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
I••••••••• P••••••• A•••• M•••••••••
Latest filing May 18, 2026
First filing on the tape Feb 23, 2012 · 37 filings
SEC status approved since Mar 28, 2003
RAUM
$333M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
83%
$277M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$41.7M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$333M as of May 18, 2026
Feb 23, 2012$94.4M then
HNW client RAUM$256M as of May 18, 2026
Mar 13, 2018$53.4M then
State-registered IARs (5.B.3)6 as of May 18, 2026
Feb 15, 20135 then
Employees (5.A)6 as of May 18, 2026
Feb 15, 20135 then
Private funds1 as of Feb 15, 2017
Feb 23, 20121 then
RAUM +26% over the last fiscal year+24% a year over threeIARs 6 to 6
Practice profile
derived from the filing of May 18, 2026; every figure names its basis
- RAUM per advisor
- $41.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $551,142derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$256M77%
- Charitable organizations$38.3M11%
- Individuals$20.6M6.2%
- Corporations and businesses$13.0M3.9%
- Pension and profit-sharing plans$5.0M1.5%
- Individual clients
- 93reported
- HNW clients
- 148reported
- Pension plan clients
- 4reported
- Charitable clients
- 10reported
- Accounts
- 605reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••• J•••• A••••• | Painter, Va | Jul 18, 2002 | 28 y | 0 |
| G•••• T••••• A••••• | Metuchen, Nj | Jul 18, 2002 | 27 y | 0 |
| F•••• J•••• A••••• | Metuchen, Nj | Jul 19, 2002 | 35 y | 0 |
| T••••• W•••••• S••••••• | Metuchen, Nj | Jun 23, 2008 | 24 y | 0 |
| B•••• F•••••••• B•••• | Metuchen, Nj | Jul 15, 2021 | 24 y | 0 |
| R••••• J••••• V••••••Chartered Financial Analyst | Metuchen, Nj | Nov 23, 2021 | 36 y | 4 |
| C•••••••• S•••••• | Metuchen, Nj | Jul 15, 2024 | 18 y | 0 |
| D••••• S•••••••• B•••••• | Metuchen, Nj | Jan 21, 2026 | 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R••••• J••••• V•••••• from T•••••••• A•••• M••••••••• L••Jul 15, 2020 · RIA to RIA
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••••• V•••• • S•••••• S•••••••• F••• L••no longer reported | Hedge Fund | $2.8M | 25 | Feb 23, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• F••••• J•••• · Portfolio Managercontrolsince 05/1995 · owns less than 5%
- A•••••• F••••• J•••• · Svp - Researchcontrolsince 07/1999 · owns less than 5%
- A•••••• G••••• T••••• · Chief Executive Officer And Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- S•••••••• T•••••• W•••••• · Svp - Planningcontrolsince 06/2008 · owns less than 5%
- A•••••• F••••• J•••• · Beneficial Ownercontrolsince 05/1995 · owns 25% to 50% of I••••••••• P••••••• G••••
Entity owners
- I••••••••• P••••••• G•••• · Owner/Parent Of I••••••••• P••••••• A•••• M•••••••••direct · owns 75% or more
Related persons
Schedule D 7.A
- I••• F•• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Metuchen, Nj · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 535 to 605Feb 9, 2025 to Feb 5, 2026
- Charity clients · 9 to 10Feb 9, 2025 to Feb 5, 2026
- HNW clients · 136 to 148Feb 9, 2025 to Feb 5, 2026
- Individual clients · 97 to 93Feb 9, 2025 to Feb 5, 2026
- Discretionary RAUM · $250M to $321MFeb 9, 2025 to Feb 5, 2026
- HNW RAUM · $198M to $256MFeb 9, 2025 to Feb 5, 2026
- Individual RAUM · $16.8M to $20.6MFeb 9, 2025 to Feb 5, 2026
- Non-discretionary RAUM · $13.4M to $12.5MFeb 9, 2025 to Feb 5, 2026
- Pension RAUM · $4.5M to $5.0MFeb 9, 2025 to Feb 5, 2026
- RAUM · $264M to $333MFeb 9, 2025 to Feb 5, 2026
- Accounts · 491 to 535Jun 17, 2024 to Feb 9, 2025
- Advisory employees · 5 to 6Jun 17, 2024 to Feb 9, 2025
- Charity clients · 5 to 9Jun 17, 2024 to Feb 9, 2025
- HNW clients · 119 to 136Jun 17, 2024 to Feb 9, 2025
- Individual clients · 95 to 97Jun 17, 2024 to Feb 9, 2025
- Pension plan clients · 6 to 4Jun 17, 2024 to Feb 9, 2025
- Employees · 5 to 6Jun 17, 2024 to Feb 9, 2025
- Financial planning clients · 51-100 to 51-100Jun 17, 2024 to Feb 9, 2025
- State-registered IARs · 5 to 6Jun 17, 2024 to Feb 9, 2025
- Discretionary RAUM · $216M to $250MJun 17, 2024 to Feb 9, 2025
- HNW RAUM · $162M to $198MJun 17, 2024 to Feb 9, 2025
- Individual RAUM · $20.3M to $16.8MJun 17, 2024 to Feb 9, 2025
- Non-discretionary RAUM · $9.2M to $13.4MJun 17, 2024 to Feb 9, 2025
- Pension RAUM · $4.9M to $4.5MJun 17, 2024 to Feb 9, 2025
- RAUM · $225M to $264MJun 17, 2024 to Feb 9, 2025
- Accounts · 449 to 491May 19, 2023 to Feb 9, 2024
- Charity clients · 7 to 5May 19, 2023 to Feb 9, 2024
- HNW clients · 112 to 119May 19, 2023 to Feb 9, 2024
- Individual clients · 91 to 95May 19, 2023 to Feb 9, 2024
- Pension plan clients · 4 to 6May 19, 2023 to Feb 9, 2024
- Discretionary RAUM · $170M to $216MMay 19, 2023 to Feb 9, 2024
- HNW RAUM · $133M to $162MMay 19, 2023 to Feb 9, 2024
- Individual RAUM · $15.4M to $20.3MMay 19, 2023 to Feb 9, 2024
- Non-discretionary RAUM · $4.3M to $9.2MMay 19, 2023 to Feb 9, 2024
- Pension RAUM · $3.9M to $4.9MMay 19, 2023 to Feb 9, 2024
- RAUM · $175M to $225MMay 19, 2023 to Feb 9, 2024
- Accounts · 381 to 449Nov 1, 2022 to Mar 1, 2023
- HNW clients · 99 to 112Nov 1, 2022 to Mar 1, 2023
- Individual clients · 79 to 91Nov 1, 2022 to Mar 1, 2023
- Discretionary RAUM · $189M to $170MNov 1, 2022 to Mar 1, 2023
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 phone
- 732-205-0395reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 732-205-0391reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.i•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 732-205-0391reportedpublic record, Form ADV, May 18, 2026
- Contact form
- i•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- i•••••••••.comreportedpublished 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
- $41.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026