DFX Intelligence
RIA Intelligence
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SEC-registered adviser
N•••••••• F•••••••• A•••••••• I•••
Latest filing Jan 21, 2026
First filing on the tape Jan 5, 2012 · 12 filings
SEC status approved since Mar 4, 2021
RAUM
$195M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$195M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$195M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$195M as of Jan 21, 2026
Jan 5, 2012$40.0M then
HNW client RAUM$172M as of Jan 21, 2026
Feb 7, 2022$126M then
State-registered IARs (5.B.3)1 as of Jan 21, 2026
Jan 5, 20120 then
Employees (5.A)1 as of Jan 21, 2026
Feb 7, 20221 then
Private funds: no history
RAUM +10% over the last fiscal year+20% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 21, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $195MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 135derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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$172M88%
- Individuals$23.4M12%
- Individual clients
- 26reported
- HNW clients
- 109reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 135reported
- 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=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• E• B•••• | North Caldwell, Nj | Apr 7, 2014 | 28 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• R••••••• E• · Chief Compliance Officercontrolsince 08/1993 · owns 75% or more
Related persons
Schedule D 7.A
- R•••••• E• B••••insurancey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 162 to 135Feb 11, 2025 to Jan 21, 2026
- Charity clients · unset to 0.0Feb 11, 2025 to Jan 21, 2026
- Corporate clients · unset to 0.0Feb 11, 2025 to Jan 21, 2026
- HNW clients · 99 to 109Feb 11, 2025 to Jan 21, 2026
- Individual clients · 24 to 26Feb 11, 2025 to Jan 21, 2026
- Pension plan clients · unset to 0.0Feb 11, 2025 to Jan 21, 2026
- Pooled vehicle clients · unset to 0.0Feb 11, 2025 to Jan 21, 2026
- Discretionary RAUM · $178M to $195MFeb 11, 2025 to Jan 21, 2026
- HNW RAUM · $156M to $172MFeb 11, 2025 to Jan 21, 2026
- Individual RAUM · $21.3M to $23.4MFeb 11, 2025 to Jan 21, 2026
- Pension RAUM · unset to 0.0Feb 11, 2025 to Jan 21, 2026
- Pooled vehicle RAUM · unset to 0.0Feb 11, 2025 to Jan 21, 2026
- RAUM · $178M to $195MFeb 11, 2025 to Jan 21, 2026
- Accounts · 119 to 162Mar 27, 2024 to Feb 11, 2025
- HNW clients · 49 to 99Mar 27, 2024 to Feb 11, 2025
- Pension plan clients · 3.0 to unsetMar 27, 2024 to Feb 11, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Feb 11, 2025
- HQ city · unset to Mar 27, 2024 to Feb 11, 2025
- HQ state · unset to Mar 27, 2024 to Feb 11, 2025
- Discretionary RAUM · $140M to $178MMar 27, 2024 to Feb 11, 2025
- HNW RAUM · $81.5M to $156MMar 27, 2024 to Feb 11, 2025
- Individual RAUM · $57.9M to $21.3MMar 27, 2024 to Feb 11, 2025
- Pension RAUM · 394422.0 to unsetMar 27, 2024 to Feb 11, 2025
- RAUM · $140M to $178MMar 27, 2024 to Feb 11, 2025
- Accounts · 172 to 119Jan 31, 2023 to Jan 31, 2024
- HNW clients · 169 to 49Jan 31, 2023 to Jan 31, 2024
- Individual clients · unset to 24.0Jan 31, 2023 to Jan 31, 2024
- Discretionary RAUM · $114M to $140MJan 31, 2023 to Jan 31, 2024
- HNW RAUM · $105M to $81.5MJan 31, 2023 to Jan 31, 2024
- Individual RAUM · unset to 57855811.0Jan 31, 2023 to Jan 31, 2024
- Pension RAUM · $8.3M to $394,422Jan 31, 2023 to Jan 31, 2024
- RAUM · $114M to $140MJan 31, 2023 to Jan 31, 2024
- Accounts · 168 to 172Feb 7, 2022 to Jan 31, 2023
- HNW clients · 165 to 169Feb 7, 2022 to Jan 31, 2023
- Discretionary RAUM · $134M to $114MFeb 7, 2022 to Jan 31, 2023
- HNW RAUM · $126M to $105MFeb 7, 2022 to Jan 31, 2023
- Pension RAUM · $8.2M to $8.3MFeb 7, 2022 to Jan 31, 2023
- RAUM · $134M to $114MFeb 7, 2022 to Jan 31, 2023
- Accounts · 159 to 168Oct 19, 2021 to Feb 7, 2022
- HNW clients · 96 to 165Oct 19, 2021 to Feb 7, 2022
Signals
1 dated events
- N•••••••• F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Feb 1, 2021 · 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 email
- n••••••••@n•••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 973-896-6666reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- n•••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (973) 896-6666reportedpublic record, Form ADV, Jan 21, 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
- $195Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026