $39.4MMar 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $727M to $703MMar 30, 2022 to Mar 31, 2023
- Pension RAUM · $11.1M to $11.1MMar 30, 2022 to Mar 31, 2023
- RAUM · $727M to $703MMar 30, 2022 to Mar 31, 2023
- Advisory employees · 4 to 3Jul 26, 2021 to Mar 30, 2022
- Accounts · 503 to 538Jul 26, 2021 to Mar 30, 2022
- Charity clients · 7 to 8Jul 26, 2021 to Mar 30, 2022
- HNW clients · 312 to 340Jul 26, 2021 to Mar 30, 2022
Signals
2 dated events
- Thomas J••• O'Donnell (President) no longer on Schedule A of M••••• I••••••••• A••••••••• I•• (listed 2021-03-30, absent 2021-07-26)Jul 26, 2021 · Control person left · inference
- M••••• I••••••••• A••••••••• I•• reported RAUM $659.9M, up 37% from $481.5M (2020-10-05 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
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 phone
- 973-239-1033reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 973-239-8179reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- M•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 973-239-1033reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- makrod.com/contact-usreportedpublished 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
- $224Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026