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.

Former SEC-registered adviser

Fox Asset Management LLC

Former SEC-registered adviserShrewsbury, New JerseyCRD 116421SEC 801-60656IAPD
Latest filing Jan 30, 2015
First filing on the tape Jan 27, 2012 · 8 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$1.1B as of Jan 30, 2015
Jan 31, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 30, 2015
Jan 30, 20130 then
Employees (5.A)18 as of Jan 30, 2015
Jan 30, 201316 then
Private funds: no history
RAUM -5.7% over the last fiscal year-5.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 30, 2015; 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
unknownderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
0.0%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
-5.7%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
790reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • L Meghann Clark · Chief Compliance Officercontrol
        since 10/2011 · owns less than 5%
      • Everett William Dodge · Co-Directorcontrol
        since 08/2011 · owns less than 5%
      • Richard Gregory Greene · Co-Directorcontrol
        since 08/2011 · owns less than 5%
      Entity owners
      • Eaton Vance Acquisitions · Member
        direct · owns 75% or more · public reporting company
      • Eaton Vance Corp. · Wholly Owns Eva
        indirect · owns 75% or more of Eaton Vance Acquisitions (Eva) · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 846 to 790
        Jan 30, 2014 to Jan 30, 2015
      • Advisory employees · 9 to 8
        Jan 30, 2014 to Jan 30, 2015
      • Employees · 16 to 18
        Jan 30, 2014 to Jan 30, 2015
      • Discretionary RAUM · $1.1B to $998M
        Jan 30, 2014 to Jan 30, 2015
      • Non-discretionary RAUM · $107M to $102M
        Jan 30, 2014 to Jan 30, 2015
      • RAUM · $1.2B to $1.1B
        Jan 30, 2014 to Jan 30, 2015
      • Accounts · 1,090 to 846
        Aug 9, 2013 to Jan 30, 2014
      • Discretionary RAUM · $796M to $1.1B
        Aug 9, 2013 to Jan 30, 2014
      • Non-discretionary RAUM · $131M to $107M
        Aug 9, 2013 to Jan 30, 2014
      • RAUM · $927M to $1.2B
        Aug 9, 2013 to Jan 30, 2014
      • Accounts · 1,155 to 1,090
        Aug 23, 2012 to Jan 30, 2013
      • Advisory employees · unset to 9.0
        Aug 23, 2012 to Jan 30, 2013
      • Employees · unset to 16.0
        Aug 23, 2012 to Jan 30, 2013
      • State-registered IARs · unset to 0.0
        Aug 23, 2012 to Jan 30, 2013
      • Discretionary RAUM · $1.2B to $796M
        Aug 23, 2012 to Jan 30, 2013
      • Non-discretionary RAUM · $49.5M to $131M
        Aug 23, 2012 to Jan 30, 2013
      • RAUM · $1.3B to $927M
        Aug 23, 2012 to Jan 30, 2013
      • Accounts · 3,279 to 1,155
        Jan 27, 2012 to Jan 31, 2012
      • Advisory activities · 3 to 4
        Jan 27, 2012 to Jan 31, 2012
      • Discretionary RAUM · $2.2B to $1.2B
        Jan 27, 2012 to Jan 31, 2012
      • Non-discretionary RAUM · $2.9M to $49.5M
        Jan 27, 2012 to Jan 31, 2012
      • RAUM · $2.2B to $1.3B
        Jan 27, 2012 to Jan 31, 2012
      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