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

M••• S••••• F•••••••• L••• A•••••••• L••

Former SEC-registered adviserMoorestown, New JerseyCRD 118544SEC 801-60820IAPD

Latest filing Sep 6, 2023

First filing on the tape Dec 23, 2011 · 31 filings

RAUM

$63.4M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$63.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$21.1M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

31 filings and snapshots on the tape

RAUM$63.4M as of Mar 30, 2023

Mar 29, 2012$94.3M then

HNW client RAUM$50.4M as of Mar 30, 2023

Mar 30, 2018$99.5M then

State-registered IARs (5.B.3)3 as of Mar 30, 2023

Mar 12, 20134 then

Employees (5.A)6 as of Mar 30, 2023

Mar 12, 20135 then

Private funds: no history

RAUM -39% over the last fiscal year-25% a year over threeIARs 3 to 3

Practice profile

derived from the filing of Sep 6, 2023; every figure names its basis

RAUM per advisor: $21.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 19derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.6MderivedHNW RAUM over HNW clients
Average account: $243,822derivedRAUM 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: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -39%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -35%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody: $17.1M, 47 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$50.4M80%
Individuals$13.0M20%

Individual clients: 42reported
HNW clients: 14reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 260reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $17.1M for 47 clientsreported
Compensation: % of AUM, hourlyreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J•••• J••••• R••••Personal Financial Specialist	Ocean City, Nj	Feb 1, 2021	27 y	3
M•••••• J••••• K••••	Moorestown, Nj	Feb 1, 2021	17 y	2
E•••••••• M•••• G•••••••	Omaha, Ne	Jan 9, 2025	12 y	0

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 headcount1 left over 36 months

Left, latest

J••• M•••••• D•••• to H•••••••• A•••••••• L••
Oct 30, 2023 · RIA to affiliated broker-dealer or bank
J••• M•••••• D•••• to C••• L••
Dec 31, 2021 · RIA to affiliated broker-dealer or bank
J•••• J••••• R•••• to C••• L••
Dec 31, 2021 · RIA to affiliated broker-dealer or bank
M•••••• J••••• K•••• to C••• L••
Dec 31, 2021 · RIA to affiliated broker-dealer or bank
M••• W•••••• S••••••• to I••••••••• I••••••••• F••••••••• L••
Dec 31, 2021 · Other
R•••••• I•••••••• to F••••
Dec 18, 2019 · RIA to RIA
T•••••• A•• P•••••• to I••••••••• I••••••••• F••••••••• L••
Mar 25, 2015 · Other
N••••• M•••• O••••••• to I••••••••• I••••••••• F••••••••• L••
Mar 25, 2015 · Other

Joined, latest

J••• M•••••• D•••• from C••• L••
Jan 19, 2022 · Affiliated broker-dealer or bank to independent RIA
R•••••• I•••••••• from A•••••• C•••••• P••••••• L••
Dec 27, 2016 · Other
N••••• M•••• O••••••• from A••••••••• F•••••••• S•••••••• L••
Jun 16, 2009 · Other
T•••••• A•• P•••••• from T•••• S••••• S••••••••• I•••
Apr 14, 2008 · Other
M••• W•••••• S••••••• from T•••• S••••• S••••••••• I•••
Apr 14, 2008 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 left for C••• L••
Dec 31, 2021 · Moorestown, Nj · Firm absorbed
2 left for I••••••••• I••••••••• F••••••••• L••
Mar 25, 2015 · Moorestown, Nj

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

K••••• M••••••• J••••• · Partnercontrol
since 01/2019 · owns less than 5%
R••••• J••••• J••••• · Managing Member/Chief Compliance Officercontrol
since 05/1999 · owns 75% or more
R••••• L•••• A•• · Member / Administrative Principal
since 05/2010 · owns 5% to 10%

Related persons

Schedule D 7.A

L••••••• I•••••••• S••••••• A•••••••• L••
real estaten
R•••• • K••••• L••
insurancen

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Moorestown, Nj · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 146 to 260
Jan 19, 2023 to Mar 30, 2023
HNW clients · 17 to 14
Jan 19, 2023 to Mar 30, 2023
Individual clients · 43 to 42
Jan 19, 2023 to Mar 30, 2023
Assets in custody · $15.2M to $17.1M
Jan 19, 2023 to Mar 30, 2023
Employees · 7 to 6
Jan 19, 2023 to Mar 30, 2023
Insurance-licensed employees · 1 to 3
Jan 19, 2023 to Mar 30, 2023
Discretionary RAUM · $61.5M to $63.1M
Jan 19, 2023 to Mar 30, 2023
HNW RAUM · $49.2M to $50.4M
Jan 19, 2023 to Mar 30, 2023
Individual RAUM · $12.5M to $13.0M
Jan 19, 2023 to Mar 30, 2023
Non-discretionary RAUM · $228,434 to $254,507
Jan 19, 2023 to Mar 30, 2023
RAUM · $61.7M to $63.4M
Jan 19, 2023 to Mar 30, 2023
Accounts · 350 to 146
May 2, 2022 to Nov 8, 2022
Advisory activities · 5 to 4
May 2, 2022 to Nov 8, 2022
HNW clients · 18 to 17
May 2, 2022 to Nov 8, 2022
Individual clients · 68 to 43
May 2, 2022 to Nov 8, 2022
Assets in custody · $19.8M to $15.2M
May 2, 2022 to Nov 8, 2022
Financial planning clients · 1-10 to unset
May 2, 2022 to Nov 8, 2022
Discretionary RAUM · $103M to $61.5M
May 2, 2022 to Nov 8, 2022
HNW RAUM · $81.5M to $49.2M
May 2, 2022 to Nov 8, 2022
Individual RAUM · $21.9M to $12.5M
May 2, 2022 to Nov 8, 2022
Non-discretionary RAUM · $281,633 to $228,434
May 2, 2022 to Nov 8, 2022
RAUM · $103M to $61.7M
May 2, 2022 to Nov 8, 2022
Accounts · 381 to 350
Jan 10, 2022 to Mar 31, 2022
HNW clients · 24 to 18
Jan 10, 2022 to Mar 31, 2022
Individual clients · 63 to 68
Jan 10, 2022 to Mar 31, 2022
Assets in custody · $19.1M to $19.8M
Jan 10, 2022 to Mar 31, 2022
Financial planning clients · 11-25 to 1-10
Jan 10, 2022 to Mar 31, 2022
Discretionary RAUM · $107M to $103M
Jan 10, 2022 to Mar 31, 2022
HNW RAUM · $76.5M to $81.5M
Jan 10, 2022 to Mar 31, 2022
Individual RAUM · $30.1M to $21.9M
Jan 10, 2022 to Mar 31, 2022
Non-discretionary RAUM · $0 to $281,633
Jan 10, 2022 to Mar 31, 2022
RAUM · $107M to $103M
Jan 10, 2022 to Mar 31, 2022
Accounts · 840 to 381
Mar 30, 2021 to Jan 10, 2022
HNW clients · 22 to 24
Mar 30, 2021 to Jan 10, 2022
Individual clients · 176 to 63
Mar 30, 2021 to Jan 10, 2022
Discretionary RAUM · $178M to $107M
Mar 30, 2021 to Jan 10, 2022
HNW RAUM · $103M to $76.5M
Mar 30, 2021 to Jan 10, 2022
Individual RAUM · $75.3M to $30.1M
Mar 30, 2021 to Jan 10, 2022
RAUM · $178M to $107M
Mar 30, 2021 to Jan 10, 2022
Accounts · 450 to 840
Jun 29, 2020 to Mar 30, 2021

Signals

5 dated events

J••• M•••••• D•••• left M••• S••••• F•••••••• L••• A•••••••• L•• for H•••••••• A•••••••• L•• (registered 2023-12-06)
Oct 30, 2023 · Advisor changed firm · fact
William Mark Sulpizio (Partner) no longer on Schedule A of M••• S••••• F•••••••• L••• A•••••••• L•• (listed 2023-03-30, absent 2023-06-28)
Jun 28, 2023 · Control person left · inference
M••• W•••••• S••••••• no longer registered at M••• S••••• F•••••••• L••• A•••••••• L••; no later IA registration on IAPD
Mar 29, 2023 · Advisor departure · fact
Joseph Matthew Kulpa (Partner) appeared on Schedule A of M••• S••••• F•••••••• L••• A•••••••• L••
Mar 30, 2020 · Control person joined · fact
William Mark Sulpizio (Partner) appeared on Schedule A of M••• S••••• F•••••••• L••• A•••••••• L••
Mar 30, 2020 · Control person joined · fact

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

Firm profile: linkedin.com/company/main-street-fin-life-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
Website: M•••S•••••FLA.COMreportedpublic record, Form ADV, Sep 18, 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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $21.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026