DFX Intelligence

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L••••• F•••••••• S•••••••• L••

Independent wealth managerSEC-registered· Verona, New Jerseywebsite

Independent wealth manager, based in Verona, New Jersey, reporting $214M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-06-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $214M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +18%
Private clients: 100% of RAUM, $214M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-06-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +18% over the last fiscal year, to $214M.
2026-06-26
RAUM a year earlier $182MRAUM now $214M
5 published business contact points are on record, each with its source.
Contact points 5

Every filed figure, and the identifiersCRD 120900 · SEC 801-118288 · 12 filingsShow

CRD 120900SEC 801-118288First filing on the tape Feb 21, 2020, latest Jun 26, 2026SEC status approved since Mar 23, 2020IAPD

RAUM

$214M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$214M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$107M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

12 filings and snapshots on the tape

RAUM$214M as of Jun 26, 2026

Jan 28, 2021$128M then

HNW client RAUM$178M as of Jun 26, 2026

Jan 28, 2021$86.2M then

State-registered IARs (5.B.3)2 as of Jun 26, 2026

Jan 28, 20212 then

Employees (5.A)3 as of Jun 26, 2026

Jan 28, 20212 then

Private funds: no history

RAUM +18% over the last fiscal year+19% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Jun 26, 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

RAUM per advisor: $107MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 71derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.7MderivedHNW RAUM over HNW clients
Average account: $546,770derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 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: +5.2%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, educational seminarsreportedItem 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$178M83%
Individuals$35.9M17%

Individual clients: 76reported
HNW clients: 65reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 391reported
Financial planning clients: 101-250reported
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=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
L••••• L•••••Certified Financial Planner	Verona, Nj	Jun 13, 2002	33 y	0
A••••• C•••Certified Financial Planner	Verona, Nj	Jan 23, 2017	22 y	3

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

A••••• C••• from I••••••••• F•••••••• A••••••• L••
Jan 23, 2017 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••• A••••• · Managing Member / Chief Compliance Officercontrol
since 01/2023 · owns 50% to 75%
L•••••• L••••• · Managing Membercontrol
since 02/2000 · owns 50% to 75%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Verona, Nj · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

Needham, MA1 employees

What changed

consecutive filings, newest first

Accounts · 364 to 391
Jan 31, 2025 to Feb 9, 2026
HNW clients · 54 to 65
Jan 31, 2025 to Feb 9, 2026
Individual clients · 80 to 76
Jan 31, 2025 to Feb 9, 2026
Discretionary RAUM · $182M to $214M
Jan 31, 2025 to Feb 9, 2026
HNW RAUM · $140M to $178M
Jan 31, 2025 to Feb 9, 2026
Individual RAUM · $41.8M to $35.9M
Jan 31, 2025 to Feb 9, 2026
RAUM · $182M to $214M
Jan 31, 2025 to Feb 9, 2026
Accounts · 362 to 364
Jan 31, 2024 to Jan 31, 2025
HNW clients · 46 to 54
Jan 31, 2024 to Jan 31, 2025
Individual clients · 87 to 80
Jan 31, 2024 to Jan 31, 2025
Financial planning clients · 101-250 to 101-250
Jan 31, 2024 to Jan 31, 2025
Discretionary RAUM · $157M to $182M
Jan 31, 2024 to Jan 31, 2025
HNW RAUM · $111M to $140M
Jan 31, 2024 to Jan 31, 2025
Individual RAUM · $46.1M to $41.8M
Jan 31, 2024 to Jan 31, 2025
RAUM · $157M to $182M
Jan 31, 2024 to Jan 31, 2025
Accounts · 350 to 362
Sep 25, 2023 to Jan 31, 2024
HNW clients · 38 to 46
Sep 25, 2023 to Jan 31, 2024
Individual clients · 94 to 87
Sep 25, 2023 to Jan 31, 2024
Employees · 2 to 3
Sep 25, 2023 to Jan 31, 2024
Discretionary RAUM · $128M to $157M
Sep 25, 2023 to Jan 31, 2024
HNW RAUM · $82.5M to $111M
Sep 25, 2023 to Jan 31, 2024
Individual RAUM · $45.0M to $46.1M
Sep 25, 2023 to Jan 31, 2024
RAUM · $128M to $157M
Sep 25, 2023 to Jan 31, 2024
HNW clients · 51 to 38
Feb 28, 2022 to Feb 28, 2023
Individual clients · 81 to 94
Feb 28, 2022 to Feb 28, 2023
Discretionary RAUM · $147M to $128M
Feb 28, 2022 to Feb 28, 2023
HNW RAUM · $108M to $82.5M
Feb 28, 2022 to Feb 28, 2023
Individual RAUM · $39.2M to $45.0M
Feb 28, 2022 to Feb 28, 2023
Non-discretionary RAUM · $56,738 to $0
Feb 28, 2022 to Feb 28, 2023
RAUM · $147M to $128M
Feb 28, 2022 to Feb 28, 2023
Accounts · 349 to 350
Nov 1, 2021 to Feb 28, 2022
HNW clients · 41 to 51
Nov 1, 2021 to Feb 28, 2022
Individual clients · 90 to 81
Nov 1, 2021 to Feb 28, 2022
Discretionary RAUM · $128M to $147M
Nov 1, 2021 to Feb 28, 2022
HNW RAUM · $86.2M to $108M
Nov 1, 2021 to Feb 28, 2022
Individual RAUM · $41.9M to $39.2M
Nov 1, 2021 to Feb 28, 2022
Non-discretionary RAUM · $52,543 to $56,738
Nov 1, 2021 to Feb 28, 2022
RAUM · $128M to $147M
Nov 1, 2021 to Feb 28, 2022
HQ city · LITTLE FALLS to VERONA
Jan 28, 2021 to Apr 8, 2021
Accounts · 337 to 349
Jun 10, 2020 to Jan 28, 2021

Signals

1 dated events

••• Locked
Feb 21, 2020 · First SEC registration · 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

Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jun 26, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jun 26, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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: $107Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026