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

J•••••• E•••• • W••• I••

Former SEC-registered adviserBedminster, New JerseyCRD 110435SEC 801-4690IAPD
Latest filing Mar 4, 2015
First filing on the tape Mar 21, 2012 · 10 filings
RAUM
$938M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$938M as of Mar 4, 2015
Mar 21, 2012$925M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 4, 2015
Mar 5, 20137 then
Employees (5.A)16 as of Mar 4, 2015
Mar 5, 201316 then
Private funds: no history
RAUM -8.8% over the last fiscal year+0.4% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 4, 2015; every figure names its basis
RAUM per advisor
$134MderivedRAUM 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
$1.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
3.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-8.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
506reported
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
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• E••••• · Executive Vice Presidentcontrol
        since 12/1988 · owns 5% to 10%
      • G••••••• W••••••• F••••• · Executive Vice Presidentcontrol
        since 09/2004 · owns 5% to 10%
      • T•••••••• F••••••••• E••••• · Executive Vice Presidentcontrol
        since 04/1996 · owns 5% to 10%
      • W•••• K••••• H••••••• · Chief Compliance Officercontrol
        since 04/2013 · owns 50% to 75%
      • M•••••••• P••••• F•••••••• · Shareholder
        since 01/2000 · owns less than 5%
      • S••••• D•••••• B••••• · Shareholder
        since 11/1992 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Princeton, NJ
      What changed
      consecutive filings, newest first
      • Accounts · 617 to 506
        Dec 18, 2014 to Mar 4, 2015
      • Discretionary RAUM · $977M to $916M
        Dec 18, 2014 to Mar 4, 2015
      • Non-discretionary RAUM · $50.3M to $21.3M
        Dec 18, 2014 to Mar 4, 2015
      • RAUM · $1.0B to $938M
        Dec 18, 2014 to Mar 4, 2015
      • Accounts · 624 to 617
        Apr 10, 2013 to Mar 6, 2014
      • Discretionary RAUM · $1.0B to $977M
        Apr 10, 2013 to Mar 6, 2014
      • Non-discretionary RAUM · $48.0M to $50.3M
        Apr 10, 2013 to Mar 6, 2014
      • RAUM · $1.1B to $1.0B
        Apr 10, 2013 to Mar 6, 2014
      • Accounts · 630 to 624
        Mar 21, 2012 to Mar 5, 2013
      • Advisory employees · unset to 7.0
        Mar 21, 2012 to Mar 5, 2013
      • Employees · unset to 16.0
        Mar 21, 2012 to Mar 5, 2013
      • State-registered IARs · unset to 7.0
        Mar 21, 2012 to Mar 5, 2013
      • Discretionary RAUM · $884M to $1.0B
        Mar 21, 2012 to Mar 5, 2013
      • Non-discretionary RAUM · $41.0M to $48.0M
        Mar 21, 2012 to Mar 5, 2013
      • RAUM · $925M to $1.1B
        Mar 21, 2012 to Mar 5, 2013
      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