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••••••• W••••• M••••••••• G••••• L••
Latest filing Mar 10, 2026
First filing on the tape Mar 26, 2012 · 41 filings
SEC status approved since Jul 29, 2011
RAUM
$666M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$666M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
13
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$666M as of Mar 10, 2026
Mar 26, 2012$369M then
HNW client RAUM$562M as of Mar 10, 2026
Mar 24, 2018$314M then
State-registered IARs (5.B.3)5 as of Mar 10, 2026
Mar 26, 20120 then
Employees (5.A)13 as of Mar 10, 2026
Mar 4, 201311 then
Private funds: no history
RAUM +11% over the last fiscal year+13% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Mar 10, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $487,850derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $174MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$562M84%
- Individuals$105M16%
- Individual clients
- 258reported
- HNW clients
- 182reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,366reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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=1.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• C• D•••••••Certified Financial Planner | Flemington, Nj | Jul 30, 2012 | 28 y | 2 |
| P••• R••••• E•••••••Certified Financial Planner, Chartered Financial Analyst | Flemington, Nj | Apr 24, 2018 | 22 y | 4 |
| N•••••••• P••• H•••••• | Flemington, Nj | Sep 4, 2018 | 10 y | 0 |
| M•••••• L•••• W•••••••Certified Financial Planner | Flemington, Nj | Dec 12, 2018 | 15 y | 0 |
| R•• E•••• W•••••••Chartered Financial Consultant | Key Largo, Fl | Nov 21, 2019 | 31 y | 1 |
| N•••• N••• | Flemington, Nj | Aug 7, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- T•••••• D••••• M•••• to S••••••• F•••••••• S•••••••• I•••Mar 12, 2019 · RIA to affiliated broker-dealer or bank
- M•••••• J••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 13, 2018 · RIA to wirehouse
- K•••• M••• M•••• to T•• P••••• S•••••••••Dec 6, 2017 · Other
- J•••••• W••••• H••••••• to T•• P••••• S•••••••••Sep 21, 2017 · Other
- R••••• P••••• R•••••• to F••••••••• A•••••••Mar 31, 2015 · Other
- S••••• E••••• L••••• to T•• P••••• S•••••••••Sep 26, 2014 · Other
- K•••••• C••••••••• P••• to A••••••• W••••• M••••••••• G••••• L••Sep 26, 2014 · Other
- M•••••• J••• W••••••••• to H••••• W••••• A•••••••• L•••Jul 24, 2014 · Other
- D•••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 2, 2014 · Other
- M••• M•••• A•••••• to H••••• W••••• A•••••••• L•••Apr 15, 2014 · Other
- J••• S•••••• K••••••• to W•••• F•••• A•••••••Nov 23, 2012 · Other
- J•••• D•••••• D•••• to M••••• S••••••Sep 14, 2012 · Other
- A••••• B•••• to H•••••• • W•••• A•••• M••••••••• I•••May 8, 2012 · Other
- G••••• S•••••• S•••••• to P••• A••••• S••••••••• L••Feb 14, 2011 · Other
- P••• R••••• E••••••• to E•••••••• A•••••••• L••Jun 1, 2009 · Other
Joined, latest
- N•••• N••• from B••••• T••••Aug 7, 2026 · RIA to RIA
- R•• E•••• W••••••• from L•• F•••••••• L••Nov 21, 2019 · Other
- P••• R••••• E••••••• from A••••••• W••••• M••••••••• G••••• L••Apr 24, 2018 · RIA to RIA
- T•••••• D••••• M•••• from W•••• F•••• A•••••••Feb 28, 2018 · Other
- K•••• M••• M•••• from S••••• A••••••••• I••••••••• L••Nov 2, 2016 · Other
- M•••••• J••••• S•••••• from W•••• F•••• A•••••••Jul 8, 2013 · Other
- M•••••• J••• W••••••••• from T•• P••••• S•••••••••Jun 21, 2013 · Other
- J•••••• W••••• H••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 20, 2013 · Other
- R••••• P••••• R•••••• from A••• W••••• S•••••••••May 8, 2013 · Other
- J••• S•••••• K••••••• from W•••• F•••• A•••••••Nov 9, 2012 · Other
- D•••• S••••••• from W•••• F•••• A•••••••Sep 17, 2012 · Other
- J••• C• D••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 30, 2012 · Other
- A••••• B•••• from L•• F•••••••• L••Feb 14, 2011 · Other
- D•••• J••••• W••••• from L•• F•••••••• L••Jan 6, 2009 · Other
- G••••• S•••••• S•••••• from L•• F•••••••• L••Apr 22, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• H•••••• J•••••• · Director Of Financial Planningcontrolsince 03/2024 · owns less than 5%
- W•••••••• R••• E•••• · Managing Member, President, Ceo, Chief Compliance Officercontrolsince 03/1995 · owns 75% or more
Related persons
Schedule D 7.A
- P••••••• W••••• A••••••••• G••••• L••insurancen
- T•• P••••• S•••••••••investment advisernRAUM $175M
Advisers that list P••••••• W••••• M••••••••• G••••• L•• as a related person
- 166641 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Flemington, Nj · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Millburn, NJ4 employees
- Califon, NJ3 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 10, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-13, no on the filing of 2026-03-10peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,280 to 1,366Mar 13, 2025 to Mar 10, 2026
- HNW clients · 166 to 182Mar 13, 2025 to Mar 10, 2026
- Individual clients · 265 to 258Mar 13, 2025 to Mar 10, 2026
- Assets in custody · 3033022.0 to unsetMar 13, 2025 to Mar 10, 2026
- Custody of client assets · true to falseMar 13, 2025 to Mar 10, 2026
- Employees · 12 to 13Mar 13, 2025 to Mar 10, 2026
- Insurance-licensed employees · 3 to 4Mar 13, 2025 to Mar 10, 2026
- State-registered IARs · 6 to 5Mar 13, 2025 to Mar 10, 2026
- Discretionary RAUM · $534M to $666MMar 13, 2025 to Mar 10, 2026
- HNW RAUM · $490M to $562MMar 13, 2025 to Mar 10, 2026
- Individual RAUM · $109M to $105MMar 13, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $64.9M to $0Mar 13, 2025 to Mar 10, 2026
- RAUM · $599M to $666MMar 13, 2025 to Mar 10, 2026
- Accounts · 1,152 to 1,280May 29, 2024 to Mar 13, 2025
- HNW clients · 158 to 166May 29, 2024 to Mar 13, 2025
- Individual clients · 271 to 265May 29, 2024 to Mar 13, 2025
- Assets in custody · $1.1M to $3.0MMay 29, 2024 to Mar 13, 2025
- Insurance-licensed employees · 5 to 3May 29, 2024 to Mar 13, 2025
- Financial planning clients · 251-500 to 251-500May 29, 2024 to Mar 13, 2025
- State-registered IARs · 5 to 6May 29, 2024 to Mar 13, 2025
- Discretionary RAUM · $494M to $534MMay 29, 2024 to Mar 13, 2025
- HNW RAUM · $395M to $490MMay 29, 2024 to Mar 13, 2025
- Individual RAUM · $103M to $109MMay 29, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $4.6M to $64.9MMay 29, 2024 to Mar 13, 2025
- RAUM · $498M to $599MMay 29, 2024 to Mar 13, 2025
- Accounts · 1,142 to 1,152Oct 17, 2023 to Mar 20, 2024
- Advisory employees · 5 to 4Oct 17, 2023 to Mar 20, 2024
- HNW clients · 182 to 158Oct 17, 2023 to Mar 20, 2024
- Individual clients · 227 to 271Oct 17, 2023 to Mar 20, 2024
- Pension plan clients · 2.0 to unsetOct 17, 2023 to Mar 20, 2024
- Assets in custody · $2.3M to $1.1MOct 17, 2023 to Mar 20, 2024
- Employees · 8 to 12Oct 17, 2023 to Mar 20, 2024
- State-registered IARs · 6 to 5Oct 17, 2023 to Mar 20, 2024
- Other offices · 2 to 3Oct 17, 2023 to Mar 20, 2024
- Discretionary RAUM · $458M to $494MOct 17, 2023 to Mar 20, 2024
- HNW RAUM · $399M to $395MOct 17, 2023 to Mar 20, 2024
- Individual RAUM · $64.4M to $103MOct 17, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $5.5M to $4.6MOct 17, 2023 to Mar 20, 2024
- Pension RAUM · 282030.0 to unsetOct 17, 2023 to Mar 20, 2024
- RAUM · $463M to $498MOct 17, 2023 to Mar 20, 2024
Signals
1 dated events
- Jeffrey Howard Spivack (Director Of Financial Planning) appeared on Schedule A of P••••••• W••••• M••••••••• G••••• L••May 29, 2024 · Control person joined · 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
- Website
- P•••••••WMG.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 908-782-0001reportedpublic record, Form ADV, Mar 10, 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026