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

R•• F•••••••• S•••••••• I••

Former SEC-registered adviserStroudsburg, PennsylvaniaCRD 112884SEC 801-66778IAPD
Latest filing May 9, 2018
First filing on the tape Mar 1, 2012 · 12 filings
RAUM
$174M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$172M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$174M as of Mar 30, 2018
Mar 1, 2012$110M then
HNW client RAUM: $148M
State-registered IARs (5.B.3)3 as of Mar 30, 2018
Mar 1, 20120 then
Employees (5.A)6 as of Mar 30, 2018
Mar 27, 20135 then
Private funds: no history
RAUM +9.6% over the last fiscal year+0.6% a year over threeIARs 1 to 2
Practice profile
derived from the filing of May 9, 2018; every figure names its basis
RAUM per advisor
$86.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
50derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$296,724derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+9.6%derivedbetween the last two annual amendments
Advisor growth, one year
+200%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$174MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$148M86%
  • Individuals$24.4M14%
Individual clients
39reported
HNW clients
60reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
585reported
Financial planning clients
101-250reported
Wrap fee programs
$174M sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Left, latest
none on the tape
    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
      • H•••••• R•••••• P••• · President/Chief Compliance Officercontrol
        since 11/1990 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Morristown, NJ2 employees
      • Somerville, NJ2 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Mar 30, 2018 to May 9, 2018
      • BD registered reps · 3 to 0
        Mar 30, 2018 to May 9, 2018
      • Employees · 6 to 4
        Mar 30, 2018 to May 9, 2018
      • State-registered IARs · 3 to 2
        Mar 30, 2018 to May 9, 2018
      • Other offices · 2 to 3
        Mar 30, 2018 to May 9, 2018
      • Accounts · 451 to 585
        Nov 3, 2017 to Mar 30, 2018
      • Advisory employees · 2 to 3
        Nov 3, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Nov 3, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Nov 3, 2017 to Mar 30, 2018
      • HNW clients · unset to 60.0
        Nov 3, 2017 to Mar 30, 2018
      • Individual clients · unset to 39.0
        Nov 3, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Nov 3, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 0.0
        Nov 3, 2017 to Mar 30, 2018
      • State-registered IARs · 1 to 3
        Nov 3, 2017 to Mar 30, 2018
      • Discretionary RAUM · $158M to $174M
        Nov 3, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 147731783.0
        Nov 3, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 24381474.0
        Nov 3, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        Nov 3, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Nov 3, 2017 to Mar 30, 2018
      • RAUM · $158M to $174M
        Nov 3, 2017 to Mar 30, 2018
      • Wrap assets (sponsor) · $158M to $174M
        Nov 3, 2017 to Mar 30, 2018
      • Other offices · unset to 2.0
        Mar 30, 2017 to Nov 3, 2017
      • Wrap assets (manager) · unset to 0.0
        Mar 30, 2017 to Nov 3, 2017
      • Wrap assets (sponsor) · unset to 158352683.0
        Mar 30, 2017 to Nov 3, 2017
      • Accounts · 657 to 451
        Mar 29, 2016 to Mar 30, 2017
      • Advisory employees · 1 to 2
        Mar 29, 2016 to Mar 30, 2017
      • BD registered reps · 1 to 3
        Mar 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · $156M to $158M
        Mar 29, 2016 to Mar 30, 2017
      • RAUM · $156M to $158M
        Mar 29, 2016 to Mar 30, 2017
      • Accounts · 228 to 657
        Jul 15, 2015 to Mar 29, 2016
      • Commission compensation · false to true
        Jul 15, 2015 to Mar 29, 2016
      • Discretionary RAUM · $0 to $156M
        Jul 15, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $171M to $0
        Jul 15, 2015 to Mar 29, 2016
      • RAUM · $171M to $156M
        Jul 15, 2015 to Mar 29, 2016
      • Accounts · 675 to 228
        Mar 27, 2014 to Mar 31, 2015
      • Advisory activities · 4 to 3
        Mar 27, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $153M to $171M
        Mar 27, 2014 to Mar 31, 2015
      • RAUM · $153M to $171M
        Mar 27, 2014 to Mar 31, 2015
      • Accounts · 722 to 675
        Mar 27, 2013 to Mar 27, 2014
      • Employees · 5 to 6
        Mar 27, 2013 to Mar 27, 2014
      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