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
P••••••• M••••••••• L••
Latest filing May 28, 2026
First filing on the tape Mar 30, 2012 · 36 filings
SEC status approved since Aug 27, 2004
RAUM
$175M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$148M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$43.8M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$175M as of May 28, 2026
Mar 30, 2012$126M then
HNW client RAUM$139M as of May 28, 2026
Mar 31, 2018$77.1M then
State-registered IARs (5.B.3)4 as of May 28, 2026
Mar 30, 20120 then
Employees (5.A)4 as of May 28, 2026
Mar 28, 20135 then
Private funds1 as of May 28, 2026
Mar 30, 20121 then
RAUM +3.3% over the last fiscal year+6.2% a year over threeIARs 4 to 4offices 1 to 2
Practice profile
derived from the filing of May 28, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- ria with p•••••• 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
- $43.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consultingreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$139M79%
- Charitable organizations$9.6M5.5%
- Pooled investment vehicles$9.3M5.3%
- Individuals$9.0M5.1%
- Corporations and businesses$4.8M2.7%
- Pension and profit-sharing plans$4.1M2.4%
- Individual clients
- 37reported
- HNW clients
- 37reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 168reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.84 fund_share=0.05 institutional_share=0.08 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• S•••••• A•••••••Chartered Financial Analyst | New York, Ny | Jan 4, 2007 | 40 y | 0 |
| B•••••• A•• D•••••••••Certified Financial Planner | West Windsor, Nj | Aug 23, 2021 | 36 y | 0 |
| B•••••• H••• C••••••Chartered Financial Analyst | New York, Ny | Aug 23, 2021 | 46 y | 0 |
| C••••••••• D••••••••• | West Windsor, Nj | Jan 10, 2022 | 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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• P•••••••• L••• | Hedge Fund | $8.0M | 14 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• R•••••• S•••••• · Managing Membercontrolsince 04/2003 · owns 50% to 75%
- D••••••••• B•••••• A•• · Managing Member, Chief Compliance Officercontrolsince 04/2003 · owns 25% to 50%
Related persons
Schedule D 7.A
- A•••• L••pooled vehicle sponsorn
- P•••••• C•••••• S••••••••• L••investment adviserpooled vehicle sponsornRAUM $6.1M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 4 | 0 | 0 | ||
| West Windsor, Nj | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 175 to 168Dec 11, 2025 to Feb 11, 2026
- HNW clients · 38 to 37Dec 11, 2025 to Feb 11, 2026
- Individual clients · 39 to 37Dec 11, 2025 to Feb 11, 2026
- Discretionary RAUM · $170M to $175MDec 11, 2025 to Feb 11, 2026
- HNW RAUM · $137M to $139MDec 11, 2025 to Feb 11, 2026
- Individual RAUM · $8.7M to $9.0MDec 11, 2025 to Feb 11, 2026
- Pension RAUM · $3.9M to $4.1MDec 11, 2025 to Feb 11, 2026
- Pooled vehicle RAUM · $7.7M to $9.3MDec 11, 2025 to Feb 11, 2026
- RAUM · $170M to $175MDec 11, 2025 to Feb 11, 2026
- Other offices · 0 to 2Jun 17, 2025 to Oct 8, 2025
- Financial planning clients · 1-10 to 1-10Jan 31, 2025 to Jun 17, 2025
- Other offices · 1 to 0Jan 31, 2025 to Jun 17, 2025
- Accounts · 182 to 175Feb 9, 2024 to Jan 31, 2025
- Charity clients · unset to 3.0Feb 9, 2024 to Jan 31, 2025
- Corporate clients · unset to 2.0Feb 9, 2024 to Jan 31, 2025
- HNW clients · 46 to 38Feb 9, 2024 to Jan 31, 2025
- Pension plan clients · unset to 1.0Feb 9, 2024 to Jan 31, 2025
- Discretionary RAUM · $175M to $170MFeb 9, 2024 to Jan 31, 2025
- HNW RAUM · $144M to $137MFeb 9, 2024 to Jan 31, 2025
- Individual RAUM · $8.0M to $8.7MFeb 9, 2024 to Jan 31, 2025
- Pension RAUM · $3.5M to $3.9MFeb 9, 2024 to Jan 31, 2025
- Pooled vehicle RAUM · $8.0M to $7.7MFeb 9, 2024 to Jan 31, 2025
- RAUM · $175M to $170MFeb 9, 2024 to Jan 31, 2025
- Accounts · 188 to 182Jan 3, 2024 to Feb 9, 2024
- HNW clients · 42 to 46Jan 3, 2024 to Feb 9, 2024
- Individual clients · 44 to 39Jan 3, 2024 to Feb 9, 2024
- Financial planning clients · 0 to 1-10Jan 3, 2024 to Feb 9, 2024
- Discretionary RAUM · $146M to $175MJan 3, 2024 to Feb 9, 2024
- HNW RAUM · $112M to $144MJan 3, 2024 to Feb 9, 2024
- Individual RAUM · $8.7M to $8.0MJan 3, 2024 to Feb 9, 2024
- Pension RAUM · $7.7M to $3.5MJan 3, 2024 to Feb 9, 2024
- Pooled vehicle RAUM · $7.9M to $8.0MJan 3, 2024 to Feb 9, 2024
- RAUM · $146M to $175MJan 3, 2024 to Feb 9, 2024
- Advisory activities · 3 to 5Apr 21, 2023 to Jan 3, 2024
- Financial planning clients · unset to 0Apr 21, 2023 to Jan 3, 2024
- Other offices · 0 to 1Apr 21, 2023 to Jan 3, 2024
- Accounts · 191 to 188Nov 1, 2022 to Mar 10, 2023
- HNW clients · 45 to 42Nov 1, 2022 to Mar 10, 2023
- Individual clients · 49 to 44Nov 1, 2022 to Mar 10, 2023
- Discretionary RAUM · $182M to $146MNov 1, 2022 to Mar 10, 2023
Signals
1 dated events
- Moss Ralph Kaplan (Managing Member) no longer on Schedule A of P••••••• M••••••••• L•• (listed 2018-05-04, absent 2019-02-04)Feb 4, 2019 · Control person left · inference
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
- 212-792-6952reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-350-7201reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-792-6952reportedpublic record, Form ADV, May 28, 2026
- Team page
- p•••••••••.comreportedpublished 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
- $43.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026