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.
SEC-registered adviser
Comprehensive Capital Management, Inc.
Latest filing Jun 4, 2026
First filing on the tape Feb 29, 2012 · 44 filings
SEC status approved since Apr 19, 2002
RAUM
$77.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$77.5M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$9.7M
derived; firm RAUM over IAPD count
Employees
11
9 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$77.5M as of Jun 4, 2026
Apr 3, 2012$501M then
HNW client RAUM$6.5M as of Mar 12, 2025
Mar 29, 2018$41.8M then
State-registered IARs (5.B.3)9 as of Jun 4, 2026
Apr 1, 201334 then
Employees (5.A)11 as of Jun 4, 2026
Apr 1, 201337 then
Private funds: no history
RAUM +9.1% over the last fiscal year+24% a year over threeIARs 9 to 9offices 5 to 4
Practice profile
derived from the filing of Jun 4, 2026; every figure names its basis
- RAUM per advisor
- $9.7MderivedRAUM 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
- $33,220derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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
- 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
- Individuals$77.5M100%
- Individual clients
- 2,334reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,334reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=9.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mark DorfmanChartered Financial Consultant | Lynbrook, Ny | Mar 24, 2009 | 40 y | 2 |
| David Laughner Hodge | Beaver, Pa | Sep 20, 2010 | 33 y | 3 |
| Lori Ann Hodge | Totowa, Nj | Sep 20, 2010 | 27 y | 3 |
| Daniel Ray Hodge | Beaver, Pa | Sep 20, 2010 | 18 y | 1 |
| Raymond Leonard Harper | Totowa, Nj | Sep 21, 2010 | 39 y | 2 |
| Dov Bernard Fobar | Totowa, Nj | Apr 8, 2015 | 33 y | 0 |
| Zachary James Davidson | Rockaway, Nj | Nov 1, 2019 | 11 y | 0 |
| Alan Weingarten | Lynbrook, Ny | Apr 1, 2021 | 33 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 headcount0 left over 36 months
Left, latest
- Jeffery James Fox to LPL Financial LLCJan 5, 2023 · RIA to RIA
- Jerry Francis Lynch to Jfl Innovative Investment, LLCDec 31, 2022 · Other
- Thomas James Mcevoy to Gouldin & Mccarthy, LLCJan 31, 2022 · RIA to RIA
- Timothy Liam Smith to Aurora Private Wealth, Inc.Feb 9, 2021 · Other
- John Joseph Bello to Aurora Private Wealth, Inc.Nov 2, 2020 · RIA to RIA
- Thomas Joseph O'Connell to International Financial Advisory Group, Inc.Sep 30, 2019 · Other
- Manos Guy Cito to J. W. Cole Advisors, Inc.Mar 1, 2019 · RIA to affiliated broker-dealer or bank
- Ronald John Iannucci to Ronald J. Iannucci CFPDec 31, 2018 · RIA to a state-registered adviser
- Devin Ashley Born to Lifemark Securities Corp.Sep 15, 2016 · Other
- Steven Crevar to Summit Equities IncSep 13, 2016 · Other
- Craig Barry Weiss to Msi Financial Services, Inc.Jun 14, 2016 · Other
- Eugene George Oleary to B. Riley Wealth Advisors, Inc.Jan 14, 2015 · Other
- Justin Albert Harvey to Compass Ion Advisors, LLCFeb 24, 2014 · Other
- Douglas Robyn Macgray to Ege Advisors, Ltd.Feb 21, 2014 · Other
- Michael Hayes Gouldin to OnedigitalFeb 7, 2014 · Other
Joined, latest
- Craig Barry Weiss from J.P. Morgan Securities LLCJul 22, 2014 · Other
- Eugene George Oleary from Msi Financial Services, Inc.Dec 10, 2013 · Other
- Justin Albert Harvey from Mycio Wealth Partners, LLCMar 4, 2013 · Other
- Joshua Scott Manifold from Wells Fargo AdvisorsFeb 21, 2012 · Other
- Manos Guy Cito from Nfp Advisor Services, LLCFeb 16, 2012 · Other
- Leonard Martin Rhoades from Brookstone Wealth Advisors, LLCDec 21, 2011 · Other
- Jerrold Stephen Klein from Morgan StanleyDec 20, 2010 · Other
- Raymond Leonard Harper from Cetera Advisor Networks LLCSep 21, 2010 · Other
- David Laughner Hodge from Cetera Advisor Networks LLCSep 20, 2010 · Other
- Lori Ann Hodge from Cetera Advisor Networks LLCSep 20, 2010 · Other
- Daniel Ray Hodge from Cetera Advisor Networks LLCSep 20, 2010 · Other
- Debra Lynn Schatzki from Mazars Wealth AdvisorsJun 1, 2010 · Other
- Daniel Robert Williams from Heritage Financial ServicesOct 6, 2009 · Other
- Mark Dorfman from Cambridge Investment Research Advisors, Inc.Mar 24, 2009 · Other
- Carol S Gangewer from Ege Advisors, Ltd.Jan 9, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Marie Tonya Coutant · Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- Liam Timothy Smith · Presidentcontrolsince 03/2002 · owns 75% or more
- Lauren Christina Jennings · Shareholdersince 03/2002 · owns 5% to 10%
- Michael Sean Jennings · Shareholdersince 03/2002 · owns less than 5%
Related persons
Schedule D 7.A
- Apw Capital, Inc.broker-dealern
- Aurora Insurance Services, Inc.real estaten
- Aurora Private Wealth, Inc.investment advisernRAUM $374M
Advisers that list Comprehensive Capital Management, Inc. as a related person
- 281604 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Totowa, Nj · principal | 6 | 0 | 0 | ||
| Beaver, Pa | 4 | 0 | 0 | ||
| Mars, Pa | 3 | 0 | 0 | ||
| Lynbrook, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Mars, PA5 employees
- Beaver, PA3 employees
- Palm Springs, CA2 employees
- Lynbrook, NY2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 5 to 4Mar 30, 2026 to Jun 4, 2026
- Accounts · 2,105 to 2,334Mar 12, 2025 to Mar 30, 2026
- HNW clients · 4.0 to unsetMar 12, 2025 to Mar 30, 2026
- Individual clients · 2,101 to 2,334Mar 12, 2025 to Mar 30, 2026
- HQ city · ROCKAWAY to TOTOWAMar 12, 2025 to Mar 30, 2026
- Discretionary RAUM · $71.0M to $77.5MMar 12, 2025 to Mar 30, 2026
- HNW RAUM · 6490616.0 to unsetMar 12, 2025 to Mar 30, 2026
- Individual RAUM · $64.5M to $77.5MMar 12, 2025 to Mar 30, 2026
- RAUM · $71.0M to $77.5MMar 12, 2025 to Mar 30, 2026
- Accounts · 570 to 2,105Oct 21, 2024 to Mar 12, 2025
- Advisory employees · 11 to 9Oct 21, 2024 to Mar 12, 2025
- BD registered reps · 7 to 9Oct 21, 2024 to Mar 12, 2025
- HNW clients · 1 to 4Oct 21, 2024 to Mar 12, 2025
- Individual clients · 569 to 2,101Oct 21, 2024 to Mar 12, 2025
- Financial planning clients · 0 to 0Oct 21, 2024 to Mar 12, 2025
- State-registered IARs · 11 to 9Oct 21, 2024 to Mar 12, 2025
- Other offices · 6 to 5Oct 21, 2024 to Mar 12, 2025
- Discretionary RAUM · $48.3M to $71.0MOct 21, 2024 to Mar 12, 2025
- HNW RAUM · $2.1M to $6.5MOct 21, 2024 to Mar 12, 2025
- Individual RAUM · $46.2M to $64.5MOct 21, 2024 to Mar 12, 2025
- RAUM · $48.3M to $71.0MOct 21, 2024 to Mar 12, 2025
- Accounts · 647 to 570Feb 23, 2023 to Mar 21, 2024
- BD registered reps · 9 to 7Feb 23, 2023 to Mar 21, 2024
- HNW clients · unset to 1.0Feb 23, 2023 to Mar 21, 2024
- Individual clients · 647 to 569Feb 23, 2023 to Mar 21, 2024
- Employees · 12 to 11Feb 23, 2023 to Mar 21, 2024
- Insurance-licensed employees · 1 to 0Feb 23, 2023 to Mar 21, 2024
- Financial planning clients · 1-10 to 0Feb 23, 2023 to Mar 21, 2024
- Discretionary RAUM · $40.5M to $48.3MFeb 23, 2023 to Mar 21, 2024
- HNW RAUM · unset to 2074414.0Feb 23, 2023 to Mar 21, 2024
- Individual RAUM · $40.5M to $46.2MFeb 23, 2023 to Mar 21, 2024
- RAUM · $40.5M to $48.3MFeb 23, 2023 to Mar 21, 2024
- Accounts · 628 to 647Apr 7, 2022 to Feb 23, 2023
- HNW clients · 1.0 to unsetApr 7, 2022 to Feb 23, 2023
- Individual clients · 627 to 647Apr 7, 2022 to Feb 23, 2023
- Other offices · 7 to 6Apr 7, 2022 to Feb 23, 2023
- Discretionary RAUM · $64.1M to $40.5MApr 7, 2022 to Feb 23, 2023
- HNW RAUM · 1669285.0 to unsetApr 7, 2022 to Feb 23, 2023
- Individual RAUM · $62.5M to $40.5MApr 7, 2022 to Feb 23, 2023
- RAUM · $64.1M to $40.5MApr 7, 2022 to Feb 23, 2023
Signals
7 dated events
- Jeffery James Fox left Comprehensive Capital Management, Inc. for Lpl Financial Llc (registered 2023-01-05)Jan 5, 2023 · Advisor changed firm · fact
- Jerry Francis Lynch left Comprehensive Capital Management, Inc. for Jfl Innovative Investment, Llc (registered 2006-03-06)Dec 31, 2022 · Advisor changed firm · fact
- Thomas James Mcevoy no longer registered at Comprehensive Capital Management, Inc.; no later IA registration on IAPDFeb 28, 2022 · Advisor departure · fact
- Thomas James Mcevoy left Comprehensive Capital Management, Inc. for Gouldin & Mccarthy, Llc (registered 2018-07-26)Jan 31, 2022 · Advisor changed firm · fact
- Charles Andrew Nussbaum (Chief Compliance Officer) no longer on Schedule A of Comprehensive Capital Management, Inc. (listed 2021-03-30, absent 2021-06-02)Jun 2, 2021 · Control person left · inference
- Tonya Coutant (Chief Compliance Officer) appeared on Schedule A of Comprehensive Capital Management, Inc.Jun 2, 2021 · Control person joined · fact
- Comprehensive Capital Management, Inc. reported RAUM $125.5M, down 54% from $272.9M (2018-02-28 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
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
- Website
- amwlth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 973-394-0404reportedpublic record, Form ADV, Jun 4, 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
- $9.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026