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
P•••••••• C•••••• M••••••••• L••
Latest filing Apr 8, 2026
First filing on the tape Jan 6, 2012 · 32 filings
SEC status approved since Aug 10, 2001
RAUM
$435M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
89%
$388M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$109M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$435M as of Apr 8, 2026
Mar 30, 2012$134M then
HNW client RAUM$341M as of Apr 8, 2026
Mar 30, 2018$159M then
State-registered IARs (5.B.3)4 as of Apr 8, 2026
Mar 30, 20120 then
Employees (5.A)10 as of Apr 8, 2026
Mar 27, 20136 then
Private funds2 as of Apr 8, 2026
Mar 30, 20121 then
RAUM +17% over the last fiscal year+18% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Apr 8, 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
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $25.1M, 2 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$341M79%
- Individuals$46.7M11%
- Pooled investment vehicles$25.1M5.8%
- Charitable organizations$9.4M2.2%
- Pension and profit-sharing plans$6.2M1.4%
- Corporations and businesses$5.1M1.2%
- Individual clients
- 72reported
- HNW clients
- 99reported
- Pension plan clients
- 2reported
- Charitable clients
- 6reported
- Accounts
- 390reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $56.6M managedreported
- Custody of client assets
- $25.1M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.89 fund_share=0.06 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• A•••• M•••••••Certified Financial Planner | Red Bank, Nj | Jan 1, 2026 | 13 y | 2 |
| R••••••• H••• A• F••••••••• | Red Bank, Nj | Jan 1, 2026 | 45 y | 1 |
| J••••• C•••••• | Red Bank, Nj | Jan 1, 2026 | 35 y | 0 |
| A••••• R•••• B••••••• | Red Bank, Nj | Jan 1, 2026 | 20 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- M•••••• C•••• M•••••• to C••••••••• A•••••••Mar 14, 2014 · Other
Joined, latest
- C••••• A•••• M••••••• from C••••• C•••••• W••••• M•••••••••Jan 1, 2026 · RIA to RIA
- M•••••• C•••• M•••••• from C•••••• A•••• M••••••••• L••Aug 8, 2012 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• F•••• C•••••• P••••••• L••• | Hedge Fund | $11.0M | 9 | Jan 6, 2012 |
| H•••••• L••• F••••• P••••••• L• | Hedge Fund | $3.8M | 13 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• A•••••• R•••• · Chairmancontrolsince 09/2017 · owns less than 5%
- C••••••• J••••• · Chief Executive Officer And Chief Compliance Officercontrolsince 06/2001 · owns 25% to 50%
- F••••••••• R•••••••• H••• A• · Presidentcontrolsince 09/2017 · owns less than 5%
- B•••••••• A•••••• R•••• · Chairman, Directorcontrolsince 01/2013 · owns 25% to 50% of P•••••••• C•••••• M••••••••• I••
- F••••••••• R•••••••• H••• A• · President, Directorcontrolsince 12/2006 · owns 25% to 50% of P•••••••• C•••••• M••••••••• I••
Entity owners
- P•••••••• C•••••• M••••••••• I•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- F•••• M••••••••• L••pooled vehicle sponsorn
- N••••••• G••••• M••••••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Red Bank, Nj · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
- P••••••••, NJ2 employees
What changed
consecutive filings, newest first
- Accounts · 379 to 390Mar 18, 2025 to Apr 8, 2026
- Corporate clients · 3 to 2Mar 18, 2025 to Apr 8, 2026
- HNW clients · 106 to 99Mar 18, 2025 to Apr 8, 2026
- Individual clients · 59 to 72Mar 18, 2025 to Apr 8, 2026
- Assets in custody · $23.3M to $25.1MMar 18, 2025 to Apr 8, 2026
- Employees · 9 to 10Mar 18, 2025 to Apr 8, 2026
- Discretionary RAUM · $368M to $430MMar 18, 2025 to Apr 8, 2026
- HNW RAUM · $297M to $341MMar 18, 2025 to Apr 8, 2026
- Individual RAUM · $34.6M to $46.7MMar 18, 2025 to Apr 8, 2026
- Non-discretionary RAUM · $5.0M to $5.5MMar 18, 2025 to Apr 8, 2026
- Pension RAUM · $4.7M to $6.2MMar 18, 2025 to Apr 8, 2026
- Pooled vehicle RAUM · $23.3M to $25.1MMar 18, 2025 to Apr 8, 2026
- RAUM · $373M to $435MMar 18, 2025 to Apr 8, 2026
- Wrap assets (manager) · $47.4M to $56.6MMar 18, 2025 to Apr 8, 2026
- Accounts · 328 to 379Jan 31, 2025 to Mar 18, 2025
- Charity clients · 7 to 6Jan 31, 2025 to Mar 18, 2025
- Corporate clients · 4 to 3Jan 31, 2025 to Mar 18, 2025
- HNW clients · 102 to 106Jan 31, 2025 to Mar 18, 2025
- Individual clients · 51 to 59Jan 31, 2025 to Mar 18, 2025
- Assets in custody · $14.7M to $23.3MJan 31, 2025 to Mar 18, 2025
- Employees · 6 to 9Jan 31, 2025 to Mar 18, 2025
- Financial planning clients · unset to Jan 31, 2025 to Mar 18, 2025
- Discretionary RAUM · $300M to $368MJan 31, 2025 to Mar 18, 2025
- HNW RAUM · $248M to $297MJan 31, 2025 to Mar 18, 2025
- Individual RAUM · $26.0M to $34.6MJan 31, 2025 to Mar 18, 2025
- Non-discretionary RAUM · $4.5M to $5.0MJan 31, 2025 to Mar 18, 2025
- Pension RAUM · $4.4M to $4.7MJan 31, 2025 to Mar 18, 2025
- Pooled vehicle RAUM · $14.7M to $23.3MJan 31, 2025 to Mar 18, 2025
- RAUM · $305M to $373MJan 31, 2025 to Mar 18, 2025
- Wrap assets (manager) · $44.2M to $47.4MJan 31, 2025 to Mar 18, 2025
- Accounts · 372 to 328Feb 5, 2024 to Mar 28, 2024
- Advisory employees · 5 to 6Feb 5, 2024 to Mar 28, 2024
- Charity clients · 9 to 7Feb 5, 2024 to Mar 28, 2024
- Corporate clients · 5 to 4Feb 5, 2024 to Mar 28, 2024
- HNW clients · 135 to 102Feb 5, 2024 to Mar 28, 2024
- Individual clients · 66 to 51Feb 5, 2024 to Mar 28, 2024
- Pension plan clients · 4 to 2Feb 5, 2024 to Mar 28, 2024
- Pooled vehicle clients · 1 to 2Feb 5, 2024 to Mar 28, 2024
- Assets in custody · $7.5M to $14.7MFeb 5, 2024 to Mar 28, 2024
- Employees · 5 to 6Feb 5, 2024 to Mar 28, 2024
Signals
2 dated events
- P•••••••• C•••••• M••••••••• L•• reported RAUM $267.0M, down 29% from $378.4M (2022-03-29 to 2023-03-21)Mar 21, 2023 · RAUM change · derived
- F Karen Keeler (Chief Administration Officer) no longer on Schedule A of P•••••••• C•••••• M••••••••• L•• (listed 2022-03-29, absent 2023-03-21)Mar 21, 2023 · Control person left · inference
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 email
- i•••@p••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- p••••••••@p••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 201-332-9800reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 609-921-6294reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- p••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 201-332-9800reportedpublic record, Form ADV, Apr 8, 2026
- Contact form
- p••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- p••••••.comreportedpublished 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
- $109Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026