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
C•••••• A•••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Feb 24, 2012 · 37 filings
SEC status approved since Nov 15, 1999
RAUM
$253M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$244M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$42.1M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$253M as of Mar 24, 2026
Feb 24, 2012$273M then
HNW client RAUM$172M as of Mar 24, 2026
Mar 12, 2018$299M then
State-registered IARs (5.B.3)6 as of Mar 24, 2026
Mar 15, 20133 then
Employees (5.A)9 as of Mar 24, 2026
Mar 15, 201310 then
Private funds: no history
RAUM +25% over the last fiscal year+11% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 24, 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
- RAUM per advisor
- $42.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $323,210derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $39.1M, 78 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$172M68%
- Individuals$71.9M28%
- Pension and profit-sharing plans$9.2M3.6%
- Individual clients
- 257reported
- HNW clients
- 80reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 782reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $39.1M for 78 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• A•••• S••••• | Heber, Ut | Jun 14, 2017 | 14 y | 1 |
| M••• A•••••• C•••••• | Ramsey, Nj | May 23, 2021 | 31 y | 0 |
| L••• A• B•••••• | Ramsey, Nj | May 23, 2021 | 31 y | 0 |
| B•••• S•••••• | Ramsey, Nj | May 30, 2021 | 32 y | 0 |
| D••••• P••• R•••••••Chartered Financial Consultant | Ramsey, Nj | Jan 1, 2026 | 18 y | 1 |
| C•••••••• A•••••••• P•••• | Ramsey, Nj | Jan 2, 2026 | 12 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- A•••••• M•••••• to I••••••••• W••••• C••••••• L••May 21, 2020 · RIA to RIA
Joined, latest
- C•••••••• A•••••••• P•••• from C•••••• R••••••••• G••••Jan 2, 2026 · Other
- D••••• P••• R••••••• from M•• F•••••••• S•••••••• I•••Jan 1, 2026 · Other
- J•••••• A•••• S••••• from S••• M••••••••• L••Jun 14, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• L•••• A• · Membercontrolsince 07/2018 · owns 25% to 50%
- C••••••• M•••• A•••••• · Managing Membercontrolsince 09/1997 · owns 50% to 75%
- W•••••• B••••••• I• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- C••••••• D••• · Membersince 09/1997 · owns 5% to 10%
- C••••••• L••• · Membersince 03/2000 · owns 5% to 10%
- C••••••• N••••••• · Membersince 09/1997 · owns 5% to 10%
Related persons
Schedule D 7.A
- B•••••• W•••••• E••n
- C•• C••• L••insurancen
- C•••••• R••• M•••••••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ramsey, Nj · principal | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 24, 2026HNW share of RAUM moved from 52.0% to 68.0% between the annual amendments of 2025-03-23 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 724 to 782Dec 5, 2025 to Mar 24, 2026
- HNW clients · 43 to 80Dec 5, 2025 to Mar 24, 2026
- Individual clients · 270 to 257Dec 5, 2025 to Mar 24, 2026
- Pension plan clients · unset to 5.0Dec 5, 2025 to Mar 24, 2026
- Assets in custody · $56.2M to $39.1MDec 5, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 1-10Dec 5, 2025 to Mar 24, 2026
- Discretionary RAUM · $192M to $242MDec 5, 2025 to Mar 24, 2026
- HNW RAUM · $105M to $172MDec 5, 2025 to Mar 24, 2026
- Individual RAUM · $89.3M to $71.9MDec 5, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $10.3M to $10.4MDec 5, 2025 to Mar 24, 2026
- Pension RAUM · $7.5M to $9.2MDec 5, 2025 to Mar 24, 2026
- RAUM · $202M to $253MDec 5, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 0Mar 23, 2025 to Jun 4, 2025
- Accounts · 775 to 724Mar 25, 2024 to Mar 23, 2025
- Advisory employees · 9 to 5Mar 25, 2024 to Mar 23, 2025
- HNW clients · 46 to 43Mar 25, 2024 to Mar 23, 2025
- Individual clients · 308 to 270Mar 25, 2024 to Mar 23, 2025
- Assets in custody · $50.3M to $56.2MMar 25, 2024 to Mar 23, 2025
- Employees · 10 to 9Mar 25, 2024 to Mar 23, 2025
- Financial planning clients · 1-10 to 0Mar 25, 2024 to Mar 23, 2025
- State-registered IARs · 7 to 6Mar 25, 2024 to Mar 23, 2025
- Other offices · 1 to 3Mar 25, 2024 to Mar 23, 2025
- Discretionary RAUM · $184M to $192MMar 25, 2024 to Mar 23, 2025
- HNW RAUM · $109M to $105MMar 25, 2024 to Mar 23, 2025
- Individual RAUM · $81.2M to $89.3MMar 25, 2024 to Mar 23, 2025
- Non-discretionary RAUM · $12.7M to $10.3MMar 25, 2024 to Mar 23, 2025
- Pension RAUM · $7.1M to $7.5MMar 25, 2024 to Mar 23, 2025
- RAUM · $197M to $202MMar 25, 2024 to Mar 23, 2025
- Accounts · 806 to 775Nov 21, 2023 to Mar 21, 2024
- Advisory employees · 10 to 9Nov 21, 2023 to Mar 21, 2024
- HNW clients · 42 to 46Nov 21, 2023 to Mar 21, 2024
- Individual clients · 335 to 308Nov 21, 2023 to Mar 21, 2024
- Assets in custody · $43.3M to $50.3MNov 21, 2023 to Mar 21, 2024
- Employees · 15 to 10Nov 21, 2023 to Mar 21, 2024
- State-registered IARs · 8 to 7Nov 21, 2023 to Mar 21, 2024
- Discretionary RAUM · $175M to $184MNov 21, 2023 to Mar 21, 2024
- HNW RAUM · $96.6M to $109MNov 21, 2023 to Mar 21, 2024
- Individual RAUM · $81.7M to $81.2MNov 21, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $8.6M to $12.7MNov 21, 2023 to Mar 21, 2024
- Pension RAUM · $3.4M to $7.1MNov 21, 2023 to Mar 21, 2024
Signals
3 dated events
- H••••• L•••• (Chief Compliance Officer) no longer on Schedule A of C•••••• A•••••••• L•• (listed 2021-11-09, absent 2022-03-28)Mar 28, 2022 · Control person left · inference
- I. B•••••• W••••• (Chief Compliance Officer) appeared on Schedule A of C•••••• A•••••••• L••Mar 28, 2022 · Control person joined · fact
- C•••••• A•••••••• L•• reported RAUM $267.4M, down 29% from $376.8M (2018-08-06 to 2019-02-19)Feb 19, 2019 · 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
- 201-661-6600reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 201-661-6601reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/corrado-financial-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C••••••FINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 201-661-6600reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- corradofinancialgroup.com/advisorsreportedpublished 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
- $42.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026