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
R•••••••• I•••••••••
Legal name R•••••••• I••••••••• L••
Latest filing Apr 3, 2026
First filing on the tape Mar 16, 2012 · 37 filings
SEC status approved since Mar 23, 2006
RAUM
$419M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
70%
$294M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
7
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$419M as of Apr 3, 2026
Mar 16, 2012$126M then
HNW client RAUM$222M as of Apr 3, 2026
Mar 28, 2018$228M then
State-registered IARs (5.B.3)5 as of Apr 3, 2026
Apr 1, 20133 then
Employees (5.A)7 as of Apr 3, 2026
Apr 1, 20135 then
Private funds7 as of Apr 3, 2026
Mar 16, 20121 then
RAUM +21% over the last fiscal year+12% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Apr 3, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- 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
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $727,729derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $34.7M, 62 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$222M62%
- Individuals$71.7M20%
- Pooled investment vehicles$33.5M9.4%
- Pension and profit-sharing plans$29.2M8.2%
- Individual clients
- 114reported
- HNW clients
- 56reported
- Pension plan clients
- 37reported
- Charitable clients
- n/areported
- Accounts
- 576reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $34.7M for 62 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.7 fund_share=0.08 institutional_share=0.07 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 |
|---|---|---|---|---|
| V•••••• R•••• L•••••Chartered Financial Analyst | Hermosa Beach, Ca | Mar 14, 2013 | 13 y | 0 |
| K•••••• B•••••••• M••••••• | Springfield, Nj | Feb 12, 2015 | 32 y | 2 |
| T••••••• P•••••• M•••••• | Hermosa Beach, Ca | Jun 30, 2015 | 14 y | 0 |
| S•• N••••• | Beverly Hills, Ca | May 4, 2018 | 14 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
- K•••••• B•••••••• M••••••• to S••••• F•••••••• M••••••••• L••Dec 31, 2006 · Other
Joined, latest
- K•••••• B•••••••• M••••••• from S••••• F•••••••• M••••••••• L••Feb 12, 2015 · Other
Private funds
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••••• I••••• F••• I• S••••• | Other Private Fund | $10.4M | 17 | Mar 30, 2015 |
| R•••••••• S••••• V•••• F•••• | Hedge Fund | $9.7M | 25 | Mar 29, 2019 |
| R•••••••• D••••••• P••••••• F••• | Hedge Fund | $6.2M | 11 | Mar 30, 2017 |
| R•••••••• R••• E••••• S••••• 1• | Real Estate Fund | $3.2M | 17 | Mar 30, 2015 |
| R•••••••• F•••• L•• | Real Estate Fund | $3.0M | 13 | Mar 27, 2020 |
| F•••••• I••••• F••• I•no longer reported | Other Private Fund | $3.0M | 9 | Apr 1, 2013 |
| R•••••••• I••••••••• F••• L•no longer reported | Hedge Fund | $1.5M | 5 | Mar 16, 2012 |
| F•••••• R••• E••••• S••••• 1• | Real Estate Fund | $1.4M | 12 | Mar 30, 2015 |
| G••••• C••••• O••••••••• F••• S••••• | Hedge Fund | $1.4M | 7 | Jul 6, 2023 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• K••••••• B•••••••• · President, Managing Member, Chief Investment Officer And Chief Compliance Officercontrolsince 12/2002 · owns 50% to 75%
- M••••••• T•••••••• P•••••• · President, R•••••••• D••••••• Growth Partner/Membercontrolsince 08/2012 · owns 10% to 25%
- N••••••••• A••••• · Member/Vpcontrolsince 02/2006 · owns 10% to 25%
- L•••••• V••••••• R•••• · Portfolio Analyst And Partnersince 06/2020 · owns less than 5%
- N•••••• S•• · Partnersince 01/2020 · owns less than 5%
Related persons
Schedule D 7.A
- F•••••• I••••• F••• I•pooled vehicle sponsory
- F•••••• I••••• F••• M••••••••• L••pooled vehicle sponsory
- F•••••• R••• E••••• S••••• 1•pooled vehicle sponsory
- G••••• C••••• O••••••••• F••• S•••••pooled vehicle sponsory
- R•••••••• D••••••• P••••••• F•••pooled vehicle sponsory
- R•••••••• F•••• L••pooled vehicle sponsory
- R•••••••• R••• E••••• S••••• 1•pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Springfield, Nj · principal | 3 | 0 | 0 | ||
| Hermosa Beach, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hermosa Beach, CA3 employees
- Beverly Hills, CA1 employees
- New Hope, PA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Apr 3, 2026institutional share of RAUM moved from 24.0% to 7.0% between the annual amendments of 2025-03-28 and 2026-04-03peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 469 to 576Oct 27, 2025 to Mar 31, 2026
- Corporate clients · 33.0 to unsetOct 27, 2025 to Mar 31, 2026
- HNW clients · 70 to 56Oct 27, 2025 to Mar 31, 2026
- Individual clients · 81 to 114Oct 27, 2025 to Mar 31, 2026
- Pension plan clients · 22 to 37Oct 27, 2025 to Mar 31, 2026
- Assets in custody · $33.9M to $34.7MOct 27, 2025 to Mar 31, 2026
- Employees · 5 to 7Oct 27, 2025 to Mar 31, 2026
- State-registered IARs · 4 to 5Oct 27, 2025 to Mar 31, 2026
- Private funds · 6 to 7Oct 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $291M to $355MOct 27, 2025 to Mar 31, 2026
- HNW RAUM · $214M to $222MOct 27, 2025 to Mar 31, 2026
- Individual RAUM · $15.2M to $71.7MOct 27, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $56.0M to $63.7MOct 27, 2025 to Mar 31, 2026
- Pension RAUM · $27.7M to $29.2MOct 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $33.9M to $33.5MOct 27, 2025 to Mar 31, 2026
- RAUM · $347M to $419MOct 27, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Oct 27, 2025
- Accounts · 539 to 469Sep 5, 2024 to Mar 28, 2025
- Advisory employees · 6 to 5Sep 5, 2024 to Mar 28, 2025
- Corporate clients · 40 to 33Sep 5, 2024 to Mar 28, 2025
- HNW clients · 68 to 70Sep 5, 2024 to Mar 28, 2025
- Individual clients · 92 to 81Sep 5, 2024 to Mar 28, 2025
- Pension plan clients · 27 to 22Sep 5, 2024 to Mar 28, 2025
- Assets in custody · $34.5M to $33.9MSep 5, 2024 to Mar 28, 2025
- Employees · 6 to 5Sep 5, 2024 to Mar 28, 2025
- Financial planning clients · 11-25 to 0Sep 5, 2024 to Mar 28, 2025
- Private funds · 7 to 6Sep 5, 2024 to Mar 28, 2025
- Discretionary RAUM · $271M to $291MSep 5, 2024 to Mar 28, 2025
- HNW RAUM · $168M to $214MSep 5, 2024 to Mar 28, 2025
- Individual RAUM · $44.4M to $15.2MSep 5, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $55.0M to $56.0MSep 5, 2024 to Mar 28, 2025
- Pension RAUM · $27.1M to $27.7MSep 5, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $40.0M to $33.9MSep 5, 2024 to Mar 28, 2025
- RAUM · $326M to $347MSep 5, 2024 to Mar 28, 2025
- Other offices · 2 to 3Apr 16, 2024 to Sep 5, 2024
- Accounts · 591 to 539Jul 6, 2023 to Mar 19, 2024
- Corporate clients · unset to 40.0Jul 6, 2023 to Mar 19, 2024
- HNW clients · 59 to 68Jul 6, 2023 to Mar 19, 2024
- Individual clients · 79 to 92Jul 6, 2023 to Mar 19, 2024
- Pension plan clients · 33 to 27Jul 6, 2023 to Mar 19, 2024
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.
How to reach
public business contact points only, each with its source
- Business email
- info@dividendgrowthpartners.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 310-997-0292reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- D•••••••GROWTHPARTNERS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 973-544-6970reportedpublic record, Form ADV, Apr 3, 2026
- Team page
- dividendgrowthpartners.com/our-teamreportedpublished 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
R•••••••• I••••••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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