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

T••••• S••••••••• C•••

Former SEC-registered adviserMercerville, New JerseyCRD 110871SEC 801-17353IAPD
Latest filing Jun 29, 2021
First filing on the tape Mar 26, 2012 · 13 filings
RAUM
$103M
reported, Item 5.F
Discretionary
49%
of RAUM
Private clients
100%
$103M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 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$103M as of Jun 29, 2021
Jun 29, 2012$103M then
HNW client RAUM$92.8M as of Jun 29, 2021
Jun 29, 2018$86.2M then
State-registered IARs (5.B.3)0 as of Jun 29, 2021
Jun 29, 20120 then
Employees (5.A)3 as of Jun 29, 2021
Jun 28, 20133 then
Private funds: no history
RAUM +2.6% over the last fiscal year+0.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 2021; every figure names its basis
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
$3.4MderivedHNW RAUM over HNW clients
Average account
$860,498derivedRAUM over accounts (5.F.2.f)
Discretionary
49%derivedof RAUM
Institutional
0.4%derivedpensions, 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
+2.6%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+1.5%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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
  • 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$92.8M90%
  • Individuals$10.1M9.8%
  • Charitable organizations$388,3800.4%
Individual clients
39reported
HNW clients
27reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
120reported
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
    • K••••• R••••• E•••• · Presidentcontrol
      since 05/1982 · owns 75% or more
    • K••••• P•••••••• A•• · Chief Compliance Officer
      since 09/2004 · owns less than 5%
    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 · 118 to 120
      Jun 23, 2020 to Jun 29, 2021
    • HNW clients · 24 to 27
      Jun 23, 2020 to Jun 29, 2021
    • Individual clients · 41 to 39
      Jun 23, 2020 to Jun 29, 2021
    • Discretionary RAUM · $33.7M to $50.8M
      Jun 23, 2020 to Jun 29, 2021
    • HNW RAUM · $89.3M to $92.8M
      Jun 23, 2020 to Jun 29, 2021
    • Individual RAUM · $11.0M to $10.1M
      Jun 23, 2020 to Jun 29, 2021
    • Non-discretionary RAUM · $66.9M to $52.4M
      Jun 23, 2020 to Jun 29, 2021
    • RAUM · $101M to $103M
      Jun 23, 2020 to Jun 29, 2021
    • Accounts · 130 to 118
      May 20, 2020 to Jun 23, 2020
    • HNW clients · 28 to 24
      May 20, 2020 to Jun 23, 2020
    • Individual clients · 43 to 41
      May 20, 2020 to Jun 23, 2020
    • Pension plan clients · 1 to 0
      May 20, 2020 to Jun 23, 2020
    • Discretionary RAUM · $39.5M to $33.7M
      May 20, 2020 to Jun 23, 2020
    • HNW RAUM · $91.9M to $89.3M
      May 20, 2020 to Jun 23, 2020
    • Individual RAUM · $11.2M to $11.0M
      May 20, 2020 to Jun 23, 2020
    • Non-discretionary RAUM · $65.2M to $66.9M
      May 20, 2020 to Jun 23, 2020
    • Pension RAUM · 1153129.0 to unset
      May 20, 2020 to Jun 23, 2020
    • RAUM · $105M to $101M
      May 20, 2020 to Jun 23, 2020
    • Accounts · 131 to 130
      Jun 29, 2018 to Jun 27, 2019
    • Charity clients · unset to 1.0
      Jun 29, 2018 to Jun 27, 2019
    • HNW clients · 26 to 28
      Jun 29, 2018 to Jun 27, 2019
    • Individual clients · 46 to 43
      Jun 29, 2018 to Jun 27, 2019
    • Pension plan clients · unset to 1.0
      Jun 29, 2018 to Jun 27, 2019
    • Discretionary RAUM · $40.5M to $39.5M
      Jun 29, 2018 to Jun 27, 2019
    • HNW RAUM · $86.2M to $91.9M
      Jun 29, 2018 to Jun 27, 2019
    • Individual RAUM · $12.9M to $11.2M
      Jun 29, 2018 to Jun 27, 2019
    • Non-discretionary RAUM · $60.1M to $65.2M
      Jun 29, 2018 to Jun 27, 2019
    • Pension RAUM · $1.1M to $1.2M
      Jun 29, 2018 to Jun 27, 2019
    • RAUM · $101M to $105M
      Jun 29, 2018 to Jun 27, 2019
    • Accounts · 139 to 131
      Jun 28, 2017 to Jun 29, 2018
    • HNW clients · unset to 26.0
      Jun 28, 2017 to Jun 29, 2018
    • Individual clients · unset to 46.0
      Jun 28, 2017 to Jun 29, 2018
    • Other offices · unset to 0.0
      Jun 28, 2017 to Jun 29, 2018
    • Discretionary RAUM · $39.7M to $40.5M
      Jun 28, 2017 to Jun 29, 2018
    • HNW RAUM · unset to 86230891.0
      Jun 28, 2017 to Jun 29, 2018
    • Individual RAUM · unset to 12903270.0
      Jun 28, 2017 to Jun 29, 2018
    • Non-discretionary RAUM · $63.4M to $60.1M
      Jun 28, 2017 to Jun 29, 2018
    • Pension RAUM · unset to 1059973.0
      Jun 28, 2017 to Jun 29, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Jun 28, 2017 to Jun 29, 2018
    • RAUM · $103M to $101M
      Jun 28, 2017 to Jun 29, 2018
    Signals
    1 dated events
    • R•••• E•••• K•••• left T••••• S••••••••• C••• for V•••••• W••••• M••••••••• (registered 2021-11-08)
      Jun 30, 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.
    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