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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
P•••••• G••••• L••
Latest filing Jun 12, 2026
First filing on the tape Feb 13, 2012 · 25 filings
SEC status approved since Jul 31, 2001
RAUM
$91.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$91.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$45.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$91.3M as of Jun 12, 2026
Feb 13, 2012$13.6M then
HNW client RAUM$90.2M as of Jun 12, 2026
Mar 16, 2018$35.1M then
State-registered IARs (5.B.3)2 as of Jun 12, 2026
Feb 13, 20120 then
Employees (5.A)2 as of Jun 12, 2026
Feb 21, 20132 then
Private funds: no history
RAUM +18% over the last fiscal year+23% a year over threeIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Jun 12, 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
- $45.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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
- 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
- High-net-worth individuals$90.2M99%
- Individuals$1.1M1.3%
- Individual clients
- 4reported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 55reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- B••••• C•••••••• J•• · Chief Compliance Officercontrolsince 11/2006 · owns less than 5%
- B••••• R•••• D•• · Directorcontrolsince 03/2005 · owns less than 5%
- S••••••••• J•••• M••••• · Directorcontrolsince 05/2001 · owns less than 5%
- B••••••• K••••• M••• · Membercontrolsince 05/2001 · owns 50% to 75% of L••• B•••• I••••••••• L••
- B••••• R•••• D•• · Co-Presidentcontrolsince 03/2005 · owns 50% to 75% of P•••••• A•••• M••••••••• I••
- S••••••••• J•••• M••••• · Co-Presidentcontrolsince 03/2005 · owns 50% to 75% of P•••••• A•••• M••••••••• I••
- V•• D••••• A•••• · Membercontrolsince 05/2001 · owns 50% to 75% of L••• B•••• I••••••••• L••
Entity owners
- L••• B•••• I••••••••• L•• · Memberdirect · owns 50% to 75%
- P•••••• A•••• M••••••••• I•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- P•••••• A•••• M••••••••• I••investment adviseryRAUM $554M
- S••••• • E••••••••• I••••••••• A•••••••• L••investment adviseryRAUM $18.9M
Advisers that list P•••••• G••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Morristown, Nj · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 0 to 1Mar 22, 2026 to Jun 12, 2026
- Accounts · 56 to 55Oct 31, 2025 to Mar 22, 2026
- HNW clients · 16 to 17Oct 31, 2025 to Mar 22, 2026
- Individual clients · 6 to 4Oct 31, 2025 to Mar 22, 2026
- Discretionary RAUM · $77.3M to $91.3MOct 31, 2025 to Mar 22, 2026
- HNW RAUM · $75.0M to $90.2MOct 31, 2025 to Mar 22, 2026
- Individual RAUM · $2.3M to $1.1MOct 31, 2025 to Mar 22, 2026
- RAUM · $77.3M to $91.3MOct 31, 2025 to Mar 22, 2026
- Accounts · 20 to 56Mar 22, 2024 to Mar 13, 2025
- HNW clients · 12 to 16Mar 22, 2024 to Mar 13, 2025
- Individual clients · 8 to 6Mar 22, 2024 to Mar 13, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 13, 2025
- HQ city · MONTEBELLO to MORRISTOWNMar 22, 2024 to Mar 13, 2025
- HQ state · NY to NJMar 22, 2024 to Mar 13, 2025
- Discretionary RAUM · $57.4M to $77.3MMar 22, 2024 to Mar 13, 2025
- HNW RAUM · $54.5M to $75.0MMar 22, 2024 to Mar 13, 2025
- Individual RAUM · $2.9M to $2.3MMar 22, 2024 to Mar 13, 2025
- RAUM · $57.4M to $77.3MMar 22, 2024 to Mar 13, 2025
- Accounts · 49 to 20Feb 10, 2023 to Mar 21, 2024
- Discretionary RAUM · $48.5M to $57.4MFeb 10, 2023 to Mar 21, 2024
- HNW RAUM · $46.3M to $54.5MFeb 10, 2023 to Mar 21, 2024
- Individual RAUM · $2.2M to $2.9MFeb 10, 2023 to Mar 21, 2024
- RAUM · $48.5M to $57.4MFeb 10, 2023 to Mar 21, 2024
- Accounts · 47 to 49Apr 12, 2022 to Feb 9, 2023
- Discretionary RAUM · $66.4M to $48.5MApr 12, 2022 to Feb 9, 2023
- HNW RAUM · $63.1M to $46.3MApr 12, 2022 to Feb 9, 2023
- Individual RAUM · $3.4M to $2.2MApr 12, 2022 to Feb 9, 2023
- RAUM · $66.4M to $48.5MApr 12, 2022 to Feb 9, 2023
- Accounts · 48 to 47Mar 19, 2021 to Mar 29, 2022
- HNW clients · 13 to 12Mar 19, 2021 to Mar 29, 2022
- Individual clients · 7 to 8Mar 19, 2021 to Mar 29, 2022
- Employees · 3 to 2Mar 19, 2021 to Mar 29, 2022
- Insurance-licensed employees · 1 to 2Mar 19, 2021 to Mar 29, 2022
- State-registered IARs · 0 to 2Mar 19, 2021 to Mar 29, 2022
- Discretionary RAUM · $54.6M to $66.4MMar 19, 2021 to Mar 29, 2022
- HNW RAUM · $52.7M to $63.1MMar 19, 2021 to Mar 29, 2022
- Individual RAUM · $2.0M to $3.4MMar 19, 2021 to Mar 29, 2022
- RAUM · $54.6M to $66.4MMar 19, 2021 to Mar 29, 2022
- Accounts · 19 to 48Jun 29, 2020 to Mar 18, 2021
- HNW clients · 12 to 13Jun 29, 2020 to Mar 18, 2021
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 845-369-9422reportedpublic record, Form ADV, Jun 12, 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
- $45.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026