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SEC-registered adviser

G••••• S•••• R••••••••• S••••••••• L••

Independent wealth managerRed Bank, New JerseyCRD 128414SEC 801-134796IAPD
Latest filing Sep 15, 2026
First filing on the tape Oct 21, 2025 · 4 filings
SEC status approved since Nov 19, 2025
RAUM
$109M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
100%
$109M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$54.7M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$109M as of Feb 16, 2026
Oct 21, 2025$104M then
HNW client RAUM$75.9M as of Feb 16, 2026
Oct 21, 2025$70.4M then
State-registered IARs (5.B.3)2 as of Feb 16, 2026
Oct 21, 20252 then
Employees (5.A)3 as of Feb 16, 2026
Oct 21, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 15, 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
  • 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$54.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
76derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$437,233derivedRAUM over accounts (5.F.2.f)
Discretionary
79%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
participatesreportedItem 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$75.9M69%
  • Individuals$33.4M31%
Individual clients
89reported
HNW clients
63reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
250reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $9.6M 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=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A•••••• N••••••• S•••••••Red Bank, NjMar 9, 200545 y2
J••••• A•••••••• S•••••••Red Bank, NjMar 19, 202512 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S•••••••• A••••••• N••••••• · Chief Compliance Officer/Managing Membercontrol
      since 11/1999 · owns 75% or more
    • S•••••••• R•••••• · Member
      since 12/1999 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Red Bank, Nj · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · 0 to 0
      Feb 16, 2026 to Sep 14, 2026
    • Succession · false to unset
      Feb 16, 2026 to Sep 14, 2026
    • Accounts · 246 to 250
      Oct 21, 2025 to Feb 16, 2026
    • HNW clients · 59 to 63
      Oct 21, 2025 to Feb 16, 2026
    • Individual clients · 87 to 89
      Oct 21, 2025 to Feb 16, 2026
    • Financial planning clients · to 0
      Oct 21, 2025 to Feb 16, 2026
    • Discretionary RAUM · $83.4M to $86.4M
      Oct 21, 2025 to Feb 16, 2026
    • HNW RAUM · $70.4M to $75.9M
      Oct 21, 2025 to Feb 16, 2026
    • Individual RAUM · $33.2M to $33.4M
      Oct 21, 2025 to Feb 16, 2026
    • Non-discretionary RAUM · $20.2M to $22.9M
      Oct 21, 2025 to Feb 16, 2026
    • RAUM · $104M to $109M
      Oct 21, 2025 to Feb 16, 2026
    • Wrap assets (manager) · $10.2M to $9.6M
      Oct 21, 2025 to Feb 16, 2026
    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
    Principal office phone
    732-936-9641reportedpublic record, Form ADV, 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
    $54.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026