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

Housen Financial Group, Inc.

Former SEC-registered adviserManasquan, New JerseyCRD 121483SEC 801-68854IAPD
Latest filing Mar 27, 2014
First filing on the tape Mar 29, 2012 · 8 filings
RAUM
$634M
reported, Item 5.F
Discretionary
1.4%
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
7
7 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$634M as of Mar 27, 2014
Mar 29, 2012$436M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 27, 2014
Mar 26, 20136 then
Employees (5.A)7 as of Mar 27, 2014
Mar 26, 20136 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 6 to 7
Practice profile
derived from the filing of Mar 27, 2014; every figure names its basis
RAUM per advisor
$90.5MderivedRAUM 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
$295,205derivedRAUM over accounts (5.F.2.f)
Discretionary
1.4%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+17%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
  • is an insurance broker or agent (6.A.6)
  • 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)
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
2,146reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, commissionsreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Robert Christopher Housen · President/Chief Compliance Officercontrol
    since 02/1994 · owns 75% or more
  • Alan Christopher Lukas · Director Of Compliancecontrol
    since 02/2011 · owns less than 5%
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 · 1,802 to 2,146
    Aug 14, 2013 to Mar 27, 2014
  • BD registered reps · 3 to 6
    Aug 14, 2013 to Mar 27, 2014
  • Financial planning clients · 11-25 to 51-100
    Aug 14, 2013 to Mar 27, 2014
  • Discretionary RAUM · $2.7M to $8.7M
    Aug 14, 2013 to Mar 27, 2014
  • Non-discretionary RAUM · $524M to $625M
    Aug 14, 2013 to Mar 27, 2014
  • RAUM · $526M to $634M
    Aug 14, 2013 to Mar 27, 2014
  • Related adviser · false to true
    Aug 14, 2013 to Mar 27, 2014
  • Advisory employees · 6 to 7
    May 6, 2013 to Aug 14, 2013
  • Employees · 6 to 7
    May 6, 2013 to Aug 14, 2013
  • Insurance-licensed employees · 6 to 7
    May 6, 2013 to Aug 14, 2013
  • State-registered IARs · 6 to 7
    May 6, 2013 to Aug 14, 2013
  • Accounts · 1,585 to 1,802
    Oct 15, 2012 to Mar 26, 2013
  • Advisory employees · unset to 6.0
    Oct 15, 2012 to Mar 26, 2013
  • Advisory activities · 4 to 3
    Oct 15, 2012 to Mar 26, 2013
  • BD registered reps · unset to 3.0
    Oct 15, 2012 to Mar 26, 2013
  • Employees · unset to 6.0
    Oct 15, 2012 to Mar 26, 2013
  • Financial planning clients · 0 to 11-25
    Oct 15, 2012 to Mar 26, 2013
  • State-registered IARs · unset to 6.0
    Oct 15, 2012 to Mar 26, 2013
  • Discretionary RAUM · $1.9M to $2.7M
    Oct 15, 2012 to Mar 26, 2013
  • Non-discretionary RAUM · $469M to $524M
    Oct 15, 2012 to Mar 26, 2013
  • RAUM · $471M to $526M
    Oct 15, 2012 to Mar 26, 2013
  • Accounts · 1,583 to 1,585
    Mar 29, 2012 to Aug 13, 2012
  • Insurance-licensed employees · 5 to 6
    Mar 29, 2012 to Aug 13, 2012
  • Discretionary RAUM · $0 to $1.9M
    Mar 29, 2012 to Aug 13, 2012
  • Non-discretionary RAUM · $436M to $469M
    Mar 29, 2012 to Aug 13, 2012
  • RAUM · $436M to $471M
    Mar 29, 2012 to Aug 13, 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